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Former SEC-registered adviser

P•••••• C••••• G••••

Former SEC-registered adviserScottsdale, ArizonaCRD 165178SEC 801-78545IAPD
Legal name G••• I•••
Latest filing Apr 25, 2014
First filing on the tape Sep 3, 2013 · 5 filings
RAUM
$114M
reported, Item 5.F
Discretionary
46%
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
6
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$114M as of Apr 25, 2014
Sep 3, 2013$121M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Apr 25, 2014
Sep 3, 20132 then
Employees (5.A)6 as of Apr 25, 2014
Sep 3, 20136 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 25, 2014; every figure names its basis
RAUM per advisor
$38.0MderivedRAUM 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
$161,702derivedRAUM over accounts (5.F.2.f)
Discretionary
46%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 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 individuals, selection of other advisers, educational seminarsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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
705reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H••••••• J•••• K•••••• · Chief Compliance Officercontrol
      since 04/2014 · owns less than 5%
    Entity owners
    • W• W••••• M••••••••• L•• · Owner
      direct · owns 75% or more
    • W••••••••• L••• · Owner
      indirect · owns 75% or more of W• W••••• M••••••••• L••
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · 2 to 3
      Mar 3, 2014 to Apr 25, 2014
    • Insurance-licensed employees · 0 to 1
      Mar 3, 2014 to Apr 25, 2014
    • State-registered IARs · 2 to 3
      Mar 3, 2014 to Apr 25, 2014
    • Related adviser · false to true
      Mar 3, 2014 to Apr 25, 2014
    • Accounts · 720 to 705
      Sep 3, 2013 to Mar 3, 2014
    • Insurance-licensed employees · 1 to 0
      Sep 3, 2013 to Mar 3, 2014
    • Financial planning clients · 51-100 to 0
      Sep 3, 2013 to Mar 3, 2014
    • HQ city · ALPHARETTA to SCOTTSDALE
      Sep 3, 2013 to Mar 3, 2014
    • HQ state · GA to AZ
      Sep 3, 2013 to Mar 3, 2014
    • Discretionary RAUM · $52.0M to $53.0M
      Sep 3, 2013 to Mar 3, 2014
    • Non-discretionary RAUM · $69.0M to $61.0M
      Sep 3, 2013 to Mar 3, 2014
    • RAUM · $121M to $114M
      Sep 3, 2013 to Mar 3, 2014
    Signals
    1 dated events
    • P•••••• C••••• G•••• filed its initial SEC registration (Form ADV)
      Sep 3, 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