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•••• W••••• M••••••••• L••
Latest filing Feb 22, 2017
First filing on the tape Aug 28, 2013 · 16 filings
RAUM
$2.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$2.5M as of Feb 17, 2017
Mar 27, 2014$540M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Feb 17, 2017
Mar 27, 20144 then
Employees (5.A)4 as of Feb 17, 2017
Mar 27, 20148 then
Private funds: 4
RAUM -100% over the last fiscal year-83% a year over threeIARs 8 to 3
Practice profile
derived from the filing of Feb 22, 2017; every figure names its basis
- RAUM per advisor
- $841,865derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $157,850derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -100%derivedbetween the last two annual amendments
- Advisor growth, one year
- -63%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 16reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- J•••••• S•••• M•••••••• to C••••••• P•••••••Aug 29, 2017 · Other
- B•••• P•••• K••••• to C••••••• P•••••••Aug 29, 2017 · Other
- P•••••• N••••• A••••••• to C••••••• P•••••••Aug 29, 2017 · Other
- N••••• C•••• C••••••• to C••••••• P•••••••Aug 29, 2017 · Other
- N••••• R•••• S•••••• to C••••••• P•••••••Aug 29, 2017 · Other
- S•••• O•••••• W•••• to S•••••••• S•••••••••Aug 12, 2016 · Other
- J••• M•••••• P••••• to D•••••• • Y•••••• L••Jun 6, 2016 · Other
- C•••••• B•••••• S•••• to C••••••• P•••••••Jun 6, 2016 · Other
- D••• B•••••• K••••• to A••••••••• F•••••••• S•••••••• L••May 20, 2016 · Other
- G•••••••• S•••••••• to A••••••• P••••••• A•••••••• L••May 19, 2016 · Other
- C••••••••• G•••••• R•••••• to P••• F•••••••• A•••••••• L••Mar 18, 2016 · Other
Joined, latest
- N••••• R•••• S•••••• from J••• M••••• P•••••• W••••• A••••••• L••Apr 4, 2016 · Other
- C•••••• B•••••• S•••• from P•••••• W••••• C••••••• I•••Apr 4, 2016 · Other
- C••••••••• G•••••• R•••••• from M••••••Oct 20, 2015 · Other
- S•••• O•••••• W•••• from U•• F•••••••• S••••••• I•••May 26, 2015 · Other
- N••••• C•••• C••••••• from G••••• F•••••••• P•••••• C••••••• I•••Dec 24, 2014 · Other
- P•••••• N••••• A••••••• from F••••• I•••••••••Nov 3, 2014 · Other
- G•••••••• S•••••••• from U•• F•••••••• S••••••• I•••Oct 31, 2014 · Other
- D••• B•••••• K••••• from S•••••• P•••••• A••••••• L••Feb 13, 2014 · Other
- J•••••• S•••• M•••••••• from U•• F•••••••• S••••••• I•••Oct 4, 2013 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B•••• P•••• K••••• from U•• F•••••••• S••••••• I•••Oct 4, 2013 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for C••••••• P•••••••Aug 29, 2017 · San Diego, Ca · Firm absorbed
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• H•••••• N•••• L•• | Real Estate Fund | $10.4M | 45 | Apr 27, 2015 |
| P•• T• L•• | Real Estate Fund | $6.0M | 20 | Apr 27, 2015 |
| G•••• W••••• S••••• O• C••••••••• M•••• S••••• I••• L• | Hedge Fund | $4.0M | 1 | Apr 27, 2015 |
| L••••••• S••••• L••••• L•• | Real Estate Fund | $2.0M | 11 | Apr 27, 2015 |
| G•• M••••••••• R•••• I•••••••• L••no longer reported | Real Estate Fund | $74,103 | 13 | Apr 27, 2015 |
| G•• I••••••••• S•• I••••••••• L••no longer reported | Real Estate Fund | $30,937 | 13 | Apr 27, 2015 |
Owners and control persons
Schedule A and B, latest filing
- G••••• A•••• K• · Managing Membercontrolsince 10/2013 · owns 75% or more
