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••••••••• I••••••••• S•••••••
Latest filing Mar 31, 2026
First filing on the tape Sep 12, 2025 · 2 filings
SEC status approved since Nov 18, 2025
RAUM
$3.9B
reported, Item 5.F
Discretionary
81%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
28
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$3.9B as of Mar 31, 2026
Sep 12, 2025$3.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Sep 12, 20250 then
Employees (5.A)28 as of Mar 31, 2026
Sep 12, 202525 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- 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
- $60.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 81%derivedof RAUM
- Institutional
- 100%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
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $3.7B, 14 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)
- 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
- Charitable organizations$3.9B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 14reported
- Accounts
- 65reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.7B for 14 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=true related_bank=true 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
- A•••••• W••• P••••• C••••• · Chief Compliance Officercontrolsince 09/2025 · owns less than 5%
- B•••• G•••••• A••• · Directorcontrolsince 07/2023 · owns less than 5%
- B•••• T••••••• R••• · Vice President - Portfolio Managementcontrolsince 08/2022 · owns less than 5%
- C•••• S•••••• · Secretarycontrolsince 03/2026 · owns less than 5%
- C••••••• J••••• M••••• · Directorcontrolsince 06/2025 · owns less than 5%
- C•••••• B•••• A••• · Vice President - Investment Servicescontrolsince 07/2021 · owns less than 5%
- P••••••• P••••••• J•••• · Directorcontrolsince 07/2025 · owns less than 5%
- W••••• M••••••• A••• · Vice President - Legalcontrolsince 07/2024 · owns less than 5%
- W••••• E•••• A••• · Treasurercontrolsince 03/2025 · owns less than 5%
Entity owners
- G••••••••• F•••••••• R•••••••• O• · 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 · 39 to 65Sep 12, 2025 to Mar 31, 2026
- Advisory employees · 8 to 11Sep 12, 2025 to Mar 31, 2026
- Charity clients · 12 to 14Sep 12, 2025 to Mar 31, 2026
- Assets in custody · $3.4B to $3.7BSep 12, 2025 to Mar 31, 2026
- Employees · 25 to 28Sep 12, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.7B to $3.2BSep 12, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $709M to $738MSep 12, 2025 to Mar 31, 2026
- RAUM · $3.4B to $3.9BSep 12, 2025 to Mar 31, 2026
Signals
No event on the tape.
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 18, 2026
- Principal office phone
- (214) 720-1198reportedpublic record, Form ADV, Mar 31, 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
- Institutional 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