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••• L•••• S••••••••• L••
Latest filing Nov 21, 2024
First filing on the tape Oct 8, 2021 · 18 filings
SEC status approved since Nov 12, 2021
RAUM
$345,000
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$345,000 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$345,000
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$345,000 as of Apr 3, 2024
Feb 25, 2022$241M then
HNW client RAUM$0 as of Apr 3, 2024
Feb 25, 2022$241M then
State-registered IARs (5.B.3)1 as of Apr 3, 2024
Feb 25, 20221 then
Employees (5.A)1 as of Apr 3, 2024
Feb 25, 20221 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Nov 21, 2024; every figure names its basis
- RAUM per advisor
- $345,000derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 3derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $49,286derivedRAUM 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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -100%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$345,000100%
- Individual clients
- 3reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 7reported
- 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
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••••• P••••• L•••• | Aledo, Tx | Dec 16, 2024 | 11 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
- G••••••• P••••• L•••• from C•••••• C•••••• M••••••••• L•••••Dec 16, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• G•••••••• P••••• · Managing Member & Chief Compliance Officercontrolsince 01/2021 · 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
- Accounts · 5 to 7Oct 16, 2023 to Apr 3, 2024
- Advisory activities · 2 to 1Oct 16, 2023 to Apr 3, 2024
- HNW clients · 1 to 0Oct 16, 2023 to Apr 3, 2024
- Individual clients · 2 to 3Oct 16, 2023 to Apr 3, 2024
- Discretionary RAUM · $222,363 to $345,000Oct 16, 2023 to Apr 3, 2024
- HNW RAUM · $283M to $0Oct 16, 2023 to Apr 3, 2024
- Individual RAUM · $222,363 to $345,000Oct 16, 2023 to Apr 3, 2024
- Non-discretionary RAUM · $283M to $0Oct 16, 2023 to Apr 3, 2024
- RAUM · $283M to $345,000Oct 16, 2023 to Apr 3, 2024
- Insurance-licensed employees · 1 to 0Mar 6, 2023 to Jun 13, 2023
- Accounts · 4 to 5Jun 30, 2022 to Mar 6, 2023
- Individual clients · 1 to 2Jun 30, 2022 to Mar 6, 2023
- Discretionary RAUM · $100,000 to $222,363Jun 30, 2022 to Mar 6, 2023
- HNW RAUM · $241M to $283MJun 30, 2022 to Mar 6, 2023
- Individual RAUM · $100,000 to $222,363Jun 30, 2022 to Mar 6, 2023
- Non-discretionary RAUM · $241M to $283MJun 30, 2022 to Mar 6, 2023
- RAUM · $241M to $283MJun 30, 2022 to Mar 6, 2023
- Discretionary RAUM · $75,000 to $100,000Nov 23, 2021 to Feb 25, 2022
- HNW RAUM · $230M to $241MNov 23, 2021 to Feb 25, 2022
- Individual RAUM · $75,000 to $100,000Nov 23, 2021 to Feb 25, 2022
- Non-discretionary RAUM · $230M to $241MNov 23, 2021 to Feb 25, 2022
- RAUM · $230M to $241MNov 23, 2021 to Feb 25, 2022
- Accounts · 2 to 4Nov 18, 2021 to Nov 23, 2021
- Discretionary RAUM · $50,000 to $75,000Nov 18, 2021 to Nov 23, 2021
- HNW RAUM · $212M to $230MNov 18, 2021 to Nov 23, 2021
- Individual RAUM · $50,000 to $75,000Nov 18, 2021 to Nov 23, 2021
- Non-discretionary RAUM · $212M to $230MNov 18, 2021 to Nov 23, 2021
- RAUM · $212M to $230MNov 18, 2021 to Nov 23, 2021
Signals
3 dated events
- G••• L•••• S••••••••• L•• no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $345,000)Aug 1, 2025 · Left the SEC roster · derived
- G••• L•••• S••••••••• L•• reported RAUM $345,000, down 100% from $282.9M (2023-10-16 to 2024-04-03)Apr 3, 2024 · RAUM change · derived
- G••• L•••• S••••••••• L•• filed its initial SEC registration (Form ADV)Oct 8, 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
- Website
- g••••••.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
- $345,000derivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026