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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Former SEC-registered adviser

G••••• F•••••••• G••••

Former SEC-registered adviserBoca Raton, FloridaCRD 157037SEC 801-77140IAPD
Legal name G••••• F•••••••• G••••• I•••
Latest filing Mar 29, 2022
First filing on the tape Sep 6, 2012 · 29 filings
RAUM
$523M
reported, Item 5.F
Discretionary
47%
of RAUM
Private clients
90%
$472M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
15 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$523M as of Mar 29, 2022
Mar 28, 2013$168M then
HNW client RAUM$389M as of Mar 29, 2022
Mar 29, 2018$169M then
State-registered IARs (5.B.3)15 as of Mar 29, 2022
Mar 28, 201310 then
Employees (5.A)15 as of Mar 29, 2022
Mar 28, 201310 then
Private funds: no history
RAUM +30% over the last fiscal year+15% a year over threeIARs 15 to 15
Practice profile
derived from the filing of Mar 29, 2022; every figure names its basis
RAUM per advisor
$34.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
32derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
47%derivedof RAUM
Institutional
2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.8derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+30%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+13%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Wrap fee program
$273MreportedItem 5.I
Custody
$127M, 156 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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$389M74%
  • Individuals$83.0M16%
  • Corporations and businesses$36.6M7.0%
  • Pension and profit-sharing plans$13.9M2.7%
Individual clients
308reported
HNW clients
167reported
Pension plan clients
11reported
Charitable clients
0reported
Accounts
464reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$127M for 156 clientsreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • G•••••• P••••••• S•••••••• · Principal/Chief Compliance Officercontrol
    since 02/2011 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Palm Beach Gardens, FL1 employees
  • Raleigh, NC1 employees
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 929 to 464
    Mar 31, 2021 to Mar 29, 2022
  • Charity clients · unset to 0.0
    Mar 31, 2021 to Mar 29, 2022
  • Corporate clients · 10 to 14
    Mar 31, 2021 to Mar 29, 2022
  • HNW clients · 158 to 167
    Mar 31, 2021 to Mar 29, 2022
  • Individual clients · 263 to 308
    Mar 31, 2021 to Mar 29, 2022
  • Pension plan clients · 6 to 11
    Mar 31, 2021 to Mar 29, 2022
  • Assets in custody · $129M to $127M
    Mar 31, 2021 to Mar 29, 2022
  • Discretionary RAUM · $179M to $247M
    Mar 31, 2021 to Mar 29, 2022
  • HNW RAUM · $301M to $389M
    Mar 31, 2021 to Mar 29, 2022
  • Individual RAUM · $58.2M to $83.0M
    Mar 31, 2021 to Mar 29, 2022
  • Non-discretionary RAUM · $223M to $275M
    Mar 31, 2021 to Mar 29, 2022
  • Pension RAUM · $11.5M to $13.9M
    Mar 31, 2021 to Mar 29, 2022
  • RAUM · $403M to $523M
    Mar 31, 2021 to Mar 29, 2022
  • Accounts · 1,189 to 929
    Oct 1, 2020 to Mar 31, 2021
  • Advisory employees · 14 to 15
    Oct 1, 2020 to Mar 31, 2021
  • BD registered reps · 13 to 14
    Oct 1, 2020 to Mar 31, 2021
  • Corporate clients · 6 to 10
    Oct 1, 2020 to Mar 31, 2021
  • HNW clients · 108 to 158
    Oct 1, 2020 to Mar 31, 2021
  • Individual clients · 362 to 263
    Oct 1, 2020 to Mar 31, 2021
  • Pension plan clients · 16 to 6
    Oct 1, 2020 to Mar 31, 2021
  • Assets in custody · $64.2M to $129M
    Oct 1, 2020 to Mar 31, 2021
  • Employees · 14 to 15
    Oct 1, 2020 to Mar 31, 2021
  • Financial planning clients · 11-25 to 0
    Oct 1, 2020 to Mar 31, 2021
  • State-registered IARs · 14 to 15
    Oct 1, 2020 to Mar 31, 2021
  • Discretionary RAUM · $178M to $179M
