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••••••••

Former SEC-registered adviserMiami, FloridaCRD 170028SEC 801-100437IAPD
Legal name G••••••• P••••••• S•••••••• L••
Latest filing Mar 6, 2023
First filing on the tape Jun 22, 2015 · 18 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM: no history
HNW client RAUM$0 as of Mar 6, 2023
Jan 29, 2020$0 then
State-registered IARs (5.B.3)2 as of Mar 6, 2023
Feb 25, 20162 then
Employees (5.A)4 as of Mar 6, 2023
Feb 25, 20162 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 6, 2023; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-100%derived
Compensation
fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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
none on the tape
    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
      • C••••••• M•••••• J••• · Chief Executive Officer; Chief Compliance Officercontrol
        since 12/2013 · owns less than 5%
      • C••••••• M•••••• J••• · Membercontrol
        since 12/2013 · owns 25% to 50% of C•••••• S•••••• H••••••• L••
      Entity owners
      • C•••••• S•••••• H••••••• L•• · Member
        direct · owns 75% or more
      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
      • Individual clients · 1,084 to 0
        Feb 15, 2022 to Mar 6, 2023
      • Individual clients · 799 to 1,084
        Jan 26, 2021 to Feb 15, 2022
      • Individual clients · 581 to 799
        Jun 29, 2020 to Jan 15, 2021
      • Charity clients · unset to 0.0
        Jan 23, 2020 to Jan 29, 2020
      • Corporate clients · unset to 0.0
        Jan 23, 2020 to Jan 29, 2020
      • HNW clients · unset to 0.0
        Jan 23, 2020 to Jan 29, 2020
      • Individual clients · unset to 581.0
        Jan 23, 2020 to Jan 29, 2020
      • Pension plan clients · unset to 0.0
        Jan 23, 2020 to Jan 29, 2020
      • Pooled vehicle clients · unset to 0.0
        Jan 23, 2020 to Jan 29, 2020
      • HNW RAUM · unset to 0.0
        Jan 23, 2020 to Jan 29, 2020
      • Individual RAUM · unset to 0.0
        Jan 23, 2020 to Jan 29, 2020
      • Pension RAUM · unset to 0.0
        Jan 23, 2020 to Jan 29, 2020
      • Pooled vehicle RAUM · unset to 0.0
        Jan 23, 2020 to Jan 29, 2020
      • Other offices · unset to 0.0
        Aug 10, 2017 to Feb 20, 2018
      • Advisory activities · 4 to 3
        Apr 24, 2017 to Aug 10, 2017
      • Employees · 2 to 4
        Apr 24, 2017 to Aug 10, 2017
      • Financial planning clients · 251-500 to unset
        Apr 24, 2017 to Aug 10, 2017
      • Business name · G••••••• A••••••• to G••••••••
        Apr 24, 2017 to Apr 24, 2017
      • Financial planning clients · 26-50 to 251-500
        Feb 25, 2016 to Mar 15, 2017
      • Financial planning clients · 101-250 to 26-50
        Jul 8, 2015 to Feb 25, 2016
      Signals
      1 dated events
      • G••••••• A••••••• filed its initial SEC registration (Form ADV)
        Jun 22, 2015 · 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