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.
SEC-registered adviser
Gainspoletti Wealth Planners
Legal name Gainspoletti Wealth Planners Advisory LLC
Latest filing Apr 1, 2026
First filing on the tape Feb 25, 2025 · 5 filings
SEC status approved since Mar 28, 2025
RAUM
$127M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$113M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$42.3M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$127M as of Apr 1, 2026
Feb 25, 2025$0 then
HNW client RAUM$78.0M as of Apr 1, 2026
Jul 22, 2025$75.6M then
State-registered IARs (5.B.3)3 as of Apr 1, 2026
Feb 25, 20253 then
Employees (5.A)3 as of Apr 1, 2026
Feb 25, 20253 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Apr 1, 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
- RAUM per advisor
- $42.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $389,571derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Custody
- $9.7M, 18 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 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$78.0M61%
- Individuals$34.6M27%
- Corporations and businesses$13.0M10%
- Charitable organizations$1.4M1.1%
- Individual clients
- 205reported
- HNW clients
- 45reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 326reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $9.7M for 18 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| James Russell GainspolettiCertified Financial Planner | Cleveland, Ms | May 5, 2025 | 20 y | 2 |
| Brandyn Halat SkeenCertified Financial Planner | Hernando, Ms | May 7, 2025 | 17 y | 1 |
| Gary Michael Gainspoletti | Cleveland, Ms | May 7, 2025 | 30 y | 3 |
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
- Brandyn Halat Skeen from Raymond James Financial Services Advisors, IncMay 7, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- Gary Michael Gainspoletti from Raymond James Financial Services Advisors, IncMay 7, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- James Russell Gainspoletti from Raymond James Financial Services Advisors, IncMay 5, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Raymond James Financial Services Advisors, IncMay 7, 2025 · Cleveland, Ms
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Michael Gary Gainspoletti · Presidentcontrolsince 03/2025 · owns 75% or more
- Barbara Donna Dimaria · Chief Compliance Officersince 02/2025 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Cleveland, Ms · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 263 to 326Oct 30, 2025 to Mar 27, 2026
- HNW clients · 68 to 45Oct 30, 2025 to Mar 27, 2026
- Individual clients · 115 to 205Oct 30, 2025 to Mar 27, 2026
- Assets in custody · unset to 9740410.0Oct 30, 2025 to Mar 27, 2026
- Custody of client assets · false to trueOct 30, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 11-25Oct 30, 2025 to Mar 27, 2026
- Discretionary RAUM · $105M to $127MOct 30, 2025 to Mar 27, 2026
- HNW RAUM · $75.6M to $78.0MOct 30, 2025 to Mar 27, 2026
- Individual RAUM · $15.8M to $34.6MOct 30, 2025 to Mar 27, 2026
- RAUM · $105M to $127MOct 30, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 0Jul 22, 2025 to Oct 30, 2025
- Accounts · 0 to 263Feb 25, 2025 to Jul 22, 2025
- HNW clients · unset to 68.0Feb 25, 2025 to Jul 22, 2025
- Individual clients · unset to 115.0Feb 25, 2025 to Jul 22, 2025
- Discretionary RAUM · $0 to $105MFeb 25, 2025 to Jul 22, 2025
- HNW RAUM · unset to 75600000.0Feb 25, 2025 to Jul 22, 2025
- Individual RAUM · unset to 15800000.0Feb 25, 2025 to Jul 22, 2025
- RAUM · $0 to $105MFeb 25, 2025 to Jul 22, 2025
Signals
1 dated events
- 3 advisors left Raymond James Financial Services Advisors, Inc (Cleveland, MS) for Gainspoletti Wealth Planners a day apartMay 7, 2025 · Team lift-out · derived
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
- 662-429-4436reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 662-843-6090reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 662-846-0260reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/gainspoletti-wealth-plannersreportedpublic record, Form ADV, Sep 17, 2026
- Website
- gainspoletti.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 662-843-6090reportedpublic record, Form ADV, Apr 1, 2026
- Contact form
- gainspoletti.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- gainspoletti.com/our-teamreportedpublished 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
- $42.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026