    Oct 1, 2020 to Mar 31, 2021
  • HNW RAUM · $222M to $301M
    Oct 1, 2020 to Mar 31, 2021
  • Individual RAUM · $126M to $58.2M
    Oct 1, 2020 to Mar 31, 2021
  • Non-discretionary RAUM · $232M to $223M
    Oct 1, 2020 to Mar 31, 2021
  • Pension RAUM · $34.9M to $11.5M
    Oct 1, 2020 to Mar 31, 2021
  • RAUM · $410M to $403M
    Oct 1, 2020 to Mar 31, 2021
  • Accounts · 1,097 to 1,189
    Mar 15, 2019 to Mar 25, 2020
  • Advisory employees · 16 to 14
    Mar 15, 2019 to Mar 25, 2020
  • BD registered reps · 15 to 13
    Mar 15, 2019 to Mar 25, 2020
  • HNW clients · 96 to 108
    Mar 15, 2019 to Mar 25, 2020
  • Individual clients · 412 to 362
    Mar 15, 2019 to Mar 25, 2020
  • Pension plan clients · 13 to 16
    Mar 15, 2019 to Mar 25, 2020
  • Assets in custody · $52.5M to $64.2M
    Mar 15, 2019 to Mar 25, 2020
  • Employees · 16 to 14
    Mar 15, 2019 to Mar 25, 2020
  • State-registered IARs · 16 to 14
    Mar 15, 2019 to Mar 25, 2020
  • Discretionary RAUM · $176M to $178M
    Mar 15, 2019 to Mar 25, 2020
Signals
17 dated events
  • J••••• S••••• K••• left G••••• F•••••••• G•••• for G•••• V••••• A•••••• G••••• L•• (registered 2022-05-06)
    May 10, 2022 · a•••••• firm change · fact
  • R•••••• M••• T•••••• left G••••• F•••••••• G•••• for G•••• V••••• A•••••• G••••• L•• (registered 2022-05-05)
    May 10, 2022 · a•••••• firm change · fact
  • J•••• R• K••••• left G••••• F•••••••• G•••• for G•••• V••••• A•••••• G••••• L•• (registered 2022-04-28)
    Apr 27, 2022 · a•••••• firm change · fact
  • C••••••••• D•• S•••• left G••••• F•••••••• G•••• for G•••• V••••• A•••••• G••••• L•• (registered 2022-04-06)
    Apr 27, 2022 · a•••••• firm change · fact
  • J••• W•••• J•••••• left G••••• F•••••••• G•••• for G•••• V••••• A•••••• G••••• L•• (registered 2022-04-07)
    Apr 27, 2022 · a•••••• firm change · fact
  • D•••• J••••• B•••• left G••••• F•••••••• G•••• for G•••• V••••• A•••••• G••••• L•• (registered 2022-03-28)
    Apr 27, 2022 · a•••••• firm change · fact
  • J•••••• C••• R•••• left G••••• F•••••••• G•••• for G•••• V••••• A•••••• G••••• L•• (registered 2022-03-28)
    Apr 27, 2022 · a•••••• firm change · fact
  • S••••• J••••• H••• left G••••• F•••••••• G•••• for G•••• V••••• A•••••• G••••• L•• (registered 2022-03-29)
    Apr 27, 2022 · a•••••• firm change · fact
  • L••• P••••• left G••••• F•••••••• G•••• for G•••• V••••• A•••••• G••••• L•• (registered 2022-03-28)
    Apr 27, 2022 · a•••••• firm change · fact
  • T••• A•••• K••••••••• left G••••• F•••••••• G•••• for G•••• V••••• A•••••• G••••• L•• (registered 2022-04-08)
    Apr 27, 2022 · a•••••• firm change · fact
  • O••• F••••••• C•••• left G••••• F•••••••• G•••• for G•••• V••••• A•••••• G••••• L•• (registered 2022-03-28)
    Apr 27, 2022 · a•••••• firm change · fact
  • P•••••• A•••••• left G••••• F•••••••• G•••• for G•••• V••••• A•••••• G••••• L•• (registered 2022-03-25)
    Apr 27, 2022 · a•••••• firm change · fact
  • T••• J••••• S••••• left G••••• F•••••••• G•••• for G•••• V••••• A•••••• G••••• L•• (registered 2022-03-28)
    Apr 22, 2022 · a•••••• firm change · fact
  • J•••• M••••• F•••••• left G••••• F•••••••• G•••• for G•••• V••••• A•••••• G••••• L•• (registered 2022-04-07)
    Apr 22, 2022 · a•••••• firm change · fact
  • G••••• F•••••••• G••••'s advisors moved to G•••• V••••• A•••••• G••••• L•• (Boca Raton, FL): 14 of 14 registered, within 18 days
    Apr 22, 2022 · Firm absorbed (people side) · derived
  • G••••• F•••••••• G•••• reported RAUM $522.6M, up 30% from $402.6M (2021-03-31 to 2022-03-29)
    Mar 29, 2022 · RAUM change · derived
  • G••••• F•••••••• G•••• filed its initial SEC registration (Form ADV)
    Sep 6, 2012 · 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.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026