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••••••• W••••• U• I•••
Latest filing Aug 9, 2024
First filing on the tape Dec 22, 2022 · 9 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
9 filings and snapshots on the tape
RAUM$0 as of Aug 9, 2024
Dec 22, 2022$0 then
HNW client RAUM$0 as of Aug 9, 2024
Jan 16, 2024$0 then
State-registered IARs (5.B.3)0 as of Aug 9, 2024
Dec 22, 20220 then
Employees (5.A)2 as of Aug 9, 2024
Dec 22, 20222 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 9, 2024; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- 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, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- 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
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
- H•••••• S••••••• N•• · Chief Investment Officercontrolsince 02/2024 · owns less than 5%
- H•••••• M••••••• A•••• E••• · Chief Compliance Officercontrolsince 02/2024 · owns less than 5%
- J•••••• A••••••• H••••• · Presidentcontrolsince 02/2024 · owns less than 5%
- D••••••••• A••••• R•••• · Trusteecontrolsince 10/2013 · owns F of T•• D•••••••• F••••• R•••••••• T••••
- D••••••••• P•••• G•• · Trusteecontrolsince 10/2013 · owns F of T•• D•••••••• F••••• R•••••••• T••••
- D•••• G•••• A••••• · Trusteecontrolsince 05/2023 · owns F of T•• D•••••••• F••••• R•••••••• T••••
- F••••••• G••••••• J•••• · Trusteecontrolsince 02/2024 · owns F of T•• D•••••••• F••••• R•••••••• T••••
- D••••••••• S••••• · Trustee, Non-Votingsince 03/2018 · owns F of T•• D•••••••• F••••• R•••••••• T••••
Entity owners
- G••••••• W••••• H••••••• I••• · Holding Companydirect · owns 75% or more
- P•••••• H•••••• I••• · Shareholderindirect · owns 50% to 75% of P•••• C••••••••• O• C•••••
- P•••• C••••••••• O• C••••• · Shareholderindirect · owns 75% or more of S••••• H••••••• P••••••••• I•••
- S••••• H••••••• I••• · Shareholderindirect · owns 50% to 75% of S••••• H••••••• M••••••••• I•••
- S••••• H••••••• M••••••••• I••• · Shareholderindirect · owns 75% or more of S••••• H••••••• M•••••• G• I•••
- S••••• H••••••• M••••••••• I••• · Limited Partnerindirect · owns 75% or more of S••••• H••••••• W••••• L•
- S••••• H••••••• M•••••• G• I••• · General Partnerindirect · owns 75% or more of S••••• H••••••• W••••• L•
- S••••• H••••••• P••••••••• I••• · Shareholderindirect · owns 75% or more of S••••• H••••••• I•••
- S••••• H••••••• W••••• L• · Shareholderindirect · owns 50% to 75% of G••••••• W••••• H••••••• I•••
- T•• D•••••••• F••••• R•••••••• T•••• · Shareholderindirect · owns 75% or more of P•••••• H•••••• I•••
Related persons
Schedule D 7.A
- G••••••• I••••••••• S••••••••• I•••investment advisern
- S••••• H••••••• M•••••• ••• L••investment advisernRAUM $1.4B
- S••••• H••••••• M•••••• L•investment advisernRAUM $8.6B
- T•• C••••• L••• A•••••••• C••••••real estaten
Advisers that list G••••••• W••••• U• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Charity clients · unset to 0.0Jun 16, 2023 to Jan 16, 2024
- Corporate clients · unset to 0.0Jun 16, 2023 to Jan 16, 2024
- HNW clients · unset to 0.0Jun 16, 2023 to Jan 16, 2024
- Individual clients · unset to 0.0Jun 16, 2023 to Jan 16, 2024
- Pension plan clients · unset to 0.0Jun 16, 2023 to Jan 16, 2024
- Pooled vehicle clients · unset to 0.0Jun 16, 2023 to Jan 16, 2024
- HNW RAUM · unset to 0.0Jun 16, 2023 to Jan 16, 2024
- Individual RAUM · unset to 0.0Jun 16, 2023 to Jan 16, 2024
- Pension RAUM · unset to 0.0Jun 16, 2023 to Jan 16, 2024
- Pooled vehicle RAUM · unset to 0.0Jun 16, 2023 to Jan 16, 2024
Signals
12 dated events
- James Gregory Fleming (Trustee) appeared on Schedule A of G••••••• W••••• U• I•••Aug 9, 2024 · Control person joined · fact
- Albert Gary Doer (Trustee) appeared on Schedule A of G••••••• W••••• U• I•••Aug 9, 2024 · Control person joined · fact
- Guy Paul Desmarais (Trustee) appeared on Schedule A of G••••••• W••••• U• I•••Aug 9, 2024 · Control person joined · fact
- Roger A•••• Desmarais (Trustee) appeared on Schedule A of G••••••• W••••• U• I•••Aug 9, 2024 · Control person joined · fact
- H••••• A•••••• J••••• (President) appeared on Schedule A of G••••••• W••••• U• I•••Mar 6, 2024 · Control person joined · fact
- Nmn S•••••• H••••• (Chief Investment Officer) appeared on Schedule A of G••••••• W••••• U• I•••Mar 6, 2024 · Control person joined · fact
- A•••• E••• M•••••• H••••• (Chief Compliance Officer) appeared on Schedule A of G••••••• W••••• U• I•••Mar 6, 2024 · Control person joined · fact
- Mcdaniel Peter Mann (Ceo & Director) no longer on Schedule A of G••••••• W••••• U• I••• (listed 2024-01-16, absent 2024-03-06)Mar 6, 2024 · Control person left · inference
- David Neil Gilday (Chief Compliance Officer) no longer on Schedule A of G••••••• W••••• U• I••• (listed 2024-01-16, absent 2024-03-06)Mar 6, 2024 · Control person left · inference
- David Neil Gilday (Chief Compliance Officer) appeared on Schedule A of G••••••• W••••• U• I•••Jun 16, 2023 · Control person joined · fact
- Ann L•••• F•••• (Cheif Compliance Officer) no longer on Schedule A of G••••••• W••••• U• I••• (listed 2023-06-12, absent 2023-06-16)Jun 16, 2023 · Control person left · inference
- G••••••• W••••• U• I••• filed its initial SEC registration (Form ADV)Dec 22, 2022 · 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.
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026