- K•••••• B••••• P•••• · Membercontrolsince 10/2013 · owns 5% to 10%
- M••••••••• J••••••• S•••• · Membercontrolsince 10/2013 · owns 10% to 25%
- Y••••• J•••• R•••••• · Chief Compliance Officercontrolsince 11/2014 · owns less than 5%
Related persons
Schedule D 7.A
- Stronghold Financial, LLCinvestment advisernRAUM $38.9M
Advisers that list G•••• W••••• M••••••••• L•• as a related person
- 170908 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,521 to 16Mar 30, 2016 to Feb 17, 2017
- Advisory employees · 9 to 3Mar 30, 2016 to Feb 17, 2017
- Advisory activities · 4 to 1Mar 30, 2016 to Feb 17, 2017
- Assets in custody · 482799626.0 to unsetMar 30, 2016 to Feb 17, 2017
- Custody of client assets · true to falseMar 30, 2016 to Feb 17, 2017
- Employees · 18 to 4Mar 30, 2016 to Feb 17, 2017
- State-registered IARs · 8 to 3Mar 30, 2016 to Feb 17, 2017
- Private funds · 4 to unsetMar 30, 2016 to Feb 17, 2017
- Discretionary RAUM · $967M to $2.5MMar 30, 2016 to Feb 17, 2017
- Non-discretionary RAUM · $91.8M to $0Mar 30, 2016 to Feb 17, 2017
- RAUM · $1.1B to $2.5MMar 30, 2016 to Feb 17, 2017
- Accounts · 1,154 to 1,521Jun 4, 2015 to Mar 30, 2016
- Advisory employees · 10 to 9Jun 4, 2015 to Mar 30, 2016
- Assets in custody · $286M to $483MJun 4, 2015 to Mar 30, 2016
- Employees · 23 to 18Jun 4, 2015 to Mar 30, 2016
- Financial planning clients · 11-25 to 0Jun 4, 2015 to Mar 30, 2016
- Private funds · 6 to 4Jun 4, 2015 to Mar 30, 2016
- Discretionary RAUM · $769M to $967MJun 4, 2015 to Mar 30, 2016
- Non-discretionary RAUM · $94.0M to $91.8MJun 4, 2015 to Mar 30, 2016
- RAUM · $863M to $1.1BJun 4, 2015 to Mar 30, 2016
- Accounts · 940 to 1,154Feb 19, 2015 to Apr 27, 2015
- Employees · 20 to 23Feb 19, 2015 to Apr 27, 2015
- Private funds · unset to 6Feb 19, 2015 to Apr 27, 2015
- Discretionary RAUM · $597M to $769MFeb 19, 2015 to Apr 27, 2015
- Non-discretionary RAUM · $92.2M to $94.0MFeb 19, 2015 to Apr 27, 2015
- RAUM · $690M to $863MFeb 19, 2015 to Apr 27, 2015
- Accounts · 743 to 940Nov 21, 2014 to Feb 19, 2015
- Advisory employees · 5 to 10Nov 21, 2014 to Feb 19, 2015
- Assets in custody · $10.0M to $286MNov 21, 2014 to Feb 19, 2015
- Employees · 8 to 20Nov 21, 2014 to Feb 19, 2015
- State-registered IARs · 4 to 8Nov 21, 2014 to Feb 19, 2015
- Discretionary RAUM · $488M to $597MNov 21, 2014 to Feb 19, 2015
- Non-discretionary RAUM · $52.7M to $92.2MNov 21, 2014 to Feb 19, 2015
- RAUM · $540M to $690MNov 21, 2014 to Feb 19, 2015
- Business name · STRONGHOLD WEALTH MANAGEMENT, LLC to GUPTA WEALTH MANAGEMENT, LLCOct 11, 2014 to Nov 17, 2014
- Legal name · STRONGHOLD WEALTH MANAGEMENT, LLC to GUPTA WEALTH MANAGEMENT, LLCOct 11, 2014 to Nov 17, 2014
- Business name · GUPTA WEALTH MANAGEMENT, LLC to STRONGHOLD WEALTH MANAGEMENT, LLCSep 12, 2014 to Oct 11, 2014
- Legal name · GUPTA WEALTH MANAGEMENT, LLC to STRONGHOLD WEALTH MANAGEMENT, LLCSep 12, 2014 to Oct 11, 2014
- Related adviser · false to trueSep 12, 2014 to Oct 11, 2014
- Assets in custody · unset to 10000000.0Mar 27, 2014 to Jul 24, 2014
Signals
1 dated events
- Artelm Wealth Advisors, Llc filed its initial SEC registration (Form ADV)Aug 28, 2013 · 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
Across the graphs
G•••• W••••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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