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•••••••
Legal name G••••••• P••••••• L••
Latest filing Sep 4, 2026
First filing on the tape Jan 14, 2026 · 4 filings
SEC status approved since Jan 5, 2026
RAUM
$204M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$202M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$102M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$149M as of May 5, 2026
Jan 14, 2026$0 then
HNW client RAUM: $121M
State-registered IARs (5.B.3)3 as of May 5, 2026
Jan 14, 20263 then
Employees (5.A)4 as of May 5, 2026
Jan 14, 20264 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 4, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $102MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.6MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 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
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$197M96%
- Individuals$5.5M2.7%
- Pension and profit-sharing plans$2.4M1.2%
- Individual clients
- 21reported
- HNW clients
- 35reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 160reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• M••• G•••• | Miami, Fl | Jan 30, 2026 | 30 y | 3 |
| H••••••••• R•••• V•• | Southampton, Ny | Feb 27, 2026 | 10 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- D••••• M••• G•••• from B•••••••• A•••• M••••••••• L••Jan 30, 2026 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• D•••••• M••• · Co-Founder And Managing Membercontrolsince 01/2026 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Miami, Fl · principal | 2 | 2 | 0 | ||
| Southampton, Ny | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 130 to 160May 5, 2026 to Sep 4, 2026
- HNW clients · 19 to 35May 5, 2026 to Sep 4, 2026
- Individual clients · 15 to 21May 5, 2026 to Sep 4, 2026
- Pension plan clients · unset to 2.0May 5, 2026 to Sep 4, 2026
- Financial planning clients · 0 to 0May 5, 2026 to Sep 4, 2026
- Discretionary RAUM · $149M to $204MMay 5, 2026 to Sep 4, 2026
- HNW RAUM · $121M to $197MMay 5, 2026 to Sep 4, 2026
- Individual RAUM · $21.6M to $5.5MMay 5, 2026 to Sep 4, 2026
- Non-discretionary RAUM · $21,500 to $0May 5, 2026 to Sep 4, 2026
- Pension RAUM · $2.2M to $2.4MMay 5, 2026 to Sep 4, 2026
- RAUM · $149M to $204MMay 5, 2026 to Sep 4, 2026
- Succession · false to unsetMay 5, 2026 to Sep 4, 2026
- Accounts · 0 to 130Mar 3, 2026 to May 5, 2026
- HNW clients · unset to 19.0Mar 3, 2026 to May 5, 2026
- Individual clients · unset to 15.0Mar 3, 2026 to May 5, 2026
- Other offices · 0 to 1Mar 3, 2026 to May 5, 2026
- Discretionary RAUM · $0 to $149MMar 3, 2026 to May 5, 2026
- HNW RAUM · unset to 120892231.0Mar 3, 2026 to May 5, 2026
- Individual RAUM · unset to 21598696.0Mar 3, 2026 to May 5, 2026
- Non-discretionary RAUM · $0 to $21,500Mar 3, 2026 to May 5, 2026
- Pension RAUM · unset to 2180620.0Mar 3, 2026 to May 5, 2026
- RAUM · $0 to $149MMar 3, 2026 to May 5, 2026
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- G••••••• W••••• A••••••• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 305-845-7511reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 305-914-0678reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- g•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 305-845-7511reportedpublic record, Form ADV, Sep 4, 2026
- Contact form
- g•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $102Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026