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•• F•••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Aug 1, 2023 · 9 filings
SEC status approved since Aug 31, 2023
RAUM
$513M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$483M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$85.5M
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$513M as of Mar 20, 2026
Mar 26, 2024$371M then
HNW client RAUM$355M as of Mar 20, 2026
Mar 26, 2024$230M then
State-registered IARs (5.B.3)6 as of Mar 20, 2026
Mar 26, 20246 then
Employees (5.A)11 as of Mar 20, 2026
Mar 26, 20249 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 6 to 6offices 0 to 1
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $85.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $564,939derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $513MreportedItem 5.I
- Custody
- $57.8M, 74 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
- is an insurance broker or agent (6.A.6)
- 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
- High-net-worth individuals$355M69%
- Individuals$128M25%
- Corporations and businesses$27.5M5.4%
- Pension and profit-sharing plans$1.9M0.4%
- Charitable organizations$109,7450.0%
- Individual clients
- 260reported
- HNW clients
- 151reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 908reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $57.8M for 74 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.94 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 |
|---|---|---|---|---|
| A•••• B•••• G••••Certified Financial Planner | Columbus, Oh | Sep 28, 2023 | 19 y | 2 |
| M•••••• T•••••• C••••••Certified Financial Planner | Columbus, Oh | Sep 28, 2023 | 14 y | 3 |
| M•••••• P•••••••Certified Financial Planner, Chartered Financial Consultant | Columbus, Oh | Sep 29, 2023 | 21 y | 3 |
| C••••••••• B•••••••Certified Financial Planner | Columbus, Oh | Sep 29, 2023 | 32 y | 4 |
| K•••• M•••• B•••••Certified Financial Planner, Chartered Financial Analyst | Bentleyville, Oh | Oct 16, 2023 | 15 y | 0 |
| L••• S•••• | Columbus, Oh | Mar 6, 2026 | 14 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- L••• S•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 6, 2026 · Wirehouse to independent RIA
- C••••••••• B••••••• from C••••••••• F•••••••• N••••••Sep 29, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• P••••••• from C••••••••• F•••••••• N••••••Sep 29, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• T•••••• C•••••• from C••••••••• F•••••••• N••••••Sep 28, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- A•••• B•••• G•••• from C••••••••• F•••••••• N••••••Sep 28, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from C••••••••• F•••••••• N••••••Oct 2, 2023 · Columbus, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• K••••• M•••• · Partner, Financial Advisorcontrolsince 01/2024 · owns 5% to 10%
- C••••••• M••••••• T•••••• · Partner, Financial Advisorcontrolsince 08/2023 · owns 10% to 25%
- G••••• A••••• B•••• · Managing Partner, Chief Compliance Officercontrolsince 08/2023 · owns 75% or more
- M•••••• J••• · Partner, Financial Advisorcontrolsince 08/2023 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Columbus, Oh · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 20, 2026selection of other advisers (Item 5.G.7): no on the filing of 2025-12-16, yes on the filing of 2026-03-20peers: independent wealth managers, $500M to $1B (1,482)
- business activity changedChange between filings · filing Mar 20, 2026wrap fee program participation (Item 5.I): no on the filing of 2025-12-16, yes on the filing of 2026-03-20peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 816 to 908Dec 16, 2025 to Mar 20, 2026
