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••••• F•••••••• A•••••••

Former SEC-registered adviserSalt Lake City, UtahCRD 289497SEC 801-111638IAPD
Legal name G••••• F•••••••• A•••••••• L••
Latest filing Jan 18, 2019
First filing on the tape Aug 8, 2017 · 5 filings
RAUM
$1.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$1.9M as of Jan 18, 2019
Jan 25, 2018$0 then
HNW client RAUM: $562,000
State-registered IARs (5.B.3)2 as of Jan 18, 2019
Jan 25, 20182 then
Employees (5.A)2 as of Jan 18, 2019
Jan 25, 20182 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jan 18, 2019; every figure names its basis
RAUM per advisor
$952,352derivedRAUM over IAPD advisors; not a book size
Clients per advisor
6derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$562,000derivedHNW RAUM over HNW clients
Average account
$90,700derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 assets, hourly, fixed feesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$1.3M70%
  • High-net-worth individuals$562,00030%
Individual clients
11reported
HNW clients
1reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
21reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • J•••••••• E•••• M•••••• · Chief Compliance Officercontrol
    since 07/2017 · owns less than 5%
  • G•••••• S•••••• · Indirect Ownercontrol
    since 07/2017 · owns F of S•••• L••
  • J•••••••• E•••• M•••••• · Indirect Ownercontrol
    since 07/2017 · owns F of J••••••• C•••••• M•••••••••
  • G•••••• S•••••• · Member
    since 07/2017 · owns 10% to 25%
  • J•••••••• A•• · Indirect Owner
    since 07/2017 · owns F of J••••••• C•••••• M•••••••••
Entity owners
  • J••••••• C•••••• M••••••••• · Owner
    direct · owns 75% or more
  • S•••• L•• · Owner
    direct · owns 10% to 25%
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 · 0 to 21
    Sep 4, 2018 to Jan 18, 2019
  • HNW clients · unset to 1.0
    Sep 4, 2018 to Jan 18, 2019
  • Individual clients · unset to 11.0
    Sep 4, 2018 to Jan 18, 2019
  • Financial planning clients · 0 to 1-10
    Sep 4, 2018 to Jan 18, 2019
  • Discretionary RAUM · $0 to $1.9M
    Sep 4, 2018 to Jan 18, 2019
  • HNW RAUM · unset to 562000.0
    Sep 4, 2018 to Jan 18, 2019
  • Individual RAUM · unset to 1342704.0
    Sep 4, 2018 to Jan 18, 2019
  • RAUM · $0 to $1.9M
    Sep 4, 2018 to Jan 18, 2019
  • Other offices · unset to 0.0
    Aug 8, 2017 to Jan 25, 2018
Signals
1 dated events
  • G••••• F•••••••• A••••••• filed its initial SEC registration (Form ADV)
    Aug 8, 2017 · 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