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•• P•••••• W•••••
Legal name G•• P•••••• W•••••• L••
Latest filing Apr 30, 2018
First filing on the tape Jul 9, 2012 · 14 filings
RAUM
$356M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$356M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$356M as of Mar 27, 2018
Mar 1, 2013$231M then
HNW client RAUM: $353M
State-registered IARs (5.B.3)3 as of Mar 27, 2018
Mar 1, 20133 then
Employees (5.A)8 as of Mar 27, 2018
Mar 1, 20133 then
Private funds: no history
RAUM +14% over the last fiscal year+5.0% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Apr 30, 2018; every figure names its basis
- RAUM per advisor
- $119MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.9MderivedHNW RAUM over HNW clients
- Average account
- $4.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $34.7M, 4 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$353M99%
- Individuals$3.3M0.9%
- Individual clients
- 9reported
- HNW clients
- 72reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 81reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $34.7M for 4 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
- G••• A••• W•••••• to M••••• G••••• A••••••• I•••Jul 13, 2018 · Other
- S••••• L•• N••••• to M••••• G••••• A••••••• I•••Jul 13, 2018 · Other
- A••••• J••••••• V••• to M••••• G••••• A••••••• I•••Jun 22, 2018 · RIA to RIA
- B••••• S••••• W•••• to Y••• C•••••• C••••Feb 6, 2017 · Other
Joined, latest
- A••••• J••••••• V••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 9, 2013 · Other
- B••••• S••••• W•••• from R•• C•••••• M••••••• L••Oct 3, 2012 · Affiliated broker-dealer or bank to a newly registered adviser
- S••••• L•• N••••• from R•• C•••••• M••••••• L••Sep 17, 2012 · Affiliated broker-dealer or bank to a newly registered adviser
- G••• A••• W•••••• from R•• C•••••• M••••••• L••Sep 14, 2012 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for M••••• G••••• A••••••• I•••Jul 13, 2018 · Clearwater, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••• I•• W••••••• A••• · Ccocontrolsince 02/2018 · owns less than 5%
- N•••••• S•••••• L•• · Managercontrolsince 09/2012 · owns less than 5%
- W••••••• G•••• A••• · Managercontrolsince 09/2012 · owns less than 5%
Entity owners
- M••••• A••••••• I••• · Parent Companydirect · owns 75% or more
- G•••••• C•••••• · Shareholderindirect · owns 75% or more of M••••• A••••••• I•••
- L••••• M•••••• E••••• P••••••• I•• · Shareholderindirect · owns F of M••••• A••••••• I•••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Pension RAUM · unset to 0.0Mar 29, 2017 to Mar 27, 2018
- Pooled vehicle RAUM · unset to 0.0Mar 29, 2017 to Mar 27, 2018
- RAUM · $314M to $356MMar 29, 2017 to Mar 27, 2018
- Accounts · 682 to 81Mar 29, 2017 to Mar 27, 2018
- Advisory employees · 4 to 7Mar 29, 2017 to Mar 27, 2018
- Charity clients · unset to 0.0Mar 29, 2017 to Mar 27, 2018
- Corporate clients · unset to 0.0Mar 29, 2017 to Mar 27, 2018
- HNW clients · unset to 72.0Mar 29, 2017 to Mar 27, 2018
- Individual clients · unset to 9.0Mar 29, 2017 to Mar 27, 2018
- Pension plan clients · unset to 0.0Mar 29, 2017 to Mar 27, 2018
- Pooled vehicle clients · unset to 0.0Mar 29, 2017 to Mar 27, 2018
- Assets in custody · $6.3M to $34.7MMar 29, 2017 to Mar 27, 2018
- State-registered IARs · 4 to 3Mar 29, 2017 to Mar 27, 2018
- Other offices · unset to 0.0Mar 29, 2017 to Mar 27, 2018
- Discretionary RAUM · $311M to $356MMar 29, 2017 to Mar 27, 2018
- HNW RAUM · unset to 353053244.0Mar 29, 2017 to Mar 27, 2018
- Individual RAUM · unset to 3257002.0Mar 29, 2017 to Mar 27, 2018
- Non-discretionary RAUM · $3.1M to $426,137Mar 29, 2017 to Mar 27, 2018
- Accounts · 653 to 682May 13, 2016 to Mar 29, 2017
- Advisory employees · 5 to 4May 13, 2016 to Mar 29, 2017
- Assets in custody · $5.1M to $6.3MMay 13, 2016 to Mar 29, 2017
- Financial planning clients · 51-100 to 0May 13, 2016 to Mar 29, 2017
- State-registered IARs · 5 to 4May 13, 2016 to Mar 29, 2017
- Discretionary RAUM · $289M to $311MMay 13, 2016 to Mar 29, 2017
- Non-discretionary RAUM · $3.5M to $3.1MMay 13, 2016 to Mar 29, 2017
- RAUM · $293M to $314MMay 13, 2016 to Mar 29, 2017
- Accounts · 671 to 653Mar 27, 2015 to Mar 29, 2016
- Assets in custody · $5.1M to $5.1MMar 27, 2015 to Mar 29, 2016
- Financial planning clients · 0 to 51-100Mar 27, 2015 to Mar 29, 2016
- Discretionary RAUM · $305M to $289MMar 27, 2015 to Mar 29, 2016
- Non-discretionary RAUM · $3.3M to $3.5MMar 27, 2015 to Mar 29, 2016
- RAUM · $308M to $293MMar 27, 2015 to Mar 29, 2016
- Accounts · 594 to 671Mar 28, 2014 to Mar 27, 2015
- Assets in custody · $5.5M to $5.1MMar 28, 2014 to Mar 27, 2015
- Discretionary RAUM · $287M to $305MMar 28, 2014 to Mar 27, 2015
- Non-discretionary RAUM · $2.3M to $3.3MMar 28, 2014 to Mar 27, 2015
- RAUM · $290M to $308MMar 28, 2014 to Mar 27, 2015
- Accounts · 502 to 594Mar 1, 2013 to Mar 28, 2014
- Advisory employees · 3 to 5Mar 1, 2013 to Mar 28, 2014
- Assets in custody · unset to 5500000.0Mar 1, 2013 to Mar 28, 2014
Signals
1 dated events
- G•• P•••••• W••••• filed its initial SEC registration (Form ADV)Jul 9, 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