DFX Intelligence
RIA Intelligence
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SEC-registered adviser
G•••••••• I••••••••• A•••••••• L••
Latest filing Apr 23, 2026
First filing on the tape Aug 10, 2023 · 6 filings
SEC status approved since Sep 11, 2023
RAUM
$229,197
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$229,197 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
6 filings and snapshots on the tape
RAUM$229,197 as of Apr 23, 2026
Mar 31, 2025$0 then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Apr 23, 2026
Feb 29, 20240 then
Employees (5.A)2 as of Apr 23, 2026
Feb 29, 20242 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- 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
- $60derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$229,197100%
- Individual clients
- 3,818reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3,818reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- 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
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••••••• D•••••• J•• · Chief Executive Officercontrolsince 02/2023 · owns less than 5%
- R•••• J•••••• L•••• · Chief Compliance Officercontrolsince 02/2023 · owns less than 5%
Entity owners
- G••••••••• I••• · 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
- Accounts · 2,099 to 3,818Feb 6, 2026 to Apr 23, 2026
- Individual clients · 2,099 to 3,818Feb 6, 2026 to Apr 23, 2026
- HNW RAUM · unset to 0.0Feb 6, 2026 to Apr 23, 2026
- Individual RAUM · $159,115 to $229,197Feb 6, 2026 to Apr 23, 2026
- Non-discretionary RAUM · $159,115 to $229,197Feb 6, 2026 to Apr 23, 2026
- Pension RAUM · unset to 0.0Feb 6, 2026 to Apr 23, 2026
- Pooled vehicle RAUM · unset to 0.0Feb 6, 2026 to Apr 23, 2026
- RAUM · $159,115 to $229,197Feb 6, 2026 to Apr 23, 2026
- Accounts · 0 to 2,099Mar 31, 2025 to Feb 6, 2026
- Individual clients · 0 to 2,099Mar 31, 2025 to Feb 6, 2026
- Individual RAUM · unset to 159115.0Mar 31, 2025 to Feb 6, 2026
- Non-discretionary RAUM · $0 to $159,115Mar 31, 2025 to Feb 6, 2026
- RAUM · $0 to $159,115Mar 31, 2025 to Feb 6, 2026
- Accounts · unset to 0.0Feb 29, 2024 to Mar 31, 2025
- Charity clients · unset to 0.0Feb 29, 2024 to Mar 31, 2025
- Corporate clients · unset to 0.0Feb 29, 2024 to Mar 31, 2025
- HNW clients · unset to 0.0Feb 29, 2024 to Mar 31, 2025
- Individual clients · unset to 0.0Feb 29, 2024 to Mar 31, 2025
- Pension plan clients · unset to 0.0Feb 29, 2024 to Mar 31, 2025
- Pooled vehicle clients · unset to 0.0Feb 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Feb 29, 2024 to Mar 31, 2025
- Discretionary RAUM · unset to 0.0Feb 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · unset to 0.0Feb 29, 2024 to Mar 31, 2025
- RAUM · unset to 0.0Feb 29, 2024 to Mar 31, 2025
Signals
1 dated events
- G•••••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Aug 10, 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
- Website
- g•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 866-659-4458reportedpublic record, Form ADV, Apr 23, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026