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•••• W••••• M••••••••• S•••••••• L••

Former SEC-registered adviserDallas, TexasCRD 172082SEC 801-119762IAPD
Latest filing Mar 22, 2022
First filing on the tape Oct 9, 2020 · 6 filings
RAUM
$171M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$165M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$171M as of Jan 20, 2022
Feb 3, 2021$145M then
HNW client RAUM$72.1M as of Jan 20, 2022
Feb 3, 2021$69.6M then
State-registered IARs (5.B.3)4 as of Jan 20, 2022
Feb 3, 20214 then
Employees (5.A)4 as of Jan 20, 2022
Feb 3, 20214 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 4 to 1offices 1 to 0
Practice profile
derived from the filing of Mar 22, 2022; every figure names its basis
RAUM per advisor
$171MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
453derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$272,163derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+15%derived
Compensation
percentage of assets, hourly, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$93.3M55%
  • High-net-worth individuals$72.1M42%
  • Corporations and businesses$4.4M2.6%
  • Charitable organizations$1.1M0.7%
Individual clients
418reported
HNW clients
35reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
628reported
Financial planning clients
26-50reported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G••••• R•••••• B•••• · Managing Member/Ccocontrol
      since 08/2014 · 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
    • Business name · D••••• G••••• • G••••• W••••• M••••••••• S•••••••• L•• to G•••• W••••• M••••••••• S•••••••• L••
      Mar 18, 2022 to Mar 22, 2022
    • Legal name · D••••• G••••• • G••••• W••••• M••••••••• S•••••••• L•• to G•••• W••••• M••••••••• S•••••••• L••
      Mar 18, 2022 to Mar 22, 2022
    • Succession · true to false
      Mar 18, 2022 to Mar 22, 2022
    • Wrap assets (manager) · 0.0 to unset
      Mar 18, 2022 to Mar 22, 2022
    • Wrap assets (sponsor) · 0.0 to unset
      Mar 18, 2022 to Mar 22, 2022
    • Advisory employees · 4 to 1
      Jan 20, 2022 to Mar 18, 2022
    • BD registered reps · 4 to 1
      Jan 20, 2022 to Mar 18, 2022
    • Employees · 4 to 1
      Jan 20, 2022 to Mar 18, 2022
    • State-registered IARs · 4 to 1
      Jan 20, 2022 to Mar 18, 2022
    • Other offices · 1 to 0
      Jan 20, 2022 to Mar 18, 2022
    • Succession · false to true
      Jan 20, 2022 to Mar 18, 2022
    • Accounts · 518 to 628
      Feb 3, 2021 to Jan 20, 2022
    • Charity clients · 2 to 1
      Feb 3, 2021 to Jan 20, 2022
    • Corporate clients · 3 to 8
      Feb 3, 2021 to Jan 20, 2022
    • HNW clients · 42 to 35
      Feb 3, 2021 to Jan 20, 2022
    • Individual clients · 353 to 418
      Feb 3, 2021 to Jan 20, 2022
    • Financial planning clients · 1-10 to 26-50
      Feb 3, 2021 to Jan 20, 2022
    • Discretionary RAUM · $145M to $171M
      Feb 3, 2021 to Jan 20, 2022
    • HNW RAUM · $69.6M to $72.1M
      Feb 3, 2021 to Jan 20, 2022
    • Individual RAUM · $71.0M to $93.3M
      Feb 3, 2021 to Jan 20, 2022
    • RAUM · $145M to $171M
      Feb 3, 2021 to Jan 20, 2022
    • Accounts · 512 to 518
      Nov 13, 2020 to Feb 3, 2021
    • HNW clients · 37 to 42
      Nov 13, 2020 to Feb 3, 2021
    • Individual clients · 354 to 353
      Nov 13, 2020 to Feb 3, 2021
    • Discretionary RAUM · $135M to $145M
      Nov 13, 2020 to Feb 3, 2021
    • HNW RAUM · $60.1M to $69.6M
      Nov 13, 2020 to Feb 3, 2021
    • Individual RAUM · $70.5M to $71.0M
      Nov 13, 2020 to Feb 3, 2021
    • RAUM · $135M to $145M
      Nov 13, 2020 to Feb 3, 2021
    • Accounts · 489 to 512
      Oct 9, 2020 to Nov 13, 2020
    • Charity clients · 1 to 2
      Oct 9, 2020 to Nov 13, 2020
    • Corporate clients · 6 to 3
      Oct 9, 2020 to Nov 13, 2020
    • HNW clients · 27 to 37
      Oct 9, 2020 to Nov 13, 2020
    • Individual clients · 356 to 354
      Oct 9, 2020 to Nov 13, 2020
    • Discretionary RAUM · $122M to $135M
      Oct 9, 2020 to Nov 13, 2020
    • HNW RAUM · $47.8M to $60.1M
      Oct 9, 2020 to Nov 13, 2020
    • Individual RAUM · $65.6M to $70.5M
      Oct 9, 2020 to Nov 13, 2020
    • RAUM · $122M to $135M
      Oct 9, 2020 to Nov 13, 2020
    Signals
    7 dated events
    • D••••• G••••• • G••••• W••••• M••••••••• S•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Mar 18, 2022 · Succession (Item 4) · fact
    • H•••• G••••• (Chief Compliance Officer & Managing Member) no longer on Schedule A of G•••• W••••• M••••••••• S•••••••• L•• (listed 2022-01-20, absent 2022-03-18)
      Mar 18, 2022 · Control person left · inference
    • Elijah Kevin Davis (Managing Member) no longer on Schedule A of G•••• W••••• M••••••••• S•••••••• L•• (listed 2022-01-20, absent 2022-03-18)
      Mar 18, 2022 · Control person left · inference
    • P•••••• F•••• P••• left G•••• W••••• M••••••••• S•••••••• L•• for H• T••••••• F•••••••• S••••••• (registered 2022-01-12)
      Mar 1, 2022 · Advisor changed firm · fact
    • H•••• G••••• left G•••• W••••• M••••••••• S•••••••• L•• for H• T••••••• F•••••••• S••••••• (registered 2022-01-12)
      Mar 1, 2022 · Advisor changed firm · fact
    • 2 advisors left G•••• W••••• M••••••••• S•••••••• L•• (Dallas, TX) for H• T••••••• F•••••••• S••••••• on the same day
      Mar 1, 2022 · Team lift-out · derived
    • D••••• G••••• • G••••• W••••• M••••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)
      Oct 9, 2020 · 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