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

F•••••• G••••• M•••••• L••

Former SEC-registered adviserMiddleburg, VirginiaCRD 164741SEC 801-76856IAPD
Latest filing Dec 22, 2020
First filing on the tape Jun 22, 2012 · 24 filings
RAUM
$92.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
39%
$36.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$92.4M as of Mar 26, 2020
Mar 11, 2013$15.8M then
HNW client RAUM$7.5M as of Mar 26, 2020
Mar 29, 2018$6.3M then
State-registered IARs (5.B.3)1 as of Mar 26, 2020
Mar 11, 20131 then
Employees (5.A)6 as of Mar 26, 2020
Mar 11, 20139 then
Private funds: no history
RAUM +58% over the last fiscal year+51% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Dec 22, 2020; every figure names its basis
RAUM per advisor
$92.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
239derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$251,709derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
6.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+58%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consultingreportedItem 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
  • Other investment advisers$51.6M56%
  • Individuals$28.5M31%
  • High-net-worth individuals$7.5M8.1%
  • Pension and profit-sharing plans$3.2M3.4%
  • Corporations and businesses$1.6M1.8%
Individual clients
234reported
HNW clients
5reported
Pension plan clients
n/areported
Charitable clients
0reported
Accounts
367reported
Financial planning clients
n/areported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • A••••••••• J••••• A••••• · Direct Ownercontrol
    since 05/2012 · owns 50% to 75%
  • D•••••••• P•••• G••••• · Cco And Ceocontrol
    since 02/2013 · owns 50% to 75%
Related persons
Schedule D 7.A
Advisers that list F•••••• G••••• M•••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 313 to 367
    Jul 31, 2019 to Mar 26, 2020
  • HNW clients · unset to 5.0
    Jul 31, 2019 to Mar 26, 2020
  • Individual clients · 222 to 234
    Jul 31, 2019 to Mar 26, 2020
  • Employees · 5 to 6
    Jul 31, 2019 to Mar 26, 2020
  • Financial planning clients · 0 to unset
    Jul 31, 2019 to Mar 26, 2020
  • Discretionary RAUM · $58.5M to $92.4M
    Jul 31, 2019 to Mar 26, 2020
  • HNW RAUM · $4.9M to $7.5M
    Jul 31, 2019 to Mar 26, 2020
  • Individual RAUM · $24.5M to $28.5M
    Jul 31, 2019 to Mar 26, 2020
  • Pension RAUM · $1.1M to $3.2M
    Jul 31, 2019 to Mar 26, 2020
  • RAUM · $58.5M to $92.4M
    Jul 31, 2019 to Mar 26, 2020
  • Accounts · 293 to 313
    Mar 29, 2018 to Mar 28, 2019
  • Advisory activities · 1 to 2
    Mar 29, 2018 to Mar 28, 2019
  • Corporate clients · unset to 7.0
    Mar 29, 2018 to Mar 28, 2019
  • HNW clients · 4.0 to unset
    Mar 29, 2018 to Mar 28, 2019
  • Individual clients · 210 to 222
    Mar 29, 2018 to Mar 28, 2019
  • Pooled vehicle clients · 2 to 0
    Mar 29, 2018 to Mar 28, 2019
  • Discretionary RAUM · $42.6M to $58.5M
    Mar 29, 2018 to Mar 28, 2019
  • HNW RAUM · $6.3M to $4.9M
    Mar 29, 2018 to Mar 28, 2019
  • Individual RAUM · $26.8M to $24.5M
    Mar 29, 2018 to Mar 28, 2019
  • Pension RAUM · $410,072 to $1.1M
    Mar 29, 2018 to Mar 28, 2019
  • Pooled vehicle RAUM · $8.0M to $0
    Mar 29, 2018 to Mar 28, 2019
  • RAUM · $42.6M to $58.5M
    Mar 29, 2018 to Mar 28, 2019
  • Accounts · 290 to 293
    Mar 29, 2017 to Mar 29, 2018
  • Charity clients · unset to 0.0
    Mar 29, 2017 to Mar 29, 2018
  • HNW clients · unset to 4.0
    Mar 29, 2017 to Mar 29, 2018
  • Individual clients · unset to 210.0
    Mar 29, 2017 to Mar 29, 2018
  • Pooled vehicle clients · unset to 2.0
    Mar 29, 2017 to Mar 29, 2018
  • Other offices · unset to 1.0
    Mar 29, 2017 to Mar 29, 2018
  • Discretionary RAUM · $26.8M to $42.6M
    Mar 29, 2017 to Mar 29, 2018
  • HNW RAUM · unset to 6315672.0
    Mar 29, 2017 to Mar 29, 2018
  • Individual RAUM · unset to 26784000.0
    Mar 29, 2017 to Mar 29, 2018
  • Pension RAUM · unset to 410072.0
    Mar 29, 2017 to Mar 29, 2018
  • Pooled vehicle RAUM · unset to 7969262.0
    Mar 29, 2017 to Mar 29, 2018
  • RAUM · $26.8M to $42.6M
    Mar 29, 2017 to Mar 29, 2018
  • Accounts · 292 to 290
    Nov 2, 2016 to Mar 29, 2017
  • Discretionary RAUM · $24.2M to $26.8M
    Nov 2, 2016 to Mar 29, 2017
  • RAUM · $24.2M to $26.8M
    Nov 2, 2016 to Mar 29, 2017
  • Accounts · 317 to 292
    Jan 4, 2016 to Mar 28, 2016
  • Employees · 6 to 5
    Jan 4, 2016 to Mar 28, 2016
  • Discretionary RAUM · $28.7M to $24.2M
    Jan 4, 2016 to Mar 28, 2016
Signals
1 dated events
  • F•••••• G••••• M•••••• L•• filed its initial SEC registration (Form ADV)
    Jun 22, 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