- Advisory activities · 3 to 4Dec 16, 2025 to Mar 20, 2026
- Charity clients · 2 to 1Dec 16, 2025 to Mar 20, 2026
- HNW clients · 127 to 151Dec 16, 2025 to Mar 20, 2026
- Individual clients · 255 to 260Dec 16, 2025 to Mar 20, 2026
- Assets in custody · $44.0M to $57.8MDec 16, 2025 to Mar 20, 2026
- Financial planning clients · 251-500 to 26-50Dec 16, 2025 to Mar 20, 2026
- Discretionary RAUM · $426M to $513MDec 16, 2025 to Mar 20, 2026
- HNW RAUM · $281M to $355MDec 16, 2025 to Mar 20, 2026
- Individual RAUM · $121M to $128MDec 16, 2025 to Mar 20, 2026
- Pension RAUM · $1.6M to $1.9MDec 16, 2025 to Mar 20, 2026
- RAUM · $426M to $513MDec 16, 2025 to Mar 20, 2026
- Wrap assets (manager) · unset to 0.0Dec 16, 2025 to Mar 20, 2026
- Wrap assets (sponsor) · unset to 0.0Dec 16, 2025 to Mar 20, 2026
- Advisory activities · 2 to 3Oct 6, 2025 to Dec 16, 2025
- Legal name · GGM FINANCIALS, LLC to G•• F•••••••• L••Oct 6, 2025 to Dec 16, 2025
- Other offices · 0 to 1Oct 6, 2025 to Dec 16, 2025
- Accounts · 751 to 816Dec 16, 2024 to Mar 21, 2025
- Charity clients · unset to 2.0Dec 16, 2024 to Mar 21, 2025
- HNW clients · 107 to 127Dec 16, 2024 to Mar 21, 2025
- Individual clients · 238 to 255Dec 16, 2024 to Mar 21, 2025
- Pension plan clients · unset to 2.0Dec 16, 2024 to Mar 21, 2025
- Assets in custody · $32.1M to $44.0MDec 16, 2024 to Mar 21, 2025
- Employees · 9 to 11Dec 16, 2024 to Mar 21, 2025
- Financial planning clients · 251-500 to 251-500Dec 16, 2024 to Mar 21, 2025
- Discretionary RAUM · $371M to $426MDec 16, 2024 to Mar 21, 2025
- HNW RAUM · $230M to $281MDec 16, 2024 to Mar 21, 2025
- Individual RAUM · $118M to $121MDec 16, 2024 to Mar 21, 2025
- Pension RAUM · $1.4M to $1.6MDec 16, 2024 to Mar 21, 2025
- RAUM · $371M to $426MDec 16, 2024 to Mar 21, 2025
- Accounts · 748 to 751Feb 2, 2024 to Mar 26, 2024
- HNW clients · 92 to 107Feb 2, 2024 to Mar 26, 2024
- Individual clients · 251 to 238Feb 2, 2024 to Mar 26, 2024
- Assets in custody · $27.5M to $32.1MFeb 2, 2024 to Mar 26, 2024
- Custody of client assets · false to trueFeb 2, 2024 to Mar 26, 2024
- Discretionary RAUM · $332M to $371MFeb 2, 2024 to Mar 26, 2024
- HNW RAUM · $195M to $230MFeb 2, 2024 to Mar 26, 2024
- Individual RAUM · $123M to $118MFeb 2, 2024 to Mar 26, 2024
- Pension RAUM · unset to 1412168.0Feb 2, 2024 to Mar 26, 2024
- RAUM · $332M to $371MFeb 2, 2024 to Mar 26, 2024
Signals
3 dated events
- Marie Karen Bauman (Partner, Financial Advisor) appeared on Schedule A of G•• F•••••••• L••Feb 2, 2024 · Control person joined · fact
- 4 advisors left C••••••••• F•••••••• N•••••• (Columbus, OH) for G•• F•••••••• L•• on the same dayOct 2, 2023 · Team lift-out · derived
- G•• F•••••••• L•• filed its initial SEC registration (Form ADV)Aug 1, 2023 · 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
- team@ggmfin.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- ashley@ggmfin.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- brady@ggmfin.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- kaelyn@ggmfin.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jenny@ggmfin.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 614-310-2402reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 614-310-2400reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- ggmfin.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 614-310-2400reportedpublic record, Form ADV, Mar 20, 2026
- Contact form
- ggmfin.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- ggmfin.com/meet-our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $85.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026