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••••• T•••• W••••• M••••••••• L••
Latest filing Feb 27, 2026
First filing on the tape Sep 30, 2024 · 8 filings
SEC status approved since Nov 4, 2024
RAUM
$214M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$213M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$71.2M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$214M as of Feb 27, 2026
Feb 27, 2025$207M then
HNW client RAUM$203M as of Feb 27, 2026
Feb 27, 2025$148M then
State-registered IARs (5.B.3)3 as of Feb 27, 2026
Feb 27, 20254 then
Employees (5.A)5 as of Feb 27, 2026
Feb 27, 20256 then
Private funds: no history
RAUM +3.1% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Feb 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $71.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $731,696derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $64.7M, 39 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)
- 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)
- 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$203M95%
- Individuals$10.4M4.9%
- Charitable organizations$675,8380.3%
- Corporations and businesses$3,2800.0%
- Individual clients
- 45reported
- HNW clients
- 43reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 292reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $64.7M for 39 clientsreported
- Compensation
- % of AUMreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• M•••••• S••••Certified Financial Planner | West Palm Beach, Fl | Nov 15, 2024 | 15 y | 1 |
| S•••• M•••••• T••••• | West Palm Beach, Fl | Feb 17, 2025 | 10 y | 3 |
| E••••• T••••• H•••Personal Financial Specialist | West Palm Beach, Fl | Mar 11, 2026 | 22 y | 1 |
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
- S•••• M•••••• T••••• from S•••• C•••••• L••Feb 17, 2025 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• E•••••• T••••• · Chief Compliance Officer/Presidentcontrolsince 09/2024 · owns less than 5%
Entity owners
- H••• F••••• O•••••• I•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- G••••• T••••investment advisernRAUM $450M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| West Palm Beach, Fl · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- institutional to wealth shiftCombination · filing Feb 27, 2026institutional share fell 15 points or more while private-client share rose 15 points or more. RAUM $207,248,417 to $213,655,374, advisors 3 to 3, private clients 87 to 88, offices 0 to 0 (2025-04-30 to 2026-02-27)peers: independent wealth managers, $100M to $500M (5,676)
- affiliate changedChange between filings · filing Feb 27, 2026insurance affiliate (Item 7.A.10): no on the filing of 2025-04-30, yes on the filing of 2026-02-27peers: independent wealth managers, $100M to $500M (5,676)
- client mix shiftChange between filings · filing Feb 27, 2026private-client share of RAUM moved from 76.0% to 100.0% between the annual amendments of 2025-04-30 and 2026-02-27peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Feb 27, 2026HNW share of RAUM moved from 71.0% to 95.0% between the annual amendments of 2025-04-30 and 2026-02-27peers: independent wealth managers, $100M to $500M (5,676)
- institutional asset share shiftChange between filings · filing Feb 27, 2026institutional share of RAUM moved from 24.0% to 0.0% between the annual amendments of 2025-04-30 and 2026-02-27peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 278 to 292Apr 30, 2025 to Feb 27, 2026
- Charity clients · 2 to 1Apr 30, 2025 to Feb 27, 2026
- Corporate clients · 4 to 2Apr 30, 2025 to Feb 27, 2026
- HNW clients · 50 to 43Apr 30, 2025 to Feb 27, 2026
- Individual clients · 37 to 45Apr 30, 2025 to Feb 27, 2026
- Pension plan clients · 3.0 to unsetApr 30, 2025 to Feb 27, 2026
- Assets in custody · $91.1M to $64.7MApr 30, 2025 to Feb 27, 2026
- Discretionary RAUM · $200M to $205MApr 30, 2025 to Feb 27, 2026
- HNW RAUM · $148M to $203MApr 30, 2025 to Feb 27, 2026
- Individual RAUM · $11.0M to $10.4MApr 30, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $7.0M to $8.8MApr 30, 2025 to Feb 27, 2026
- Pension RAUM · 2081239.0 to unsetApr 30, 2025 to Feb 27, 2026
- RAUM · $207M to $214MApr 30, 2025 to Feb 27, 2026
- Related insurance company · false to trueApr 30, 2025 to Feb 27, 2026
- Advisory employees · 4 to 3Feb 27, 2025 to Apr 30, 2025
- Employees · 6 to 5Feb 27, 2025 to Apr 30, 2025
- Insurance-licensed employees · 1 to 0Feb 27, 2025 to Apr 30, 2025
- Financial planning clients · 0 to 0Feb 27, 2025 to Apr 30, 2025
- State-registered IARs · 4 to 3Feb 27, 2025 to Apr 30, 2025
- Accounts · 0 to 278Nov 25, 2024 to Feb 27, 2025
- Charity clients · unset to 2.0Nov 25, 2024 to Feb 27, 2025
- Corporate clients · unset to 4.0Nov 25, 2024 to Feb 27, 2025
- HNW clients · unset to 50.0Nov 25, 2024 to Feb 27, 2025
- Individual clients · unset to 37.0Nov 25, 2024 to Feb 27, 2025
- Pension plan clients · unset to 3.0Nov 25, 2024 to Feb 27, 2025
- Assets in custody · unset to 91144690.0Nov 25, 2024 to Feb 27, 2025
- Custody of client assets · false to trueNov 25, 2024 to Feb 27, 2025
- Discretionary RAUM · $0 to $200MNov 25, 2024 to Feb 27, 2025
- HNW RAUM · unset to 147504766.0Nov 25, 2024 to Feb 27, 2025
- Individual RAUM · unset to 11019885.0Nov 25, 2024 to Feb 27, 2025
- Non-discretionary RAUM · $0 to $7.0MNov 25, 2024 to Feb 27, 2025
- Pension RAUM · unset to 2081239.0Nov 25, 2024 to Feb 27, 2025
- RAUM · $0 to $207MNov 25, 2024 to Feb 27, 2025
- Related adviser · true to falseNov 25, 2024 to Feb 27, 2025
- Advisory employees · 2 to 4Oct 16, 2024 to Nov 25, 2024
- Employees · 4 to 6Oct 16, 2024 to Nov 25, 2024
- Insurance-licensed employees · 0 to 1Oct 16, 2024 to Nov 25, 2024
- State-registered IARs · 2 to 4Oct 16, 2024 to Nov 25, 2024
- Related adviser · false to trueOct 1, 2024 to Oct 4, 2024
Signals
1 dated events
- G••••• T•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Sep 30, 2024 · 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
- 561-207-9696reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 561-835-0628reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- g•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 561-207-9696reportedpublic record, Form ADV, Feb 27, 2026
- Team page
- g•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $71.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026