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•• A•••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape May 10, 2016 · 19 filings
SEC status approved since Jun 6, 2016
RAUM
$27.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$24.5M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$9.2M
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
19 filings and snapshots on the tape
RAUM$27.5M as of Mar 31, 2026
Apr 7, 2017$1.0M then
HNW client RAUM$22.0M as of Mar 31, 2026
Mar 6, 2018$1.0M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 7, 20170 then
Employees (5.A)3 as of Mar 31, 2026
Apr 7, 20171 then
Private funds: no history
RAUM +21% over the last fiscal year+4.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $9.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 12derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $436,508derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%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
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +19%derived
- Compensation
- percentage of assets, hourly, fixed fees, subscription, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publications, educational seminarsreportedItem 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
- High-net-worth individuals$22.0M80%
- Pension and profit-sharing plans$3.0M11%
- Individuals$2.5M9.1%
- Individual clients
- 17reported
- HNW clients
- 20reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 63reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.11 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 |
|---|---|---|---|---|
| T•••• A•••• D••••••• | Weinfelden | Feb 9, 2021 | 22 y | 3 |
| G••••••• A•••• G•••••••• | Maumee, Oh | Feb 23, 2021 | 11 y | 1 |
| J••••• S•••• W••• | Weinfelden | Apr 15, 2024 | 25 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
- J••••• S•••• W••• from H•••••••• A•••••••• L••Oct 30, 2023 · Affiliated broker-dealer or bank to independent RIA
- T•••• A•••• D••••••• from G•• G•••• L••••••Mar 8, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• T••••• A•••• · Managing Member And Chief Compliance Officercontrolsince 04/2016 · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 35 to 63Aug 18, 2025 to Mar 31, 2026
- HNW clients · 16 to 20Aug 18, 2025 to Mar 31, 2026
- Individual clients · 15 to 17Aug 18, 2025 to Mar 31, 2026
- Financial planning clients · 1-10 to 11-25Aug 18, 2025 to Mar 31, 2026
- Discretionary RAUM · $22.6M to $27.5MAug 18, 2025 to Mar 31, 2026
- HNW RAUM · $14.5M to $22.0MAug 18, 2025 to Mar 31, 2026
- Individual RAUM · $3.8M to $2.5MAug 18, 2025 to Mar 31, 2026
- Pension RAUM · $2.4M to $3.0MAug 18, 2025 to Mar 31, 2026
- RAUM · $22.6M to $27.5MAug 18, 2025 to Mar 31, 2026
- Accounts · 52 to 35Apr 15, 2024 to Mar 3, 2025
- HNW clients · 12 to 16Apr 15, 2024 to Mar 3, 2025
- Individual clients · 16 to 15Apr 15, 2024 to Mar 3, 2025
- Pension plan clients · 6 to 5Apr 15, 2024 to Mar 3, 2025
- Financial planning clients · 11-25 to 1-10Apr 15, 2024 to Mar 3, 2025
- HQ state · unset to Apr 15, 2024 to Mar 3, 2025
- Discretionary RAUM · $12.4M to $22.6MApr 15, 2024 to Mar 3, 2025
- HNW RAUM · $7.0M to $14.5MApr 15, 2024 to Mar 3, 2025
- Individual RAUM · $2.0M to $3.8MApr 15, 2024 to Mar 3, 2025
- Non-discretionary RAUM · $15.6M to $0Apr 15, 2024 to Mar 3, 2025
- Pension RAUM · $2.0M to $2.4MApr 15, 2024 to Mar 3, 2025
- RAUM · $28.0M to $22.6MApr 15, 2024 to Mar 3, 2025
- Accounts · 60 to 52Mar 31, 2023 to Apr 15, 2024
- Advisory employees · 2 to 3Mar 31, 2023 to Apr 15, 2024
- Advisory activities · 7 to 6Mar 31, 2023 to Apr 15, 2024
- HNW clients · 10 to 12Mar 31, 2023 to Apr 15, 2024
- Individual clients · 10 to 16Mar 31, 2023 to Apr 15, 2024
- Pension plan clients · unset to 6.0Mar 31, 2023 to Apr 15, 2024
- Employees · 2 to 3Mar 31, 2023 to Apr 15, 2024
- Discretionary RAUM · $24.0M to $12.4MMar 31, 2023 to Apr 15, 2024
- Non-discretionary RAUM · $0 to $15.6MMar 31, 2023 to Apr 15, 2024
- RAUM · $24.0M to $28.0MMar 31, 2023 to Apr 15, 2024
- HQ city · HONG KONG to WEINFELDENMay 16, 2022 to Mar 31, 2023
- HQ city · WEINFELDEN to HONG KONGMay 9, 2022 to May 13, 2022
- Accounts · 25 to 60Feb 8, 2021 to Mar 28, 2022
- HNW clients · 8 to 10Feb 8, 2021 to Mar 28, 2022
- Individual clients · 8 to 10Feb 8, 2021 to Mar 28, 2022
- HQ city · HONG KONG to WEINFELDENFeb 8, 2021 to Mar 28, 2022
- Discretionary RAUM · $5.5M to $24.0MFeb 8, 2021 to Mar 28, 2022
- HNW RAUM · $3.5M to $7.0MFeb 8, 2021 to Mar 28, 2022
- Individual RAUM · $1.0M to $2.0MFeb 8, 2021 to Mar 28, 2022
Signals
1 dated events
- G•• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 10, 2016 · 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
- Website
- g•••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 775-237-8852reportedpublic record, Form ADV, Mar 31, 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
- $9.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026