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••••••• A•••••••

Former SEC-registered adviserBaton Rouge, LouisianaCRD 169174SEC 801-78674IAPD
Legal name G••••••• A•••••••• L••
Latest filing Mar 8, 2018
First filing on the tape Oct 3, 2013 · 11 filings
RAUM
$21.2M
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
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$21.2M as of Mar 8, 2018
Jan 8, 2014$1.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 8, 2018
Jan 8, 20142 then
Employees (5.A)5 as of Mar 8, 2018
Jan 8, 20142 then
Private funds: no history
RAUM -15% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 8, 2018; every figure names its basis
RAUM per advisor
$7.1MderivedRAUM 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
$21.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-15%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 investment companiesreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$21.2M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
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
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
    • T••••••••• R•••• D•••• · Chief Compliance Officercontrol
      since 09/2013 · owns less than 5%
    • N•••••• J•••• B••••• · Membercontrol
      since 09/2013 · owns 75% or more of N••••••••• L•••••
    • P•••••• J•••••• L•••• · Membercontrol
      since 02/2013 · owns 75% or more of F•••• M••••••••• L••
    • T••••••••• R•••• D•••• · Membercontrol
      since 01/2013 · owns 75% or more of G••••••• P•••••••• L••
    • M•••••• P•••• M••••• · Member
      since 09/2013 · owns less than 5%
    • T•••••• T•••••• H••••• · Member
      since 04/2016 · owns 75% or more of O•• G••••• H••••••••• L••
    Entity owners
    • G••••••• C•••••• M••••••••• I•• L•• · Member
      direct · owns 50% to 75%
    • F•••• M••••••••• L•• · Member
      indirect · owns 25% to 50% of G••••••• C•••••• M••••••••• I•• L••
    • G••••••• C•••••• M••••••••• · Member
      indirect · owns 50% to 75% of G••••••• C•••••• M••••••••• I•• L••
    • G••••••• P•••••••• L•• · Member
      indirect · owns 75% or more of G••••••• C•••••• M••••••••• L••
    • C••••••••• L•• · Member
      direct · owns 5% to 10%
    • N••••••••• L••••• · Member
      direct · owns 10% to 25%
    • O•• G••••• H••••••••• L•• · Member
      direct · owns 10% to 25%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Financial planning clients · unset to 0
      Feb 2, 2017 to Mar 8, 2018
    • Other offices · unset to 0.0
      Feb 2, 2017 to Mar 8, 2018
    • Discretionary RAUM · $24.8M to $21.2M
      Feb 2, 2017 to Mar 8, 2018
    • RAUM · $24.8M to $21.2M
      Feb 2, 2017 to Mar 8, 2018
    • Advisory employees · 2 to 3
      Jun 17, 2016 to Feb 2, 2017
    • State-registered IARs · 2 to 3
      Jun 17, 2016 to Feb 2, 2017
    • Discretionary RAUM · $8.1M to $24.8M
      Jun 17, 2016 to Feb 2, 2017
    • RAUM · $8.1M to $24.8M
      Jun 17, 2016 to Feb 2, 2017
    • Insurance-licensed employees · 2 to 3
      Jun 23, 2015 to Mar 9, 2016
    • Discretionary RAUM · $14.4M to $8.1M
      Jun 23, 2015 to Mar 9, 2016
    • RAUM · $14.4M to $8.1M
      Jun 23, 2015 to Mar 9, 2016
    • Employees · 2 to 5
      Jan 8, 2014 to Mar 9, 2015
    • Discretionary RAUM · $1.7M to $14.4M
      Jan 8, 2014 to Mar 9, 2015
    • RAUM · $1.7M to $14.4M
      Jan 8, 2014 to Mar 9, 2015
    • Insurance-licensed employees · 0 to 2
      Oct 22, 2013 to Jan 8, 2014
    • Financial planning clients · 0 to unset
      Oct 22, 2013 to Jan 8, 2014
    • Discretionary RAUM · $3.7M to $1.7M
      Oct 22, 2013 to Jan 8, 2014
    • RAUM · $3.7M to $1.7M
      Oct 22, 2013 to Jan 8, 2014
    Signals
    1 dated events
    • G••••••• A••••••• filed its initial SEC registration (Form ADV)
      Oct 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