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•••••• I••••••••• S•••••••••
Legal name P•••••• W••••• M••••••••• L••
Latest filing Feb 13, 2026
First filing on the tape Nov 14, 2024 · 4 filings
SEC status approved since Dec 16, 2024
RAUM
$158M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
58%
$91.5M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$79.0M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$158M as of Feb 13, 2026
Jan 29, 2025$127M then
HNW client RAUM$59.8M as of Feb 13, 2026
Jan 29, 2025$34.9M then
State-registered IARs (5.B.3)2 as of Feb 13, 2026
Jan 29, 20252 then
Employees (5.A)5 as of Feb 13, 2026
Jan 29, 20255 then
Private funds: no history
RAUM +25% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $79.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 131derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $191,497derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 39%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $73.3M, 201 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
- High-net-worth individuals$59.8M39%
- Pension and profit-sharing plans$57.0M37%
- Individuals$31.7M21%
- Charitable organizations$4.1M2.6%
- Corporations and businesses$1.9M1.2%
- Individual clients
- 220reported
- HNW clients
- 42reported
- Pension plan clients
- 9reported
- Charitable clients
- 4reported
- Accounts
- 825reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $73.3M for 201 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.58 fund_share=0.0 institutional_share=0.39 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••• D••••••• G••••••••• | Beatrice, Ne | Feb 17, 2016 | 17 y | 3 |
| P••• D••• G•••••• | Beatrice, Ne | Jan 1, 2026 | 46 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- J••• T• L••• to B•• P•••••••• I•••Mar 1, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- P••• D••• G•••••• from S••••••••• A•••••• A•••••••• I•••Jan 1, 2026 · Other
- J••• T• L••• from L•• F•••••••• L••Oct 25, 2022 · Affiliated broker-dealer or bank to independent RIA
- T•••• D••••••• G••••••••• from S••• L••Feb 17, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• T••••• D••••••• · President, Ccocontrolsince 12/2015 · owns 75% or more
Related persons
Schedule D 7.A
- G•••••• I•••••••• S••••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Beatrice, Ne · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Feb 13, 2026institutional share of RAUM of 39% against a peer median of 0% (5676 comparable advisers, 98.0th percentile, 12.9 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 777 to 825Jan 29, 2025 to Feb 13, 2026
- Charity clients · 8 to 4Jan 29, 2025 to Feb 13, 2026
- Corporate clients · 6 to 7Jan 29, 2025 to Feb 13, 2026
- HNW clients · 20 to 42Jan 29, 2025 to Feb 13, 2026
- Individual clients · 247 to 220Jan 29, 2025 to Feb 13, 2026
- Pension plan clients · 7 to 9Jan 29, 2025 to Feb 13, 2026
- Assets in custody · $88.8M to $73.3MJan 29, 2025 to Feb 13, 2026
- Discretionary RAUM · $127M to $158MJan 29, 2025 to Feb 13, 2026
- HNW RAUM · $34.9M to $59.8MJan 29, 2025 to Feb 13, 2026
- Individual RAUM · $51.1M to $31.7MJan 29, 2025 to Feb 13, 2026
- Pension RAUM · $33.9M to $57.0MJan 29, 2025 to Feb 13, 2026
- RAUM · $127M to $158MJan 29, 2025 to Feb 13, 2026
- Accounts · 689 to 777Nov 21, 2024 to Jan 29, 2025
- Individual clients · 279 to 247Nov 21, 2024 to Jan 29, 2025
- Assets in custody · $20.1M to $88.8MNov 21, 2024 to Jan 29, 2025
- Custody of client assets · false to trueNov 21, 2024 to Jan 29, 2025
- Financial planning clients · unset to Nov 21, 2024 to Jan 29, 2025
- Discretionary RAUM · $123M to $127MNov 21, 2024 to Jan 29, 2025
- HNW RAUM · $34.9M to $34.9MNov 21, 2024 to Jan 29, 2025
- Individual RAUM · $49.0M to $51.1MNov 21, 2024 to Jan 29, 2025
- Pension RAUM · $32.3M to $33.9MNov 21, 2024 to Jan 29, 2025
- RAUM · $123M to $127MNov 21, 2024 to Jan 29, 2025
Signals
2 dated events
- G•••••• I••••••••• S••••••••• filed its initial SEC registration (Form ADV)Nov 14, 2024 · First SEC registration · fact
- J••• T• L••• left G•••••• I••••••••• S••••••••• for B•• P•••••••• I••• (registered 2023-05-16)Mar 1, 2023 · Advisor changed firm · 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
- staff@garnettinvestments.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 402-223-3433reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 402-223-3435reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 855-623-3433reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 402-223-3433reportedpublic record, Form ADV, Feb 13, 2026
- Contact form
- garnettinvestments.com/contactreportedpublished 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
- $79.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026