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••••• W••••• A••••••• L••
Latest filing Jul 14, 2026
First filing on the tape Nov 3, 2023 · 20 filings
SEC status approved since Dec 7, 2023
RAUM
$822M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$770M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$164M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$822M as of Jul 14, 2026
May 1, 2024$591M then
HNW client RAUM$683M as of Jul 14, 2026
May 1, 2024$495M then
State-registered IARs (5.B.3)6 as of Jul 14, 2026
May 1, 20247 then
Employees (5.A)9 as of Jul 14, 2026
May 1, 20247 then
Private funds: no history
RAUM +19% over the last fiscal yearIARs 6 to 6
Practice profile
derived from the filing of Jul 14, 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
- $164MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 86derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $719,954derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.6%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $822MreportedItem 5.I
- Custody
- $312M, 64 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$683M83%
- Individuals$87.1M11%
- Pension and profit-sharing plans$30.1M3.7%
- Charitable organizations$19.9M2.4%
- Corporations and businesses$2.0M0.2%
- Individual clients
- 231reported
- HNW clients
- 200reported
- Pension plan clients
- 8reported
- Charitable clients
- 3reported
- Accounts
- 1,142reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $822M managedreported
- Custody of client assets
- $312M for 64 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••• L••• S••••••• | Virginia Beach, Va | Dec 12, 2023 | 40 y | 2 |
| C•••• E••••• R•••••Certified Financial Planner | Virginia Beach, Va | Jan 11, 2024 | 21 y | 6 |
| C••• T•••• W•••••••••Certified Financial Planner | Virginia Beach, Va | Jan 18, 2024 | 10 y | 4 |
| C•••• D•••• P•••••Certified Financial Planner | Virginia Beach, Va | Jan 23, 2024 | 23 y | 2 |
| D•••••• P•••• M••••• | Virginia Beach, Va | Jan 23, 2024 | 37 y | 6 |
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•••• D•••• P••••• from N•••••• A•••••••Jan 23, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- D•••••• P•••• M••••• from N•••••• A•••••••Jan 23, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- C••• T•••• W••••••••• from N•••••• A•••••••Jan 18, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- C•••• E••••• R••••• from N•••••• A•••••••Jan 11, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- G••••• L••• S••••••• from N•••••• A•••••••Dec 12, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from N•••••• A•••••••Feb 1, 2024 · New Orleans, La
- 2 joined from N•••••• A•••••••Feb 1, 2024 · Virginia Beah, Va
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••• C••••• E••••• · Owner And Ccocontrolsince 11/2023 · owns 75% or more
- W••••••••• C•••• T•••• · Ownersince 11/2023 · 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 |
|---|---|---|---|---|---|
| Virginia Beach, Va · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,060 to 1,142Oct 29, 2025 to Mar 26, 2026
- BD registered reps · 4 to 3Oct 29, 2025 to Mar 26, 2026
- Charity clients · 7 to 3Oct 29, 2025 to Mar 26, 2026
- Corporate clients · 3 to 2Oct 29, 2025 to Mar 26, 2026
- HNW clients · 186 to 200Oct 29, 2025 to Mar 26, 2026
- Individual clients · 222 to 231Oct 29, 2025 to Mar 26, 2026
- Pension plan clients · unset to 8.0Oct 29, 2025 to Mar 26, 2026
- Pooled vehicle clients · unset to 0.0Oct 29, 2025 to Mar 26, 2026
- Assets in custody · $594M to $312MOct 29, 2025 to Mar 26, 2026
- Other offices · 1 to 0Oct 29, 2025 to Mar 26, 2026
- Discretionary RAUM · $691M to $822MOct 29, 2025 to Mar 26, 2026
- HNW RAUM · $584M to $683MOct 29, 2025 to Mar 26, 2026
- Individual RAUM · $87.2M to $87.1MOct 29, 2025 to Mar 26, 2026
- Pension RAUM · unset to 30059238.0Oct 29, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · unset to 0.0Oct 29, 2025 to Mar 26, 2026
- RAUM · $691M to $822MOct 29, 2025 to Mar 26, 2026
- Wrap assets (manager) · $691M to $822MOct 29, 2025 to Mar 26, 2026
- Financial planning clients · 0 to 0Aug 8, 2025 to Oct 29, 2025
- Assets in custody · unset to 593763410.0Jun 23, 2025 to Aug 8, 2025
- Custody of client assets · false to trueJun 23, 2025 to Aug 8, 2025
- Other offices · 0 to 1May 15, 2025 to Jun 23, 2025
- Accounts · 952 to 1,060Dec 5, 2024 to Mar 26, 2025
- Advisory employees · 7 to 6Dec 5, 2024 to Mar 26, 2025
- Charity clients · 4 to 7Dec 5, 2024 to Mar 26, 2025
- Corporate clients · 2 to 3Dec 5, 2024 to Mar 26, 2025
- HNW clients · 163 to 186Dec 5, 2024 to Mar 26, 2025
- Individual clients · 207 to 222Dec 5, 2024 to Mar 26, 2025
- Employees · 7 to 9Dec 5, 2024 to Mar 26, 2025
- State-registered IARs · 7 to 6Dec 5, 2024 to Mar 26, 2025
- Discretionary RAUM · $590M to $691MDec 5, 2024 to Mar 26, 2025
- HNW RAUM · $495M to $584MDec 5, 2024 to Mar 26, 2025
- Individual RAUM · $81.3M to $87.2MDec 5, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $113,666 to $0Dec 5, 2024 to Mar 26, 2025
- RAUM · $591M to $691MDec 5, 2024 to Mar 26, 2025
- Wrap assets (manager) · $586M to $691MDec 5, 2024 to Mar 26, 2025
- Accounts · 383 to 952Mar 8, 2024 to May 1, 2024
- Corporate clients · 3 to 2Mar 8, 2024 to May 1, 2024
- Individual clients · 213 to 207Mar 8, 2024 to May 1, 2024
- Discretionary RAUM · $624M to $590MMar 8, 2024 to May 1, 2024
- HNW RAUM · $528M to $495MMar 8, 2024 to May 1, 2024
Signals
6 dated events
- 3 advisors left N•••••• A••••••• (Virginia Beach, VA) for G••••• W••••• A••••••• L•• within 4 daysFeb 1, 2024 · Team lift-out · derived
- 2 advisors left N•••••• A••••••• (New Orleans, LA) for G••••• W••••• A••••••• L•• within 4 daysFeb 1, 2024 · Team lift-out · derived
- S•••• J••••••• R••••• (Owner And Cco) no longer on Schedule A of G••••• W••••• A••••••• L•• (listed 2023-11-03, absent 2023-11-28)Nov 28, 2023 · Control person left · inference
- A•••••••• B••• W••••••••• (Owner) no longer on Schedule A of G••••• W••••• A••••••• L•• (listed 2023-11-03, absent 2023-11-28)Nov 28, 2023 · Control person left · inference
- Edward Cline R••••• (Owner And Cco) appeared on Schedule A of G••••• W••••• A••••••• L••Nov 28, 2023 · Control person joined · fact
- J• • A• F•••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Nov 3, 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 phone
- 757-909-5500reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 757-909-5501reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- g•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 757-909-5500reportedpublic record, Form ADV, Jul 14, 2026
- Team page
- g•••••••••.comreportedpublished 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
- $164Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026