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••••• M••••••• A•••••••• I•••
Latest filing Mar 27, 2026
First filing on the tape May 12, 2021 · 12 filings
SEC status approved since Jun 14, 2021
RAUM
$370M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$370M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$61.6M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$370M as of Mar 27, 2026
Mar 28, 2022$236M then
HNW client RAUM$346M as of Mar 27, 2026
Mar 28, 2022$228M then
State-registered IARs (5.B.3)6 as of Mar 27, 2026
Mar 28, 20222 then
Employees (5.A)7 as of Mar 27, 2026
Mar 28, 20223 then
Private funds: no history
RAUM +10% over the last fiscal year+18% a year over threeIARs 6 to 6offices 9 to 8
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- $61.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 0.7derived9 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $76.6M, 31 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$346M93%
- Individuals$24.2M6.6%
- Individual clients
- 43reported
- HNW clients
- 84reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 329reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $76.6M for 31 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• J••••• S••••Chartered Financial Analyst | Brevard, Nc | Jun 14, 2021 | 23 y | 1 |
| B•••• H•••••••••Chartered Financial Analyst | Bethesda, Md | Oct 5, 2021 | 11 y | 0 |
| M•••••• M•••••••Chartered Financial Analyst | Bethesda, Md | Dec 20, 2022 | 14 y | 0 |
| W•••••• K• M••••••••Certified Financial Planner | Bethesda, Md | Feb 24, 2023 | 14 y | 0 |
| M••••••• H••••••• H••••••Certified Financial Planner | Washington, Dc | Apr 26, 2024 | 10 y | 0 |
| J•••• L••• B•••••Certified Financial Planner | Charlotte, Nc | Feb 5, 2026 | 26 y | 3 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 17% of current headcount1 left over 36 months
Left, latest
- M•••••• S••••• A••••• to L•••Oct 10, 2025 · RIA to RIA
Joined, latest
- J•••• L••• B••••• from V••••••• A•••••••• I•••Feb 5, 2026 · Affiliated broker-dealer or bank to independent RIA
- M•••••• S••••• A••••• from C••••••••• C••••••• L••Aug 17, 2022 · RIA to RIA
- R••• J••••• S•••• from E••••••• I••••••••• A•••••••• I•••Jun 14, 2021 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• R•••• J••••• · President, Senior Wealth Advisor, Ccocontrolsince 04/2021 · 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 |
|---|---|---|---|---|---|
| Bethesda, Md · principal | 6 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Charlotte, NC5 employees
- Raleigh, NC5 employees
What changed
consecutive filings, newest first
- Accounts · 324 to 329Mar 27, 2025 to Mar 27, 2026
- HNW clients · 85 to 84Mar 27, 2025 to Mar 27, 2026
- Individual clients · 37 to 43Mar 27, 2025 to Mar 27, 2026
- Assets in custody · $67.1M to $76.6MMar 27, 2025 to Mar 27, 2026
- Employees · 6 to 7Mar 27, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 51-100Mar 27, 2025 to Mar 27, 2026
- Other offices · 9 to 8Mar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $335M to $370MMar 27, 2025 to Mar 27, 2026
- HNW RAUM · $315M to $346MMar 27, 2025 to Mar 27, 2026
- Individual RAUM · $19.5M to $24.2MMar 27, 2025 to Mar 27, 2026
- RAUM · $335M to $370MMar 27, 2025 to Mar 27, 2026
- Accounts · 305 to 324Aug 13, 2024 to Mar 27, 2025
- Advisory employees · 5 to 6Aug 13, 2024 to Mar 27, 2025
- HNW clients · 82 to 85Aug 13, 2024 to Mar 27, 2025
- Individual clients · 33 to 37Aug 13, 2024 to Mar 27, 2025
- Assets in custody · $41.0M to $67.1MAug 13, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Aug 13, 2024 to Mar 27, 2025
- State-registered IARs · 5 to 6Aug 13, 2024 to Mar 27, 2025
- Other offices · 2 to 9Aug 13, 2024 to Mar 27, 2025
- Discretionary RAUM · $278M to $335MAug 13, 2024 to Mar 27, 2025
- HNW RAUM · $263M to $315MAug 13, 2024 to Mar 27, 2025
- Individual RAUM · $15.2M to $19.5MAug 13, 2024 to Mar 27, 2025
- RAUM · $278M to $335MAug 13, 2024 to Mar 27, 2025
- Accounts · 274 to 305Mar 10, 2023 to Mar 20, 2024
- HNW clients · 83 to 82Mar 10, 2023 to Mar 20, 2024
- Individual clients · 28 to 33Mar 10, 2023 to Mar 20, 2024
- Assets in custody · $23.5M to $41.0MMar 10, 2023 to Mar 20, 2024
- Discretionary RAUM · $225M to $278MMar 10, 2023 to Mar 20, 2024
- HNW RAUM · $215M to $263MMar 10, 2023 to Mar 20, 2024
- Individual RAUM · $9.4M to $15.2MMar 10, 2023 to Mar 20, 2024
- RAUM · $225M to $278MMar 10, 2023 to Mar 20, 2024
- Accounts · 236 to 274Nov 16, 2022 to Mar 10, 2023
- Advisory employees · 2 to 5Nov 16, 2022 to Mar 10, 2023
- HNW clients · 74 to 83Nov 16, 2022 to Mar 10, 2023
- Individual clients · 23 to 28Nov 16, 2022 to Mar 10, 2023
- Assets in custody · $21.7M to $23.5MNov 16, 2022 to Mar 10, 2023
- Employees · 3 to 6Nov 16, 2022 to Mar 10, 2023
- State-registered IARs · 2 to 5Nov 16, 2022 to Mar 10, 2023
- Discretionary RAUM · $236M to $225MNov 16, 2022 to Mar 10, 2023
- HNW RAUM · $228M to $215MNov 16, 2022 to Mar 10, 2023
Signals
3 dated events
- M•••••• S••••• A••••• left G••••• M••••••• A•••••••• I••• for Lido (registered 2025-10-16)Oct 10, 2025 · Advisor changed firm · fact
- G••••• M••••••• A•••••••• I••• reported 9 offices beyond its principal office, up from 2 (2024-08-13 to 2025-03-27)Mar 27, 2025 · Office count change · derived
- G••••• M••••••• W••••• A•••••••• I••• filed its initial SEC registration (Form ADV)May 12, 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
- Business email
- i•••@g•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 301-541-8900reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/glassy-mountain-advisors-increportedpublic record, Form ADV, Sep 19, 2026
- Website
- g•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (301) 541-8900reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- g•••••••••.comreportedpublished 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
- $61.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026