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••••••••• M••••••••• L••
Latest filing Sep 2, 2026
First filing on the tape Oct 13, 2021 · 9 filings
SEC status approved since Nov 12, 2021
RAUM
$34.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$4.9M as of Oct 27, 2025
Oct 27, 2022$1.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Oct 27, 2025
Oct 27, 20220 then
Employees (5.A)3 as of Oct 27, 2025
Oct 27, 20223 then
Private funds: no history
RAUM +2557% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 2, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $34.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1007%derivedbetween 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 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$34.2M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- 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= related_bank= bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• T••••• · Chief Executive Officer, Directorcontrolsince 09/2021 · owns less than 5%
- H•••• D•••• · Chief Compliance Officer, Directorcontrolsince 01/2024 · owns less than 5%
- W•••••• S••••• T• · Member, Directorcontrolsince 09/2021 · 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
- Financial planning clients · to unsetOct 27, 2025 to Sep 2, 2026
- HQ city · to unsetOct 27, 2025 to Sep 2, 2026
- HQ state · to unsetOct 27, 2025 to Sep 2, 2026
- Discretionary RAUM · $4.9M to $34.2MOct 27, 2025 to Sep 2, 2026
- RAUM · $4.9M to $34.2MOct 27, 2025 to Sep 2, 2026
- Related adviser · false to unsetOct 27, 2025 to Sep 2, 2026
- Related bank · false to unsetOct 27, 2025 to Sep 2, 2026
- Related broker-dealer · false to unsetOct 27, 2025 to Sep 2, 2026
- Related insurance company · false to unsetOct 27, 2025 to Sep 2, 2026
- Succession · false to unsetOct 27, 2025 to Sep 2, 2026
- Financial planning clients · unset to Oct 3, 2024 to Oct 27, 2025
- HQ city · unset to Oct 3, 2024 to Oct 27, 2025
- HQ state · unset to Oct 3, 2024 to Oct 27, 2025
- Discretionary RAUM · $14.2M to $4.9MOct 3, 2024 to Oct 27, 2025
- RAUM · $14.2M to $4.9MOct 3, 2024 to Oct 27, 2025
- Discretionary RAUM · $1.3M to $14.2MFeb 6, 2024 to Oct 3, 2024
- RAUM · $1.3M to $14.2MFeb 6, 2024 to Oct 3, 2024
- Discretionary RAUM · $1.9M to $1.3MOct 27, 2022 to Sep 6, 2023
- RAUM · $1.9M to $1.3MOct 27, 2022 to Sep 6, 2023
- Discretionary RAUM · $250,349 to $1.9MJan 4, 2022 to Oct 27, 2022
- RAUM · $250,349 to $1.9MJan 4, 2022 to Oct 27, 2022
- Accounts · 0 to 1Oct 13, 2021 to Jan 4, 2022
- Discretionary RAUM · $0 to $250,349Oct 13, 2021 to Jan 4, 2022
- RAUM · $0 to $250,349Oct 13, 2021 to Jan 4, 2022
Signals
4 dated events
- James Alafriz (Chief Compliance Officer, Director) no longer on Schedule A of G•••••• I••••••••• M••••••••• L•• (listed 2023-09-06, absent 2024-02-06)Feb 6, 2024 · Control person left · inference
- Duane Hope (Chief Compliance Officer, Director) appeared on Schedule A of G•••••• I••••••••• M••••••••• L••Feb 6, 2024 · Control person joined · fact
- Thomas George (Chief Executive Officer, Director) appeared on Schedule A of G•••••• I••••••••• M••••••••• L••Oct 27, 2022 · Control person joined · fact
- G•••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 13, 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
- etf.grizzle.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (267) 419-7469reportedpublic record, Form ADV, Sep 2, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026