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

R•••••• G••••• A•••••••• L••

Former SEC-registered adviserSalt Lake City, UtahCRD 286313SEC 801-108903websiteIAPD
Latest filing Mar 28, 2024
First filing on the tape Dec 23, 2016 · 14 filings
SEC status approved since Jan 9, 2017
RAUM
$197M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$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
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$197M as of Mar 28, 2024
Mar 29, 2018$114M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 28, 2024
Mar 29, 20182 then
Employees (5.A)4 as of Mar 28, 2024
Mar 29, 20185 then
Private funds: no history
RAUM -41% over the last fiscal year-12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 28, 2024; every figure names its basis
RAUM per advisor
$65.6MderivedRAUM 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
$65.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
0.8derived4 offices incl. principal (1.F.5)
RAUM growth, one year
-41%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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)
  • 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
  • Investment companies$173M88%
  • State and municipal entities$23.9M12%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
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
    • G•••••• L••••• E•••••••• · Chief Executive Officer, Chairperson And Managercontrol
      since 10/2016 · owns 25% to 50%
    • H••••••• E•••• W•••••• · Treasurercontrol
      since 10/2016 · owns less than 5%
    • W•••••• B••••• H••••• · Managercontrol
      since 10/2016 · owns less than 5%
    • G•••••••• B•••••••• R••••• · Trusteecontrol
      since 12/2017 · owns F of T•• G••••••• G••••••• T••••
    • G•••••••• G••••• T••••••• · Trusteecontrol
      since 12/2017 · owns F of T•• G••••••• G••••••• T••••
    • G•••••••• R•••••• T••••••• · Trusteecontrol
      since 06/2012 · owns F of T•• G••••••• G••••••• T••••
    • G•••••••• R•••••• T••••••• · Chairman And Managercontrol
      since 07/2011 · owns F of G••••••• P••• G••••• A•••••••
    • G•••••••• R•••••• T••••••• · Managercontrol
      since 06/2012 · owns F of G••••••• G••••••• T•••••• L••
    • G•••••••• S••••••• B•••• · Trusteecontrol
      since 06/2012 · owns F of T•• G••••••• G••••••• T••••
    • G•••••••• S••••••• B•••• · Managercontrol
      since 06/2012 · owns F of G••••••• G••••••• T•••••• L••
    • H••••••• S••••••• M•••• · Trusteecontrol
      since 12/2017 · owns F of T•• G••••••• G••••••• T••••
    • H••••••• E•••• W•••••• · President, Coo, Managercontrol
      since 07/2011 · owns F of G••••••• P••• G••••• A•••••••
    • W•••••• B••••• H••••• · Membercontrol
      since 01/2024 · owns 25% to 50% of G••••••• P••• G••••• H••••••• L••
    • W•••••• B••••• H••••• · Ceo And Managercontrol
      since 07/2011 · owns F of G••••••• P••• G••••• A•••••••
    • H•••• A••• A••••• · Chief Compliance Officer
      since 01/2023 · owns less than 5%
    • M••••••••• J•••••••• A••• · Member, Portfolio Manager
      since 02/2021 · owns 10% to 25%
    • V••••••• J••••••• M• · Secretary
      since 01/2023 · owns less than 5%
    Entity owners
    • G••••••• P••• G••••• A••••••• · Member
      direct · owns 25% to 50%
    • G••••••• G••••••• T•••••• L•• · Member
      indirect · owns 25% to 50% of G••••••• P••• G••••• H••••••• L••
    • G••••••• P••• G••••• H••••••• L•• · Member
      indirect · owns 75% or more of G••••••• P••• G••••• A•••••••
    • T•• G••••••• G••••••• T•••• · Member
      indirect · owns 75% or more of G••••••• G••••••• T•••••• L••
    Related persons
    Schedule D 7.A
    Advisers that list R•••••• G••••• A•••••••• L•• as a related person
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Salt Lake City, Ut · principal000
    Offices
    Schedule D 1.F, the 25 largest
