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.
SEC-registered adviser
Grupp Financial LLC
Latest filing Jan 22, 2026
First filing on the tape Mar 28, 2018 · 21 filings
SEC status approved since Mar 2, 2026
RAUM
$100M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
2.1%
$2.1M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$33.4M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$100M as of Jan 22, 2026
Mar 28, 2018$7.4M then
HNW client RAUM$2.0M as of Jan 22, 2026
Mar 28, 2018$0 then
State-registered IARs (5.B.3)3 as of Jan 22, 2026
Mar 28, 20182 then
Employees (5.A)3 as of Jan 22, 2026
Mar 28, 20182 then
Private funds: no history
RAUM n/a over the last fiscal year+2.5% a year over three
Practice profile
derived from the filing of Jan 22, 2026; every figure names its basis
- RAUM per advisor
- $33.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 2derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $652,353derivedHNW RAUM over HNW clients
- Average account
- $2.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.6derived5 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 assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $97.9M, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$97.9M98%
- High-net-worth individuals$2.0M2.0%
- Individuals$191,1100.2%
- Charitable organizations$260.0%
- Individual clients
- 2reported
- HNW clients
- 3reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 37reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $97.9M for 4 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.02 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Matthew Peter Grupp | Jackson, Wy | Nov 13, 2013 | 21 y | 0 |
| Michael John Estrada | Jackson, Wy | Nov 13, 2013 | 19 y | 0 |
| Joseph Daniel Grupp | Chandler, Az | Apr 1, 2021 | 15 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- John Robert Palmer-Kamprath to Generational Legacies Wealth ManagementAug 9, 2023 · RIA to a state-registered adviser
Joined, latest
- John Robert Palmer-Kamprath from UBS Financial Services Inc.Feb 23, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- John Michael Estrada · Director Of Private Client Servicescontrolsince 05/2012 · owns less than 5%
- Peter Matthew Grupp · President/Chief Executive Officer/Chief Compliance Officercontrolsince 05/2012 · owns less than 5%
- Peter Matthew Grupp · Ownercontrolsince 04/2018 · owns 75% or more of Grupp Organization LLC
Entity owners
- Grupp Organization LLC · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- The Grupp Law Firm LLCn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Jackson, Wy · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 2 employees
- Jackson, WY1 employees
- Post Falls, ID1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Jan 22, 2026custody of client assets (Item 9.A): no on the filing of 2024-10-11, yes on the filing of 2026-01-22peers: other advisers, $100M to $500M (212)
What changed
consecutive filings, newest first
- Accounts · 29 to 37Oct 11, 2024 to Jan 22, 2026
- Charity clients · 0 to 1Oct 11, 2024 to Jan 22, 2026
- Corporate clients · 0 to 4Oct 11, 2024 to Jan 22, 2026
- HNW clients · 1 to 3Oct 11, 2024 to Jan 22, 2026
- Individual clients · 1 to 2Oct 11, 2024 to Jan 22, 2026
- Assets in custody · unset to 97919058.0Oct 11, 2024 to Jan 22, 2026
- Custody of client assets · false to trueOct 11, 2024 to Jan 22, 2026
- Financial planning clients · 1-10 to 1-10Oct 11, 2024 to Jan 22, 2026
- Discretionary RAUM · $81.7M to $100MOct 11, 2024 to Jan 22, 2026
- HNW RAUM · $52,057 to $2.0MOct 11, 2024 to Jan 22, 2026
- Individual RAUM · $104,010 to $191,110Oct 11, 2024 to Jan 22, 2026
- RAUM · $81.7M to $100MOct 11, 2024 to Jan 22, 2026
- Other offices · 3 to 4Sep 18, 2024 to Oct 11, 2024
- Employees · 4 to 3Apr 8, 2024 to Sep 18, 2024
- Accounts · 37 to 29Aug 9, 2023 to Mar 28, 2024
- HNW clients · 3 to 1Aug 9, 2023 to Mar 28, 2024
- Individual clients · 3 to 1Aug 9, 2023 to Mar 28, 2024
- Employees · 3 to 4Aug 9, 2023 to Mar 28, 2024
- Other offices · 2 to 3Aug 9, 2023 to Mar 28, 2024
- Discretionary RAUM · $93.0M to $81.7MAug 9, 2023 to Mar 28, 2024
- HNW RAUM · $19.2M to $52,057Aug 9, 2023 to Mar 28, 2024
- Individual RAUM · $772,174 to $104,010Aug 9, 2023 to Mar 28, 2024
- RAUM · $93.0M to $81.7MAug 9, 2023 to Mar 28, 2024
- Advisory employees · 4 to 3Mar 24, 2023 to Aug 9, 2023
- Employees · 4 to 3Mar 24, 2023 to Aug 9, 2023
- State-registered IARs · 4 to 3Mar 24, 2023 to Aug 9, 2023
- Other offices · 3 to 2Mar 24, 2023 to Aug 9, 2023
- Accounts · 28 to 37Aug 9, 2022 to Mar 24, 2023
- Charity clients · 4 to 0Aug 9, 2022 to Mar 24, 2023
- Corporate clients · 4 to 0Aug 9, 2022 to Mar 24, 2023
- HNW clients · 1 to 3Aug 9, 2022 to Mar 24, 2023
- Individual clients · 0 to 3Aug 9, 2022 to Mar 24, 2023
- Other offices · 4 to 3Aug 9, 2022 to Mar 24, 2023
- Discretionary RAUM · $104M to $93.0MAug 9, 2022 to Mar 24, 2023
- HNW RAUM · $54,861 to $19.2MAug 9, 2022 to Mar 24, 2023
- Individual RAUM · $0 to $772,174Aug 9, 2022 to Mar 24, 2023
- RAUM · $104M to $93.0MAug 9, 2022 to Mar 24, 2023
- Other offices · 3 to 4Jun 22, 2022 to Aug 3, 2022
- Advisory activities · 2 to 3Oct 12, 2021 to Mar 25, 2022
- Charity clients · unset to 4.0Oct 12, 2021 to Mar 25, 2022
Signals
3 dated events
- Grupp Financial Llc no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $81.7M)Mar 6, 2025 · Left the SEC roster · derived
- John Robert Palmer-Kamprath left Grupp Financial Llc for Generational Legacies Wealth Management (registered 2023-09-12)Aug 9, 2023 · Advisor changed firm · fact
- Grupp Financial Llc filed its initial SEC registration (Form ADV)Jul 2, 2021 · 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.
How to reach
public business contact points only, each with its source
- Website
- GRUPPFINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 1.307.200.6579reportedpublic record, Form ADV, Jan 22, 2026
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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $33.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026