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••••••• C••••••• L••

Former SEC-registered adviserPark City, UtahCRD 311742SEC 801-120358IAPD
Latest filing Jul 18, 2022
First filing on the tape Jan 19, 2021 · 16 filings
RAUM
$5.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
73%
$4.3M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$5.9M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$5.9M as of Jul 18, 2022
Jan 19, 2021$0 then
HNW client RAUM$1.9M as of Jul 18, 2022
Feb 22, 2022$4.5M then
State-registered IARs (5.B.3)1 as of Jul 18, 2022
Jan 19, 20211 then
Employees (5.A)2 as of Jul 18, 2022
Jan 19, 20212 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 18, 2022; every figure names its basis
RAUM per advisor
$5.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
18derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$381,172derivedHNW RAUM over HNW clients
Average account
$245,180derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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, otherreportedItem 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
  • Individuals$2.4M41%
  • High-net-worth individuals$1.9M32%
  • Charitable organizations$940,79716%
  • Corporations and businesses$644,85411%
Individual clients
13reported
HNW clients
5reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
24reported
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
F•••• B• G•••••••Park City, UtMar 26, 202125 y5
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G•••••••• F••••• B• · Managing Member / Chief Compliance Officercontrol
      since 11/2020 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Business name · G••••••• C•••••• to G••••••• C••••••• L••
      Jun 17, 2022 to Jul 18, 2022
    • Legal name · D & F INVESTMENT PARTNERS, LLC to G••••••• C••••••• L••
      Jun 17, 2022 to Jul 18, 2022
    • Accounts · 27 to 24
      Mar 31, 2022 to Apr 7, 2022
    • Advisory activities · 1 to 2
      Mar 31, 2022 to Apr 7, 2022
    • Charity clients · 0 to 1
      Mar 31, 2022 to Apr 7, 2022
    • Corporate clients · 0 to 1
      Mar 31, 2022 to Apr 7, 2022
    • HNW clients · 6 to 5
      Mar 31, 2022 to Apr 7, 2022
    • Individual clients · 21 to 13
      Mar 31, 2022 to Apr 7, 2022
    • Legal name · D & F INVESTMENT PARTNERS to D & F INVESTMENT PARTNERS, LLC
      Mar 31, 2022 to Apr 7, 2022
    • Discretionary RAUM · $6.4M to $5.9M
      Mar 31, 2022 to Apr 7, 2022
    • HNW RAUM · $4.5M to $1.9M
      Mar 31, 2022 to Apr 7, 2022
    • Individual RAUM · $1.9M to $2.4M
      Mar 31, 2022 to Apr 7, 2022
    • RAUM · $6.4M to $5.9M
      Mar 31, 2022 to Apr 7, 2022
    • HNW RAUM · $4.5M to $4.5M
      Feb 22, 2022 to Mar 31, 2022
    • Individual RAUM · $1.9M to $1.9M
      Feb 22, 2022 to Mar 31, 2022
    • Accounts · 0 to 27
      Jan 18, 2022 to Feb 22, 2022
    • HNW clients · 0 to 6
      Jan 18, 2022 to Feb 22, 2022
    • Individual clients · 0 to 21
      Jan 18, 2022 to Feb 22, 2022
    • Discretionary RAUM · $0 to $6.4M
      Jan 18, 2022 to Feb 22, 2022
    • HNW RAUM · unset to 4506033.0
      Jan 18, 2022 to Feb 22, 2022
    • Individual RAUM · unset to 1893967.0
      Jan 18, 2022 to Feb 22, 2022
    • RAUM · $0 to $6.4M
      Jan 18, 2022 to Feb 22, 2022
    Signals
    1 dated events
    • G••••••• C•••••• filed its initial SEC registration (Form ADV)
      Jan 19, 2021 · 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
    Firm profile
    linkedin.com/company/grinnell-capitalreportedpublic record, Form ADV, Sep 19, 2026
    Firm profile
    linkedin.com/company/wealthesteemreportedpublic record, Form ADV, Sep 19, 2026
    Website
    grinnellcapital.comreportedpublic record, Form ADV, Sep 19, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $5.9Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026