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•••••••• F•••••••• G••••
Latest filing Mar 16, 2026
First filing on the tape Mar 8, 2012 · 23 filings
SEC status approved since Aug 27, 1990
RAUM
$407M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
100%
$406M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$67.8M
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$407M as of Mar 16, 2026
Mar 8, 2012$182M then
HNW client RAUM$229M as of Mar 16, 2026
Mar 20, 2018$64.8M then
State-registered IARs (5.B.3)6 as of Mar 16, 2026
Mar 8, 20120 then
Employees (5.A)10 as of Mar 16, 2026
Feb 28, 20135 then
Private funds: no history
RAUM +23% over the last fiscal year+29% a year over threeIARs 2 to 6
Practice profile
derived from the filing of Mar 16, 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
- RAUM per advisor
- $67.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 133derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $346,301derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +200%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +109%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminars, 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
- is an insurance broker or agent (6.A.6)
- 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$229M56%
- Individuals$178M44%
- Pension and profit-sharing plans$664,3090.2%
- Individual clients
- 675reported
- HNW clients
- 125reported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 1,175reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••••• R• E•••••• B•••••• | Tucson, Az | Jul 25, 2023 | 13 y | 0 |
| D•••• J•••• G•••••••• | Tucson, Az | Feb 27, 2025 | 19 y | 1 |
| T••• G•••• | Tucson, Az | Feb 27, 2025 | 15 y | 1 |
| D•••• M•••••• S••••••• | Tucson, Az | Feb 27, 2025 | 44 y | 1 |
| D••• S••••• G•••••••• | Tucson, Az | Feb 27, 2025 | 41 y | 1 |
| M••• J••••• K••••• | Tucson, Az | Feb 27, 2025 | 31 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
- S•••••••• M•••• F••• to H••••••••• G•••• E••••• • R••••••••• S•••••••••Jan 18, 2023 · RIA to RIA
- B••••••• J••• F•••••••• to P•• M•••••• A•••••• S••••••••• I•••Aug 20, 2018 · RIA to affiliated broker-dealer or bank
- J••• N•••••••• S••••••••• to G••••••••• C•••••• M••••••••• L••Sep 28, 2017 · Other
- K•••• R•••••••• to S•••••••• A••••••• L••Jul 2, 2008 · Other
Joined, latest
- S•••••••• M•••• F••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Apr 27, 2020 · Affiliated broker-dealer or bank to independent RIA
- J••• N•••••••• S••••••••• from P••••••••• F•••••••• S••••••• L••Apr 14, 2016 · Other
- B••••••• J••• F•••••••• from P•• M•••••• A•••••• S••••••••• I•••Nov 7, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• D••• S••••• · Presidentcontrolsince 01/1995 · owns 75% or more
- M••••••• S•••• J••• · Vice Presidentcontrolsince 06/2006 · 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 |
|---|---|---|---|---|---|
| Tucson, Az · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- client count surgeChange between filings · filing Mar 16, 2026individual and HNW clients (Item 5.D) moved from 382.0 to 800.0 (+109.0%) between the annual amendments of 2025-03-21 and 2026-03-16; the peer median change was +3.0% (3309 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 99% percentile
- HNW share shiftChange between filings · filing Mar 16, 2026HNW share of RAUM moved from 16.0% to 56.0% between the annual amendments of 2025-03-21 and 2026-03-16peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,178 to 1,175Jan 16, 2026 to Feb 23, 2026
- HNW clients · 9 to 125Jan 16, 2026 to Feb 23, 2026
- Individual clients · 373 to 675Jan 16, 2026 to Feb 23, 2026
- Pension plan clients · unset to 4.0Jan 16, 2026 to Feb 23, 2026
- Financial planning clients · 51-100 to 251-500Jan 16, 2026 to Feb 23, 2026
- Discretionary RAUM · $303M to $368MJan 16, 2026 to Feb 23, 2026
- HNW RAUM · $53.2M to $229MJan 16, 2026 to Feb 23, 2026
- Individual RAUM · $278M to $178MJan 16, 2026 to Feb 23, 2026
- Non-discretionary RAUM · $28.3M to $38.8MJan 16, 2026 to Feb 23, 2026
- Pension RAUM · unset to 664309.0Jan 16, 2026 to Feb 23, 2026
- RAUM · $331M to $407MJan 16, 2026 to Feb 23, 2026
- BD registered reps · 1 to 0Sep 10, 2025 to Jan 16, 2026
- Advisory employees · 5 to 6Jun 24, 2025 to Sep 10, 2025
- BD registered reps · 6 to 1Jun 24, 2025 to Sep 10, 2025
- Employees · 6 to 10Jun 24, 2025 to Sep 10, 2025
- Insurance-licensed employees · 5 to 0Jun 24, 2025 to Sep 10, 2025
- Related adviser · true to falseJun 24, 2025 to Sep 10, 2025
- Related insurance company · true to falseJun 24, 2025 to Sep 10, 2025
- Insurance-licensed employees · 1 to 5Mar 21, 2025 to Jun 24, 2025
- Financial planning clients · 51-100 to 51-100Mar 21, 2025 to Jun 24, 2025
- State-registered IARs · 2 to 6Mar 21, 2025 to Jun 24, 2025
- HNW clients · 71 to 9Mar 26, 2024 to Mar 21, 2025
- Individual clients · 297 to 373Mar 26, 2024 to Mar 21, 2025
- Discretionary RAUM · $258M to $303MMar 26, 2024 to Mar 21, 2025
- HNW RAUM · $143M to $53.2MMar 26, 2024 to Mar 21, 2025
- Individual RAUM · $115M to $278MMar 26, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $0 to $28.3MMar 26, 2024 to Mar 21, 2025
- RAUM · $258M to $331MMar 26, 2024 to Mar 21, 2025
- Accounts · 869 to 1,178Mar 26, 2024 to Mar 21, 2025
- Accounts · 779 to 869Mar 16, 2023 to Mar 26, 2024
- Advisory employees · 4 to 5Mar 16, 2023 to Mar 26, 2024
- BD registered reps · 5 to 6Mar 16, 2023 to Mar 26, 2024
- HNW clients · 36 to 71Mar 16, 2023 to Mar 26, 2024
- Individual clients · 280 to 297Mar 16, 2023 to Mar 26, 2024
- Employees · 5 to 6Mar 16, 2023 to Mar 26, 2024
- Financial planning clients · 26-50 to 51-100Mar 16, 2023 to Mar 26, 2024
- Discretionary RAUM · $189M to $258MMar 16, 2023 to Mar 26, 2024
- HNW RAUM · $66.0M to $143MMar 16, 2023 to Mar 26, 2024
- Individual RAUM · $123M to $115MMar 16, 2023 to Mar 26, 2024
- RAUM · $189M to $258MMar 16, 2023 to Mar 26, 2024
Signals
1 dated events
- S•••••••• M•••• F••• left G•••••••• F•••••••• G•••• for H••••••••• G•••• E••••• • R••••••••• S••••••••• (registered 2023-01-04)Jan 18, 2023 · Advisor changed firm · 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 email
- c••••••@g•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- l••••••@g•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- c••••••@g•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 520-544-4909reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- G••••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 520-544-4909reportedpublic record, Form ADV, Mar 16, 2026
- Contact form
- g•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $67.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026