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••••••••• L••
Latest filing Mar 3, 2026
First filing on the tape Oct 20, 2021 · 11 filings
SEC status approved since Dec 8, 2021
RAUM
$35.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$35.8M
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
11 filings and snapshots on the tape
RAUM$35.8M as of Mar 3, 2026
Mar 25, 2022$21.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 3, 2026
Mar 25, 20221 then
Employees (5.A)1 as of Mar 3, 2026
Mar 25, 202214 then
Private funds: no history
RAUM +0.6% over the last fiscal year+8.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $35.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $35.8MderivedRAUM 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
- +0.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$35.8M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| C••••• T••• | Plano, Tx | Dec 10, 2021 | 21 y | 2 |
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
- C••••• T••• from G•••••••• C•••••• M••••••••• L••Dec 10, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• L••••• E•••• · Chief Compliance Officercontrolsince 12/2023 · owns less than 5%
- T•••• C••••• · Foundercontrolsince 07/2021 · owns less than 5%
- T•••• C••••• · Managing Membercontrolsince 06/2021 · owns 50% to 75% of G•• H••••••• •••••• L••
Entity owners
- G•• H••••••• •••••• L•• · Managing Memberdirect · 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
- Discretionary RAUM · $35.5M to $35.8MFeb 17, 2025 to Mar 3, 2026
- RAUM · $35.5M to $35.8MFeb 17, 2025 to Mar 3, 2026
- Financial planning clients · unset to Mar 29, 2024 to Feb 17, 2025
- Discretionary RAUM · $33.7M to $35.5MMar 29, 2024 to Feb 17, 2025
- RAUM · $33.7M to $35.5MMar 29, 2024 to Feb 17, 2025
- Discretionary RAUM · $0 to $33.7MJan 19, 2024 to Mar 29, 2024
- Non-discretionary RAUM · $31.2M to $0Jan 19, 2024 to Mar 29, 2024
- RAUM · $31.2M to $33.7MJan 19, 2024 to Mar 29, 2024
- Advisory activities · 2 to 1Mar 30, 2023 to Jul 10, 2023
- Employees · 11 to 1Mar 30, 2023 to Jul 10, 2023
- Non-discretionary RAUM · $28.4M to $31.2MMar 30, 2023 to Jul 10, 2023
- RAUM · $28.4M to $31.2MMar 30, 2023 to Jul 10, 2023
- Related adviser · true to falseMar 30, 2023 to Jul 10, 2023
- Employees · 14 to 11Mar 25, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $21.3M to $28.4MMar 25, 2022 to Mar 30, 2023
- RAUM · $21.3M to $28.4MMar 25, 2022 to Mar 30, 2023
- Accounts · unset to 1.0Dec 8, 2021 to Jan 3, 2022
- Discretionary RAUM · unset to 0.0Dec 8, 2021 to Jan 3, 2022
- Non-discretionary RAUM · unset to 21264685.0Dec 8, 2021 to Jan 3, 2022
- RAUM · unset to 21264685.0Dec 8, 2021 to Jan 3, 2022
Signals
2 dated events
- E•••• L•••• L••••• (Chief Compliance Officer) appeared on Schedule A of G•••••••• I••••••••• L••Jan 19, 2024 · Control person joined · fact
- G•••••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Oct 20, 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
- Principal office phone
- 972-379-7896reportedpublic record, Form ADV, Mar 3, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $35.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026