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••• S••••••• A••••••••• I•••
Latest filing Feb 13, 2026
First filing on the tape Feb 9, 2012 · 18 filings
SEC status approved since Jun 19, 2020
RAUM
$572M
reported, Item 5.F
Discretionary
26%
of RAUM
Private clients
26%
$147M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$572M as of Feb 13, 2026
Feb 10, 2021$135M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Feb 13, 2026
Feb 10, 20213 then
Employees (5.A)3 as of Feb 13, 2026
Feb 10, 20213 then
Private funds: no history
RAUM +26% over the last fiscal year+54% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $728,211derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 26%derivedof RAUM
- Institutional
- 74%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +23%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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 a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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
- Pension and profit-sharing plans$426M74%
- Individuals$147M26%
- Individual clients
- 415reported
- HNW clients
- 0reported
- Pension plan clients
- 9reported
- Charitable clients
- 0reported
- Accounts
- 786reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.26 fund_share=0.0 institutional_share=0.74 related_bd=true related_bank=false bd_reps=3.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••• W•••••• S••••••• | Lake Forest, Ca | Jul 26, 1994 | 35 y | 0 |
| A••• R••••• D••••• | Lake Forest, Ca | Aug 16, 2006 | 20 y | 0 |
| J••• E••••••• T••••••• | Lake Forest, Ca | Jan 31, 2017 | 29 y | 0 |
| T••••• P•••••• F•••• | Lake Forest, Ca | Feb 9, 2017 | 25 y | 0 |
| M•••••• T• N•••••• | Lake Forest, Ca | Jan 22, 2026 | 28 y | 1 |
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
- T•••• L••• M••••• to L•••• C•••••• G••••Feb 28, 2011 · Other
Joined, latest
- M•••••• T• N•••••• from W••••••••• R••••••••• A•••••••Jan 22, 2026 · Other
- T•••• L••• M••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 16, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••••• G••• W•••••• · President & Chief Compliance Officercontrolsince 04/1994 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Lake Forest, Ca · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Feb 13, 2026institutional share of RAUM of 74% against a peer median of 2% (1482 comparable advisers, 100.0th percentile, 24.6 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 689 to 786Apr 29, 2025 to Feb 13, 2026
- Individual clients · 338 to 415Apr 29, 2025 to Feb 13, 2026
- Pension plan clients · 7 to 9Apr 29, 2025 to Feb 13, 2026
- Discretionary RAUM · $132M to $147MApr 29, 2025 to Feb 13, 2026
- Individual RAUM · $132M to $147MApr 29, 2025 to Feb 13, 2026
- Non-discretionary RAUM · $324M to $426MApr 29, 2025 to Feb 13, 2026
- Pension RAUM · $324M to $426MApr 29, 2025 to Feb 13, 2026
- RAUM · $455M to $572MApr 29, 2025 to Feb 13, 2026
- Financial planning clients · 0 to 0Feb 10, 2025 to Apr 29, 2025
- Accounts · 766 to 689Apr 5, 2024 to Feb 10, 2025
- Pension plan clients · 9 to 7Apr 5, 2024 to Feb 10, 2025
- Discretionary RAUM · $135M to $132MApr 5, 2024 to Feb 10, 2025
- Individual RAUM · $136M to $132MApr 5, 2024 to Feb 10, 2025
- Non-discretionary RAUM · $242M to $324MApr 5, 2024 to Feb 10, 2025
- Pension RAUM · $240M to $324MApr 5, 2024 to Feb 10, 2025
- RAUM · $377M to $455MApr 5, 2024 to Feb 10, 2025
- Accounts · 1,051 to 766Oct 11, 2023 to Apr 5, 2024
- Individual clients · 333 to 338Oct 11, 2023 to Apr 5, 2024
- Pension plan clients · 5 to 9Oct 11, 2023 to Apr 5, 2024
- Discretionary RAUM · $126M to $135MOct 11, 2023 to Apr 5, 2024
- Individual RAUM · $130M to $136MOct 11, 2023 to Apr 5, 2024
- Non-discretionary RAUM · $7.1M to $242MOct 11, 2023 to Apr 5, 2024
- Pension RAUM · $3.3M to $240MOct 11, 2023 to Apr 5, 2024
- RAUM · $133M to $377MOct 11, 2023 to Apr 5, 2024
- Accounts · 991 to 1,051Aug 22, 2022 to Mar 6, 2023
- Pension plan clients · 8 to 5Aug 22, 2022 to Mar 6, 2023
- Discretionary RAUM · $146M to $126MAug 22, 2022 to Mar 6, 2023
- Individual RAUM · $146M to $130MAug 22, 2022 to Mar 6, 2023
- Non-discretionary RAUM · $9.6M to $7.1MAug 22, 2022 to Mar 6, 2023
- Pension RAUM · $9.6M to $3.3MAug 22, 2022 to Mar 6, 2023
- RAUM · $156M to $133MAug 22, 2022 to Mar 6, 2023
- Accounts · 1,023 to 991Feb 10, 2021 to Feb 17, 2022
- Individual clients · 325 to 333Feb 10, 2021 to Feb 17, 2022
- Pension plan clients · 7 to 8Feb 10, 2021 to Feb 17, 2022
- Discretionary RAUM · $123M to $146MFeb 10, 2021 to Feb 17, 2022
- Individual RAUM · $123M to $146MFeb 10, 2021 to Feb 17, 2022
- Non-discretionary RAUM · $11.7M to $9.6MFeb 10, 2021 to Feb 17, 2022
- Pension RAUM · $11.7M to $9.6MFeb 10, 2021 to Feb 17, 2022
- RAUM · $135M to $156MFeb 10, 2021 to Feb 17, 2022
- Accounts · 999 to 1,023Jul 7, 2020 to Feb 10, 2021
Signals
3 dated events
- G••• S••••••• A••••••••• I••• reported RAUM $572.4M, up 26% from $455.4M (2025-04-29 to 2026-02-13)Feb 13, 2026 · RAUM change · derived
- G••• S••••••• A••••••••• I••• reported RAUM $376.7M, up 183% from $133.0M (2023-10-11 to 2024-04-05)Apr 5, 2024 · RAUM change · derived
- G••• S••••••• A••••••••• I••• filed its initial SEC registration (Form ADV)May 19, 2020 · 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
- 949-470-0700reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- GWS•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 949-470-0700reportedpublic record, Form ADV, Feb 13, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026