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 11, 2026
First filing on the tape Oct 7, 2024 · 5 filings
SEC status approved since Nov 6, 2024
RAUM
$128M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$128M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$32.0M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$128M as of Feb 11, 2026
Feb 25, 2025$109M then
HNW client RAUM$55.0M as of Feb 11, 2026
Feb 25, 2025$26.8M then
State-registered IARs (5.B.3)4 as of Feb 11, 2026
Feb 25, 20254 then
Employees (5.A)4 as of Feb 11, 2026
Feb 25, 20254 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Feb 11, 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
- $32.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $426,833derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +41%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- yesreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$73.0M57%
- High-net-worth individuals$55.0M43%
- Investment companies$100,0000.1%
- Individual clients
- 209reported
- HNW clients
- 31reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 300reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••• H• M••••• | Wexford, Pa | Jan 31, 2011 | 24 y | 3 |
| J•••• P•••••• S•••••• | Wexford, Pa | Feb 16, 2012 | 31 y | 0 |
| T••••• J••••• B•••• | Wexford, Pa | Feb 16, 2012 | 22 y | 0 |
| B••••••• H••••• P••••• | Wexford, Pa | Feb 25, 2025 | 10 y | 3 |
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
- B••••••• H••••• P••••• from P•• W••••• M•••••••••Feb 25, 2025 · Affiliated broker-dealer or bank to independent RIA
- G••• H• M••••• from V••• F•••••••• A•••••••• I•••Jan 31, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• C••••• · Ownercontrolsince 12/2010 · owns 25% to 50%
- M•••••• G•••• H• · Managing Member/Chief Compliance Officercontrolsince 12/2010 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Wexford, Pa · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Feb 11, 2026HNW share of RAUM moved from 25.0% to 43.0% between the annual amendments of 2025-02-25 and 2026-02-11peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 269 to 300May 1, 2025 to Feb 11, 2026
- HNW clients · 26 to 31May 1, 2025 to Feb 11, 2026
- Individual clients · 193 to 209May 1, 2025 to Feb 11, 2026
- Discretionary RAUM · $103M to $128MMay 1, 2025 to Feb 11, 2026
- HNW RAUM · $43.9M to $55.0MMay 1, 2025 to Feb 11, 2026
- Individual RAUM · $58.7M to $73.0MMay 1, 2025 to Feb 11, 2026
- RAUM · $103M to $128MMay 1, 2025 to Feb 11, 2026
- Accounts · 170 to 269Feb 25, 2025 to May 1, 2025
- HNW clients · 15 to 26Feb 25, 2025 to May 1, 2025
- Individual clients · 155 to 193Feb 25, 2025 to May 1, 2025
- Financial planning clients · 0 to 0Feb 25, 2025 to May 1, 2025
- Discretionary RAUM · $109M to $103MFeb 25, 2025 to May 1, 2025
- HNW RAUM · $26.8M to $43.9MFeb 25, 2025 to May 1, 2025
- Individual RAUM · $81.7M to $58.7MFeb 25, 2025 to May 1, 2025
- RAUM · $109M to $103MFeb 25, 2025 to May 1, 2025
- Accounts · 270 to 170Nov 8, 2024 to Feb 25, 2025
- Advisory employees · 3 to 4Nov 8, 2024 to Feb 25, 2025
- Advisory activities · 2 to 4Nov 8, 2024 to Feb 25, 2025
- HNW clients · 148 to 15Nov 8, 2024 to Feb 25, 2025
- Individual clients · 12 to 155Nov 8, 2024 to Feb 25, 2025
- Assets in custody · unset to 0.0Nov 8, 2024 to Feb 25, 2025
- Custody of client assets · false to trueNov 8, 2024 to Feb 25, 2025
- State-registered IARs · 3 to 4Nov 8, 2024 to Feb 25, 2025
- Discretionary RAUM · $106M to $109MNov 8, 2024 to Feb 25, 2025
- HNW RAUM · $81.0M to $26.8MNov 8, 2024 to Feb 25, 2025
- Individual RAUM · $24.9M to $81.7MNov 8, 2024 to Feb 25, 2025
- RAUM · $106M to $109MNov 8, 2024 to Feb 25, 2025
Signals
1 dated events
- G••••••• C••••••• L•• filed its initial SEC registration (Form ADV)Oct 7, 2024 · 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
- Website
- gmafinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 724-934-3050reportedpublic record, Form ADV, Feb 11, 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
- $32.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026