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•••••••••
Legal name G•••••• I••••••••• A•••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Sep 10, 2020 · 7 filings
SEC status approved since Sep 11, 2025
RAUM
$113M
reported, Item 5.F
Discretionary
78%
of RAUM
Private clients
95%
$107M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$28.1M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$113M as of Mar 19, 2026
Jan 21, 2021$27.0M then
HNW client RAUM$42.5M as of Mar 19, 2026
Jan 21, 2021$12.0M then
State-registered IARs (5.B.3)4 as of Mar 19, 2026
Jan 21, 20211 then
Employees (5.A)4 as of Mar 19, 2026
Jan 21, 20211 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $28.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $150,431derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 78%derivedof RAUM
- Institutional
- 5.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $51.2M, 174 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$64.3M57%
- High-net-worth individuals$42.5M38%
- Pension and profit-sharing plans$4.1M3.6%
- Charitable organizations$1.7M1.5%
- Individual clients
- 243reported
- HNW clients
- 19reported
- Pension plan clients
- 3reported
- Charitable clients
- 6reported
- Accounts
- 748reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $51.2M for 174 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• H••••• D••• | Ooltewah, Tn | Oct 13, 2020 | 12 y | 1 |
| M••••• F••••••• C••••• | Ooltewah, Tn | May 8, 2023 | 10 y | 1 |
| M•••••• W••••••• S•••• | Ooltewah, Tn | Jan 16, 2024 | 17 y | 1 |
| M•••••• D•••• H••• | Ooltewah, Tn | Aug 11, 2025 | 15 y | 1 |
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
- M•••••• D•••• H••• from E••••• J••••Aug 11, 2025 · Affiliated broker-dealer or bank to independent RIA
- M•••••• W••••••• S•••• from E••••• J••••Jan 16, 2024 · Affiliated broker-dealer or bank to independent RIA
- M••••• F••••••• C••••• from E••••• J••••May 8, 2023 · Affiliated broker-dealer or bank to independent RIA
- J•••• H••••• D••• from E••••• J••••Oct 13, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••• J••••• H••••• · Chief Compliance Officer And Managing Membercontrolsince 09/2020 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Ooltewah, Tn · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 723 to 748Sep 23, 2025 to Jan 28, 2026
- Charity clients · 3 to 6Sep 23, 2025 to Jan 28, 2026
- Corporate clients · 0 to 2Sep 23, 2025 to Jan 28, 2026
- Individual clients · 245 to 243Sep 23, 2025 to Jan 28, 2026
- Financial planning clients · 101-250 to Sep 23, 2025 to Jan 28, 2026
- Discretionary RAUM · $84.6M to $87.8MSep 23, 2025 to Jan 28, 2026
- HNW RAUM · $41.5M to $42.5MSep 23, 2025 to Jan 28, 2026
- Individual RAUM · $55.7M to $64.3MSep 23, 2025 to Jan 28, 2026
- Non-discretionary RAUM · $18.1M to $24.7MSep 23, 2025 to Jan 28, 2026
- Pension RAUM · $4.0M to $4.1MSep 23, 2025 to Jan 28, 2026
- RAUM · $103M to $113MSep 23, 2025 to Jan 28, 2026
- Accounts · 158 to 723Apr 28, 2021 to Sep 23, 2025
- Advisory employees · 1 to 4Apr 28, 2021 to Sep 23, 2025
- Charity clients · unset to 3.0Apr 28, 2021 to Sep 23, 2025
- Corporate clients · unset to 0.0Apr 28, 2021 to Sep 23, 2025
- HNW clients · 10 to 19Apr 28, 2021 to Sep 23, 2025
- Individual clients · 62 to 245Apr 28, 2021 to Sep 23, 2025
- Pension plan clients · unset to 3.0Apr 28, 2021 to Sep 23, 2025
- Pooled vehicle clients · unset to 0.0Apr 28, 2021 to Sep 23, 2025
- Assets in custody · $5.5M to $51.2MApr 28, 2021 to Sep 23, 2025
- Employees · 1 to 4Apr 28, 2021 to Sep 23, 2025
- Financial planning clients · unset to 101-250Apr 28, 2021 to Sep 23, 2025
- HQ city · unset to OOLTEWAHApr 28, 2021 to Sep 23, 2025
- HQ state · unset to TNApr 28, 2021 to Sep 23, 2025
- State-registered IARs · 1 to 4Apr 28, 2021 to Sep 23, 2025
- Discretionary RAUM · $17.0M to $84.6MApr 28, 2021 to Sep 23, 2025
- HNW RAUM · $12.0M to $41.5MApr 28, 2021 to Sep 23, 2025
- Individual RAUM · $15.0M to $55.7MApr 28, 2021 to Sep 23, 2025
- Non-discretionary RAUM · $10.0M to $18.1MApr 28, 2021 to Sep 23, 2025
- Pension RAUM · unset to 3989000.0Apr 28, 2021 to Sep 23, 2025
- Pooled vehicle RAUM · unset to 0.0Apr 28, 2021 to Sep 23, 2025
- RAUM · $27.0M to $103MApr 28, 2021 to Sep 23, 2025
- Accounts · 0 to 158Oct 9, 2020 to Jan 21, 2021
- HNW clients · unset to 10.0Oct 9, 2020 to Jan 21, 2021
- Individual clients · unset to 62.0Oct 9, 2020 to Jan 21, 2021
- Assets in custody · unset to 5500000.0Oct 9, 2020 to Jan 21, 2021
- Custody of client assets · false to trueOct 9, 2020 to Jan 21, 2021
- Discretionary RAUM · $0 to $17.0MOct 9, 2020 to Jan 21, 2021
- HNW RAUM · unset to 12000000.0Oct 9, 2020 to Jan 21, 2021
- Individual RAUM · unset to 15000000.0Oct 9, 2020 to Jan 21, 2021
Signals
1 dated events
- G•••••• I••••••••• filed its initial SEC registration (Form ADV)Sep 10, 2020 · 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
- Business email
- h•••••@g••••••.investmentsreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 423-290-2619reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- G••••••.INVESTMENTSreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 423-290-2619reportedpublic record, Form ADV, Mar 19, 2026
- Team page
- g••••••.investmentsreportedpublished 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
- $28.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026