DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
G••• I••••••••• M••••••••• L•••
Latest filing Mar 13, 2026
First filing on the tape Nov 11, 2011 · 44 filings
SEC status approved since Oct 21, 2011
RAUM
$526M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
62%
$325M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$526M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$526M as of Mar 13, 2026
Jan 4, 2012$0 then
HNW client RAUM$108M as of Mar 13, 2026
Mar 31, 2018$161M then
State-registered IARs (5.B.3)1 as of Mar 13, 2026
Jan 4, 20120 then
Employees (5.A)7 as of Mar 13, 2026
Mar 5, 20131 then
Private funds: no history
RAUM +28% over the last fiscal year+8.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $526MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 934derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $181,924derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 34%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 7.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- 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
- Individuals$216M41%
- Pension and profit-sharing plans$110M21%
- High-net-worth individuals$108M21%
- Charitable organizations$71.2M14%
- Corporations and businesses$20.1M3.8%
- Individual clients
- 899reported
- HNW clients
- 35reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,890reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.62 fund_share=0.0 institutional_share=0.34 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• A••••• L•••• G•••Chartered Financial Analyst | Edmonton | Mar 22, 2012 | 19 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
- G•••• J•••••••• A••••• L•••• · Chief Compliance Officer And Presidentcontrolsince 08/2007 · owns less than 5%
- G•••• J•••••••• A••••• L•••• · Trusteecontrolsince 04/2020 · owns F of G••• ••••• F••••• T••••
- W•• G•••••• T•• Y•• F•• · Ownersince 04/2020 · owns 75% or more of 2•••••• A•••••• L••
Entity owners
- G••• ••••• F••••• T•••• · Ownerdirect · owns 75% or more
- 2•••••• A•••••• L•• · Ownerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,614 to 2,890Mar 18, 2025 to Mar 13, 2026
- Corporate clients · 26 to 31Mar 18, 2025 to Mar 13, 2026
- HNW clients · 34 to 35Mar 18, 2025 to Mar 13, 2026
- Individual clients · 799 to 899Mar 18, 2025 to Mar 13, 2026
- Discretionary RAUM · $410M to $526MMar 18, 2025 to Mar 13, 2026
- HNW RAUM · $134M to $108MMar 18, 2025 to Mar 13, 2026
- Individual RAUM · $107M to $216MMar 18, 2025 to Mar 13, 2026
- Pension RAUM · $97.9M to $110MMar 18, 2025 to Mar 13, 2026
- RAUM · $410M to $526MMar 18, 2025 to Mar 13, 2026
- Accounts · 2,347 to 2,614Apr 2, 2024 to Mar 18, 2025
- Corporate clients · 33 to 26Apr 2, 2024 to Mar 18, 2025
- HNW clients · 26 to 34Apr 2, 2024 to Mar 18, 2025
- Individual clients · 718 to 799Apr 2, 2024 to Mar 18, 2025
- Employees · 6 to 7Apr 2, 2024 to Mar 18, 2025
- Financial planning clients · 0 to 0Apr 2, 2024 to Mar 18, 2025
- HQ state · unset to Apr 2, 2024 to Mar 18, 2025
- Discretionary RAUM · $395M to $410MApr 2, 2024 to Mar 18, 2025
- HNW RAUM · $89.9M to $134MApr 2, 2024 to Mar 18, 2025
- Individual RAUM · $150M to $107MApr 2, 2024 to Mar 18, 2025
- Pension RAUM · $90.6M to $97.9MApr 2, 2024 to Mar 18, 2025
- RAUM · $395M to $410MApr 2, 2024 to Mar 18, 2025
- Accounts · 2,570 to 2,347Mar 23, 2023 to Mar 18, 2024
- Advisory employees · 4 to 3Mar 23, 2023 to Mar 18, 2024
- Corporate clients · 40 to 33Mar 23, 2023 to Mar 18, 2024
- HNW clients · 31 to 26Mar 23, 2023 to Mar 18, 2024
- Individual clients · 749 to 718Mar 23, 2023 to Mar 18, 2024
- Employees · 4 to 6Mar 23, 2023 to Mar 18, 2024
- Discretionary RAUM · $410M to $395MMar 23, 2023 to Mar 18, 2024
- HNW RAUM · $161M to $89.9MMar 23, 2023 to Mar 18, 2024
- Individual RAUM · $97.9M to $150MMar 23, 2023 to Mar 18, 2024
- Pension RAUM · $86.9M to $90.6MMar 23, 2023 to Mar 18, 2024
- RAUM · $410M to $395MMar 23, 2023 to Mar 18, 2024
- Accounts · 2,435 to 2,570Mar 23, 2022 to Mar 23, 2023
- Advisory employees · 5 to 4Mar 23, 2022 to Mar 23, 2023
- Corporate clients · 32 to 40Mar 23, 2022 to Mar 23, 2023
- HNW clients · 33 to 31Mar 23, 2022 to Mar 23, 2023
- Individual clients · 726 to 749Mar 23, 2022 to Mar 23, 2023
- Employees · 5 to 4Mar 23, 2022 to Mar 23, 2023
- Discretionary RAUM · $472M to $410MMar 23, 2022 to Mar 23, 2023
- HNW RAUM · $125M to $161MMar 23, 2022 to Mar 23, 2023
Signals
3 dated events
- G••• I••••••••• M••••••••• L••• reported RAUM $525.8M, up 28% from $409.5M (2025-03-18 to 2026-03-13)Mar 13, 2026 · RAUM change · derived
- G••• I••••••••• M••••••••• L••• reported RAUM $471.5M, up 40% from $337.3M (2021-11-14 to 2022-03-23)Mar 23, 2022 · RAUM change · derived
- Ruth Christine Gold (Secretary And Treasurer) no longer on Schedule A of G••• I••••••••• M••••••••• L••• (listed 2021-02-24, absent 2021-11-11)Nov 11, 2021 · Control person left · inference
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
- investir@gold-im.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 888-436-9955reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 866-541-7947reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 780-436-9955reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/1008783/adminreportedpublic record, Form ADV, Sep 18, 2026
- Website
- G•••-IM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 780-436-9955reportedpublic record, Form ADV, Mar 13, 2026
- Contact form
- gold-im.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $526Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026