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•••• C•••••• L••
Latest filing Feb 20, 2026
First filing on the tape Feb 14, 2012 · 13 filings
SEC status approved since Sep 30, 2021
RAUM
$210M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$210M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$210M as of Feb 20, 2026
Feb 14, 2012$91.4M then
HNW client RAUM$202M as of Feb 20, 2026
Feb 11, 2022$138M then
State-registered IARs (5.B.3)2 as of Feb 20, 2026
Feb 14, 20120 then
Employees (5.A)3 as of Feb 20, 2026
Mar 8, 20133 then
Private funds: no history
RAUM +32% over the last fiscal year+20% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 20, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $30.0M, 9 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$202M96%
- Individuals$7.9M3.8%
- Individual clients
- 12reported
- HNW clients
- 40reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 101reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $30.0M for 9 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 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 |
|---|---|---|---|---|
| F•••• •••• G••••Chartered Financial Analyst | Charlotte, Nc | Jun 29, 2010 | 30 y | 0 |
| J••••• M•••••• B••••• | Charlotte, Nc | Jan 29, 2021 | 11 y | 1 |
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
- J••••• M•••••• B••••• from E••••••• C•••••• M•••••••••Jan 29, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• F••••• •••• · Managing Member/Chief Compliance Officercontrolsince 06/2010 · 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 |
|---|---|---|---|---|---|
| Charlotte, Nc · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 95 to 101Feb 16, 2025 to Feb 20, 2026
- HNW clients · 36 to 40Feb 16, 2025 to Feb 20, 2026
- Individual clients · 14 to 12Feb 16, 2025 to Feb 20, 2026
- Assets in custody · $10.1M to $30.0MFeb 16, 2025 to Feb 20, 2026
- Discretionary RAUM · $159M to $210MFeb 16, 2025 to Feb 20, 2026
- HNW RAUM · $155M to $202MFeb 16, 2025 to Feb 20, 2026
- Individual RAUM · $3.5M to $7.9MFeb 16, 2025 to Feb 20, 2026
- RAUM · $159M to $210MFeb 16, 2025 to Feb 20, 2026
- Accounts · 78 to 95Feb 2, 2024 to Feb 16, 2025
- HNW clients · 29 to 36Feb 2, 2024 to Feb 16, 2025
- Individual clients · 11 to 14Feb 2, 2024 to Feb 16, 2025
- Assets in custody · $16.9M to $10.1MFeb 2, 2024 to Feb 16, 2025
- Financial planning clients · unset to Feb 2, 2024 to Feb 16, 2025
- Discretionary RAUM · $135M to $159MFeb 2, 2024 to Feb 16, 2025
- HNW RAUM · $132M to $155MFeb 2, 2024 to Feb 16, 2025
- Individual RAUM · $2.6M to $3.5MFeb 2, 2024 to Feb 16, 2025
- RAUM · $135M to $159MFeb 2, 2024 to Feb 16, 2025
- Accounts · 88 to 78Feb 6, 2023 to Feb 2, 2024
- HNW clients · 26 to 29Feb 6, 2023 to Feb 2, 2024
- Individual clients · 8 to 11Feb 6, 2023 to Feb 2, 2024
- Assets in custody · $22.9M to $16.9MFeb 6, 2023 to Feb 2, 2024
- Discretionary RAUM · $120M to $135MFeb 6, 2023 to Feb 2, 2024
- HNW RAUM · $119M to $132MFeb 6, 2023 to Feb 2, 2024
- Individual RAUM · $1.3M to $2.6MFeb 6, 2023 to Feb 2, 2024
- RAUM · $120M to $135MFeb 6, 2023 to Feb 2, 2024
- HNW clients · 32 to 26Sep 2, 2022 to Feb 6, 2023
- Assets in custody · $25.4M to $22.9MSep 2, 2022 to Feb 6, 2023
- Discretionary RAUM · $139M to $120MSep 2, 2022 to Feb 6, 2023
- HNW RAUM · $138M to $119MSep 2, 2022 to Feb 6, 2023
- Individual RAUM · $1.1M to $1.3MSep 2, 2022 to Feb 6, 2023
- RAUM · $139M to $120MSep 2, 2022 to Feb 6, 2023
- Accounts · 85 to 88Sep 2, 2022 to Feb 6, 2023
- Accounts · 83 to 85Aug 30, 2021 to Feb 11, 2022
- HNW clients · 37 to 32Aug 30, 2021 to Feb 11, 2022
- Individual clients · 6 to 8Aug 30, 2021 to Feb 11, 2022
- Assets in custody · $25.6M to $25.4MAug 30, 2021 to Feb 11, 2022
- Discretionary RAUM · $134M to $139MAug 30, 2021 to Feb 11, 2022
- HNW RAUM · $133M to $138MAug 30, 2021 to Feb 11, 2022
- Individual RAUM · $909,053 to $1.1MAug 30, 2021 to Feb 11, 2022
- RAUM · $134M to $139MAug 30, 2021 to Feb 11, 2022
Signals
1 dated events
- G•••• C•••••• L•• filed its initial SEC registration (Form ADV)Aug 30, 2021 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/G••••-CAPITAL-LLCreportedpublic record, Form ADV, Sep 19, 2026
- Website
- G••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 704-944-3233reportedpublic record, Form ADV, Feb 20, 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
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026