    • Newport Beach, CA2 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 4 to 3
      Mar 29, 2023 to Mar 28, 2024
    • Advisory employees · 4 to 3
      Mar 29, 2023 to Mar 28, 2024
    • Employees · 5 to 4
      Mar 29, 2023 to Mar 28, 2024
    • Discretionary RAUM · $332M to $197M
      Mar 29, 2023 to Mar 28, 2024
    • RAUM · $332M to $197M
      Mar 29, 2023 to Mar 28, 2024
    • Accounts · 3 to 4
      Jan 9, 2023 to Mar 29, 2023
    • BD registered reps · 0 to 1
      Jan 9, 2023 to Mar 29, 2023
    • State-registered IARs · 4 to 3
      Jan 9, 2023 to Mar 29, 2023
    • Discretionary RAUM · $305M to $332M
      Jan 9, 2023 to Mar 29, 2023
    • RAUM · $305M to $332M
      Jan 9, 2023 to Mar 29, 2023
    • BD registered reps · 2 to 0
      Mar 31, 2021 to Mar 30, 2022
    • Employees · 6 to 5
      Mar 31, 2021 to Mar 30, 2022
    • State-registered IARs · 6 to 4
      Mar 31, 2021 to Mar 30, 2022
    • Other offices · 1 to 3
      Mar 31, 2021 to Mar 30, 2022
    • Discretionary RAUM · $291M to $305M
      Mar 31, 2021 to Mar 30, 2022
    • RAUM · $291M to $305M
      Mar 31, 2021 to Mar 30, 2022
    • Accounts · 6 to 3
      Sep 21, 2020 to Mar 31, 2021
    • BD registered reps · 1 to 2
      Sep 21, 2020 to Mar 31, 2021
    • Employees · 5 to 6
      Sep 21, 2020 to Mar 31, 2021
    • State-registered IARs · 2 to 6
      Sep 21, 2020 to Mar 31, 2021
    • Other offices · 0 to 1
      Sep 21, 2020 to Mar 31, 2021
    • Discretionary RAUM · $371M to $291M
      Sep 21, 2020 to Mar 31, 2021
    • RAUM · $371M to $291M
      Sep 21, 2020 to Mar 31, 2021
    • Accounts · 4 to 6
      Mar 28, 2019 to Mar 30, 2020
    • Advisory employees · 6 to 4
      Mar 28, 2019 to Mar 30, 2020
    • Employees · 7 to 5
      Mar 28, 2019 to Mar 30, 2020
    • Discretionary RAUM · $277M to $371M
      Mar 28, 2019 to Mar 30, 2020
    • RAUM · $277M to $371M
      Mar 28, 2019 to Mar 30, 2020
    • Accounts · 2 to 4
      Nov 16, 2018 to Mar 28, 2019
    • Advisory employees · 4 to 6
      Nov 16, 2018 to Mar 28, 2019
    • Advisory activities · 1 to 2
      Nov 16, 2018 to Mar 28, 2019
    • Employees · 5 to 7
      Nov 16, 2018 to Mar 28, 2019
    • Financial planning clients · 0 to unset
      Nov 16, 2018 to Mar 28, 2019
    • Discretionary RAUM · $114M to $277M
      Nov 16, 2018 to Mar 28, 2019
    • RAUM · $114M to $277M
      Nov 16, 2018 to Mar 28, 2019
    • Accounts · 0 to 2
      Dec 23, 2016 to Mar 29, 2018
    • Advisory employees · 2 to 4
      Dec 23, 2016 to Mar 29, 2018
    • BD registered reps · 0 to 1
      Dec 23, 2016 to Mar 29, 2018
    • Employees · 2 to 5
      Dec 23, 2016 to Mar 29, 2018
    • Financial planning clients · unset to 0
      Dec 23, 2016 to Mar 29, 2018
    Signals
    7 dated events
    • R•••••• G••••• A•••••••• L•• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $196.9M)
      Feb 3, 2025 · Left the SEC roster · derived
    • B•••• C•••••• left R•••••• G••••• A•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2025-06-17)
      Jan 3, 2025 · Advisor changed firm · fact
    • R•••••• G••••• A•••••••• L•• reported RAUM $196.9M, down 41% from $332.1M (2023-03-29 to 2024-03-28)
      Mar 28, 2024 · RAUM change · derived
    • A Martha Thomas (Trustee) no longer on Schedule A of R•••••• G••••• A•••••••• L•• (listed 2023-03-29, absent 2024-03-28)
      Mar 28, 2024 · Control person left · inference
    • A Martha Thomas (Trustee) appeared on Schedule A of R•••••• G••••• A•••••••• L••
      Mar 30, 2022 · Control person joined · fact
    • R•••••• G••••• A•••••••• L•• reported RAUM $277.0M, up 144% from $113.7M (2018-11-16 to 2019-03-28)
      Mar 28, 2019 · RAUM change · derived
    • R•••••• G••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
      Dec 23, 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.
    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