DFX Intelligence
RIA Intelligence
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SEC-registered adviser
G••••• W••••• M••••••••• L•••
Latest filing Mar 31, 2026
First filing on the tape Mar 26, 2013 · 23 filings
SEC status approved since May 20, 2013
RAUM
$184M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
84%
$154M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$92.1M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$184M as of Mar 31, 2026
Feb 11, 2014$147M then
HNW client RAUM$149M as of Mar 31, 2026
Mar 30, 2018$92.9M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Feb 11, 20143 then
Employees (5.A)4 as of Mar 31, 2026
Feb 11, 20143 then
Private funds: no history
RAUM +5.3% over the last fiscal year+15% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $92.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 14derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.1MderivedHNW RAUM over HNW clients
- Average account
- $5.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$149M81%
- Corporations and businesses$30.3M16%
- Individuals$4.7M2.5%
- Individual clients
- 7reported
- HNW clients
- 21reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 34reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• U•• H•••••• | Deerfield Beach, Fl | Oct 9, 2009 | 31 y | 0 |
| O••• H••• | Deerfield Beach, Fl | Feb 28, 2024 | 16 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• T•••••• U•• · Founder/Deputy Ceo/Managing Partnercontrolsince 11/2008 · owns less than 5%
- H•••• O••• · Ceo/Chief Compliance Officercontrolsince 10/2023 · owns less than 5%
- N•••••• S•••••• O••••• · Cio/Head Portfolio Managementcontrolsince 10/2023 · owns less than 5%
- H••••••• T•••••• U•• · Board Membercontrolsince 10/2023 · owns 25% to 50% of H•• H•••••• A•
- H•••• O••• · Chairmancontrolsince 10/2023 · owns 25% to 50% of H•• H•••••• A•
- N•••••• S•••••• O••••• · Deputy Chairmancontrolsince 10/2023 · owns 25% to 50% of H•• H•••••• A•
Entity owners
- H•• H•••••• A• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Deerfield Beach, Fl · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Zurich, Switzerland2 employees
What changed
consecutive filings, newest first
- Accounts · 37 to 34Nov 20, 2025 to Mar 31, 2026
- HNW clients · 22 to 21Nov 20, 2025 to Mar 31, 2026
- Individual clients · 9 to 7Nov 20, 2025 to Mar 31, 2026
- Employees · 3 to 4Nov 20, 2025 to Mar 31, 2026
- Discretionary RAUM · $161M to $175MNov 20, 2025 to Mar 31, 2026
- HNW RAUM · $134M to $149MNov 20, 2025 to Mar 31, 2026
- Individual RAUM · $4.0M to $4.7MNov 20, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $13.9M to $9.3MNov 20, 2025 to Mar 31, 2026
- RAUM · $175M to $184MNov 20, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Jun 23, 2025 to Nov 20, 2025
- Accounts · 34 to 37Jul 30, 2024 to Mar 31, 2025
- Corporate clients · 4 to 6Jul 30, 2024 to Mar 31, 2025
- HNW clients · 26 to 22Jul 30, 2024 to Mar 31, 2025
- Individual clients · 4 to 9Jul 30, 2024 to Mar 31, 2025
- Discretionary RAUM · $115M to $161MJul 30, 2024 to Mar 31, 2025
- HNW RAUM · $88.2M to $134MJul 30, 2024 to Mar 31, 2025
- Individual RAUM · $976,342 to $4.0MJul 30, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $9.5M to $13.9MJul 30, 2024 to Mar 31, 2025
- RAUM · $125M to $175MJul 30, 2024 to Mar 31, 2025
- HQ city · ZURICH to DEERFIELD BEACHMar 23, 2024 to Jul 16, 2024
- HQ state · unset to FLMar 23, 2024 to Jul 16, 2024
- Accounts · 36 to 34Nov 20, 2023 to Mar 23, 2024
- Advisory employees · 1 to 2Nov 20, 2023 to Mar 23, 2024
- Individual clients · 6 to 4Nov 20, 2023 to Mar 23, 2024
- Employees · 2 to 3Nov 20, 2023 to Mar 23, 2024
- State-registered IARs · 1 to 2Nov 20, 2023 to Mar 23, 2024
- Discretionary RAUM · $109M to $115MNov 20, 2023 to Mar 23, 2024
- HNW RAUM · $82.1M to $88.2MNov 20, 2023 to Mar 23, 2024
- Individual RAUM · $1.7M to $976,342Nov 20, 2023 to Mar 23, 2024
- Non-discretionary RAUM · $11.0M to $9.5MNov 20, 2023 to Mar 23, 2024
- RAUM · $120M to $125MNov 20, 2023 to Mar 23, 2024
- HQ city · unset to ZURICHMar 31, 2023 to Nov 7, 2023
- Related adviser · false to trueMar 31, 2023 to Nov 7, 2023
- Accounts · 38 to 36Mar 25, 2022 to Mar 31, 2023
- Advisory employees · 2 to 1Mar 25, 2022 to Mar 31, 2023
- Corporate clients · 6 to 4Mar 25, 2022 to Mar 31, 2023
- State-registered IARs · 2 to 1Mar 25, 2022 to Mar 31, 2023
- Discretionary RAUM · $122M to $109MMar 25, 2022 to Mar 31, 2023
- HNW RAUM · $94.3M to $82.1MMar 25, 2022 to Mar 31, 2023
- Individual RAUM · $2.0M to $1.7MMar 25, 2022 to Mar 31, 2023
Signals
3 dated events
- O••••• S••••• N••••• (Deputy Chairman) appeared on Schedule A of G••••• W••••• M••••••••• L•••Nov 7, 2023 · Control person joined · fact
- O••• H••• (Chairman) appeared on Schedule A of G••••• W••••• M••••••••• L•••Nov 7, 2023 · Control person joined · fact
- G••••• W••••• M••••••••• L••• filed its initial SEC registration (Form ADV)Mar 26, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- i•••@g•••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 305-851-2476reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 341-201-5599reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.g•••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- +1 (341) 201-5599reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- g•••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- g•••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $92.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026