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•••••• G•••••• • S••••• L••
Latest filing Sep 3, 2026
First filing on the tape Mar 29, 2012 · 44 filings
SEC status approved since Jun 7, 2010
RAUM
$1.4B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
97%
$1.3B individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$169M
derived; firm RAUM over IAPD count
Employees
17
17 advisory (5.B.1)
Offices
10
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$1.4B as of May 27, 2026
Mar 29, 2012$320M then
HNW client RAUM$1.1B as of May 27, 2026
Mar 30, 2018$438M then
State-registered IARs (5.B.3)7 as of May 27, 2026
Apr 1, 20133 then
Employees (5.A)17 as of May 27, 2026
Apr 1, 20136 then
Private funds: no history
RAUM +11% over the last fiscal year+7.0% a year over threeIARs 7 to 7offices 8 to 10
Practice profile
derived from the filing of Sep 3, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $169MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 104derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $695,339derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.1derivedItem 5.A over advisors
- Advisors per office
- 0.7derived11 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $1.4BreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B83%
- Individuals$190M14%
- Corporations and businesses$35.4M2.6%
- Pension and profit-sharing plans$4.0M0.3%
- Individual clients
- 391reported
- HNW clients
- 440reported
- Pension plan clients
- 9reported
- Charitable clients
- 0reported
- Accounts
- 1,948reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• R•••••• G••••• | Ann Arbor, Mi | Sep 29, 2010 | 28 y | 3 |
| S•••••• L•• G•••••• | New York, Ny | Oct 22, 2010 | 32 y | 3 |
| M••• P••• S••••Certified Financial Planner | Scottsdale, Az | Oct 22, 2010 | 48 y | 1 |
| J••••• M• G••••• | Bloomfield, Co | Jun 16, 2017 | 15 y | 1 |
| E••• B•••••• S••••Certified Financial Planner | Scottsdale, Az | Nov 22, 2017 | 11 y | 0 |
| J•••••• G••••• P••••••Certified Financial Planner | Denver, Co | Aug 30, 2018 | 11 y | 1 |
| H••••• J•••• D•••• | Scottsdale, Az | Jun 22, 2023 | 13 y | 1 |
| D•••• G••• M••••• | Scottsdale, Az | Dec 18, 2025 | 27 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- D•••• G••• M••••• from T•• W•••••••• G••••• L••Dec 18, 2025 · Other
- H••••• J•••• D•••• from S••••••• F•••••••• S•••••••• I•••Jun 22, 2023 · RIA to RIA
- J•••••• G••••• P•••••• from V••••••• A•••••••• I•••Aug 30, 2018 · Affiliated broker-dealer or bank to independent RIA
- M••• P••• S•••• from A•••• F•••••••• G••••• I•••Oct 22, 2010 · Other
- S•••••• L•• G•••••• from A•••• F•••••••• G••••• I•••Oct 22, 2010 · Other
- S•••••• R•••••• G••••• from A•••• F•••••••• G••••• I•••Sep 29, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J•••••••• K••• Q•••• · Ccocontrolsince 11/2015 · owns less than 5%
- G•••••• S••••••• R•••••• · Member And Managercontrolsince 11/2019 · owns 75% or more of S•••••• R• G••••• A•••• M••••••••• L••
- G••••••• S••••••• L•• · Member And Managercontrolsince 08/2020 · owns 75% or more of S••••• L••
- S••••• M•••• P••• · Member And Managercontrolsince 11/2018 · owns 75% or more of M• S••••• L••
Entity owners
- M• S••••• L•• · Member And Managerdirect · owns 25% to 50%
- S••••• L•• · Member And Managerdirect · owns 25% to 50%
- S•••••• R• G••••• A•••• M••••••••• · Member Managerdirect · owns 25% to 50%
- S•••••• R• G••••• A•••• M••••••••• L•• · Member And Managerdirect · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list G•••••• G•••••• • S••••• L•• as a related person
- 1027 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Scottsdale, Az · principal | 8 | 1 | 0 | ||
| Fort Collins, Co | 3 | 0 | 0 | ||
| Ann Arbor, Mi | 2 | 0 | 0 | ||
| Broomfield, Co | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Fort Collins, CO3 employees
- Broomfield, CO3 employees
- Bellevue, WA2 employees
- , 1 employees
- New York, NY1 employees
- Pittsburgh, PA1 employees
