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•••••• C•••••• M••••••••• L••
Latest filing Jun 24, 2026
First filing on the tape May 16, 2024 · 5 filings
SEC status approved since Jun 25, 2024
RAUM
$156M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
93%
$145M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$156M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$156M as of Jun 24, 2026
Mar 25, 2025$134M then
HNW client RAUM$139M as of Jun 24, 2026
Mar 25, 2025$121M then
State-registered IARs (5.B.3)1 as of Jun 24, 2026
Mar 25, 20251 then
Employees (5.A)1 as of Jun 24, 2026
Mar 25, 20251 then
Private funds: 1
RAUM +16% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jun 24, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $156MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $861,228derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 1.9%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
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.7%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consultingreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$139M92%
- Individuals$5.7M3.8%
- Charitable organizations$2.9M2.0%
- Corporations and businesses$2.7M1.8%
- Individual clients
- 13reported
- HNW clients
- 29reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 181reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• G••••• G••••••Chartered Financial Analyst | Wilson, Wy | Nov 30, 2018 | 25 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• D•••••• G••••• · Managing Member & Chief Compliance Officercontrolsince 10/2018 · owns 75% or more
- G••••••• S••••• K••• · Technology Associatesince 10/2018 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Jun 24, 2026performance-based compensation (Item 5.E.6): no on the filing of 2026-03-11, yes on the filing of 2026-06-24peers: independent wealth managers, $100M to $500M (5,676)
- business activity changedChange between filings · filing Jun 24, 2026advises private funds (Item 7.B): no on the filing of 2026-03-11, yes on the filing of 2026-06-24peers: independent wealth managers, $100M to $500M (5,676)
- business activity changedChange between filings · filing Jun 24, 2026portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2026-03-11, yes on the filing of 2026-06-24peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory activities · 3 to 4Mar 11, 2026 to Jun 24, 2026
- Private funds · unset to 1Mar 11, 2026 to Jun 24, 2026
- Accounts · 166 to 181Mar 25, 2025 to Mar 11, 2026
- Individual clients · 10 to 13Mar 25, 2025 to Mar 11, 2026
- Discretionary RAUM · $130M to $143MMar 25, 2025 to Mar 11, 2026
- HNW RAUM · $121M to $139MMar 25, 2025 to Mar 11, 2026
- Individual RAUM · $4.0M to $5.7MMar 25, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $4.8M to $12.7MMar 25, 2025 to Mar 11, 2026
- RAUM · $134M to $156MMar 25, 2025 to Mar 11, 2026
- Accounts · 37 to 166Aug 20, 2024 to Mar 25, 2025
- HNW clients · 23 to 29Aug 20, 2024 to Mar 25, 2025
- Individual clients · 11 to 10Aug 20, 2024 to Mar 25, 2025
- Pension plan clients · 1 to 0Aug 20, 2024 to Mar 25, 2025
- Financial planning clients · 26-50 to 26-50Aug 20, 2024 to Mar 25, 2025
- Discretionary RAUM · $112M to $130MAug 20, 2024 to Mar 25, 2025
- HNW RAUM · $106M to $121MAug 20, 2024 to Mar 25, 2025
- Individual RAUM · $6.0M to $4.0MAug 20, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $4.2M to $4.8MAug 20, 2024 to Mar 25, 2025
- Pension RAUM · $1.1M to $0Aug 20, 2024 to Mar 25, 2025
- RAUM · $116M to $134MAug 20, 2024 to Mar 25, 2025
Signals
1 dated events
- G•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 16, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- G•••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- d••@g•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Website
- g•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (914) 433-5223reportedpublic record, Form ADV, Jun 24, 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
- $156Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026