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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SEC-registered adviser
G•••••• W••••• A•••••••• L••
Latest filing Feb 13, 2026
First filing on the tape Dec 17, 2013 · 8 filings
SEC status approved since Feb 13, 2026
RAUM
$105M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
97%
$102M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$35.0M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$105M as of Feb 13, 2026
Dec 17, 2013$0 then
HNW client RAUM: $82.4M
State-registered IARs (5.B.3)3 as of Feb 13, 2026
Dec 17, 20133 then
Employees (5.A)3 as of Feb 13, 2026
Dec 17, 20133 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 13, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $35.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $307,617derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 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 assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $28.3M, 92 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$82.4M79%
- Individuals$19.3M18%
- Pension and profit-sharing plans$3.2M3.1%
- Individual clients
- 55reported
- HNW clients
- 30reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 341reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $28.3M for 92 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| D••• J••••• G•••••• | Louisville, Ky | Jul 3, 2014 | 26 y | 3 |
| S•••••• H••••• G•••••• | Louisville, Ky | Jul 3, 2014 | 19 y | 1 |
| D•• C••••• G•••••• | Louisville, Ky | Oct 22, 2014 | 43 y | 3 |
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
none on the tape
Joined, latest
- D•• C••••• G•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 22, 2014 · Other
- D••• J••••• G•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jul 3, 2014 · Other
- S•••••• H••••• G•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jul 3, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• D•••• J••••• · Managing Membercontrolsince 03/2014 · owns 25% to 50%
- G••••••• S••••••• H••••• · Managing Member And Chief Compliance Officercontrolsince 03/2014 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Louisville, Ky · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Feb 13, 2026custody of client assets (Item 9.A): no on the filing of 2014-09-19, yes on the filing of 2026-02-13peers: independent wealth managers, $100M to $500M (5,676)
- compensation changedChange between filings · filing Feb 13, 2026hourly charges (Item 5.E.2): yes on the filing of 2014-09-19, no on the filing of 2026-02-13peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 230 to 341Sep 19, 2014 to Feb 13, 2026
- Advisory employees · 2 to 3Sep 19, 2014 to Feb 13, 2026
- HNW clients · unset to 30.0Sep 19, 2014 to Feb 13, 2026
- Individual clients · unset to 55.0Sep 19, 2014 to Feb 13, 2026
- Assets in custody · unset to 28292493.0Sep 19, 2014 to Feb 13, 2026
- Custody of client assets · false to trueSep 19, 2014 to Feb 13, 2026
- Employees · 2 to 3Sep 19, 2014 to Feb 13, 2026
- Financial planning clients · 0 to 0Sep 19, 2014 to Feb 13, 2026
- State-registered IARs · 2 to 3Sep 19, 2014 to Feb 13, 2026
- Other offices · unset to 0.0Sep 19, 2014 to Feb 13, 2026
- Discretionary RAUM · $81.5M to $102MSep 19, 2014 to Feb 13, 2026
- HNW RAUM · unset to 82388228.0Sep 19, 2014 to Feb 13, 2026
- Individual RAUM · unset to 19290399.0Sep 19, 2014 to Feb 13, 2026
- Non-discretionary RAUM · $3.7M to $3.2MSep 19, 2014 to Feb 13, 2026
- Pension RAUM · unset to 3218807.0Sep 19, 2014 to Feb 13, 2026
- RAUM · $85.2M to $105MSep 19, 2014 to Feb 13, 2026
- Accounts · 0 to 230Mar 21, 2014 to Jul 17, 2014
- Discretionary RAUM · $0 to $81.5MMar 21, 2014 to Jul 17, 2014
- Non-discretionary RAUM · $0 to $3.7MMar 21, 2014 to Jul 17, 2014
- RAUM · $0 to $85.2MMar 21, 2014 to Jul 17, 2014
- HQ city · unset to LOUISVILLEFeb 28, 2014 to Mar 21, 2014
- HQ state · unset to KYFeb 28, 2014 to Mar 21, 2014
- Advisory employees · 3 to 2Dec 17, 2013 to Feb 28, 2014
- Employees · 3 to 2Dec 17, 2013 to Feb 28, 2014
- State-registered IARs · 3 to 2Dec 17, 2013 to Feb 28, 2014
Signals
1 dated events
- G•••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Dec 17, 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.
How to reach
public business contact points only, each with its source
- Business email
- d••@g•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- G••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 502-625-1996reportedpublic record, Form ADV, Feb 13, 2026
- Contact form
- g•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- g•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $35.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026