- Beverly Hills, CA1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- high office count relative to headcountStatic outlier · filing Sep 3, 2026offices per registered advisor of 1.4 against a peer median of 0.3 (530 comparable advisers, 98.0th percentile, 4.6 robust deviations)peers: independent wealth managers, $1B to $5B (530) · 98% percentile
- control person changedChange between filings · filing Sep 3, 2026G•••••• S••••••• R•••••• (MEMBER AND MANAGER) left Schedule A between the filings of 2021-02-24 and 2026-09-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Sep 3, 2026S••••• M•••• P••• (MEMBER AND MANAGER) left Schedule A between the filings of 2021-02-24 and 2026-09-03peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Sep 3, 2026G••••••• S••••••• L•• (MEMBER AND MANAGER) left Schedule A between the filings of 2021-02-24 and 2026-09-03peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0May 27, 2026 to Sep 3, 2026
- Succession · false to unsetMay 27, 2026 to Sep 3, 2026
- Other offices · 9 to 10Mar 30, 2026 to May 27, 2026
- Accounts · 1,889 to 1,948Dec 24, 2025 to Mar 30, 2026
- Corporate clients · 14 to 16Dec 24, 2025 to Mar 30, 2026
- HNW clients · 419 to 440Dec 24, 2025 to Mar 30, 2026
- Individual clients · 441 to 391Dec 24, 2025 to Mar 30, 2026
- Pension plan clients · 7 to 9Dec 24, 2025 to Mar 30, 2026
- State-registered IARs · 8 to 7Dec 24, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.2B to $1.3BDec 24, 2025 to Mar 30, 2026
- HNW RAUM · $992M to $1.1BDec 24, 2025 to Mar 30, 2026
- Individual RAUM · $196M to $190MDec 24, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $12.7M to $16.8MDec 24, 2025 to Mar 30, 2026
- Pension RAUM · $2.6M to $4.0MDec 24, 2025 to Mar 30, 2026
- RAUM · $1.2B to $1.4BDec 24, 2025 to Mar 30, 2026
- Advisory employees · 16 to 17Apr 8, 2025 to Dec 24, 2025
- Employees · 16 to 17Apr 8, 2025 to Dec 24, 2025
- Insurance-licensed employees · 0 to 1Apr 8, 2025 to Dec 24, 2025
- State-registered IARs · 7 to 8Apr 8, 2025 to Dec 24, 2025
- Other offices · 8 to 9Apr 8, 2025 to Dec 24, 2025
- Related adviser · false to trueApr 8, 2025 to Dec 24, 2025
- Accounts · 1,942 to 1,889Mar 26, 2024 to Apr 8, 2025
- Advisory employees · 14 to 16Mar 26, 2024 to Apr 8, 2025
- Corporate clients · 18 to 14Mar 26, 2024 to Apr 8, 2025
- HNW clients · 423 to 419Mar 26, 2024 to Apr 8, 2025
- Individual clients · 456 to 441Mar 26, 2024 to Apr 8, 2025
- Pension plan clients · 5 to 7Mar 26, 2024 to Apr 8, 2025
- Employees · 14 to 16Mar 26, 2024 to Apr 8, 2025
- Financial planning clients · 1-10 to 0Mar 26, 2024 to Apr 8, 2025
- Discretionary RAUM · $1.2B to $1.2BMar 26, 2024 to Apr 8, 2025
- HNW RAUM · $938M to $992MMar 26, 2024 to Apr 8, 2025
- Individual RAUM · $213M to $196MMar 26, 2024 to Apr 8, 2025
- Non-discretionary RAUM · $16.0M to $12.7MMar 26, 2024 to Apr 8, 2025
- Pension RAUM · $2.2M to $2.6MMar 26, 2024 to Apr 8, 2025
- RAUM · $1.2B to $1.2BMar 26, 2024 to Apr 8, 2025
- Accounts · 1,982 to 1,942Mar 29, 2023 to Mar 26, 2024
- Advisory employees · 13 to 14Mar 29, 2023 to Mar 26, 2024
- Corporate clients · 17 to 18Mar 29, 2023 to Mar 26, 2024
- HNW clients · 397 to 423Mar 29, 2023 to Mar 26, 2024
- Individual clients · 500 to 456Mar 29, 2023 to Mar 26, 2024
Signals
2 dated events
- Paul Mark Stein (Member And Manager) appeared on Schedule A of G•••••• G•••••• • S••••• L••Feb 24, 2021 · Control person joined · fact
- G•••••• G•••••• • S••••• L•• reported RAUM $1.1B, up 37% from $779.4M (2019-11-12 to 2020-03-17)Mar 17, 2020 · RAUM change · derived
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
- service@ggsadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 330-467-3111reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 330-467-3112reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 480-306-6155reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 480-776-1445reportedpublic record, Form ADV, Sep 3, 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
- $169Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026