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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Former SEC-registered adviser

G••• S•••• • A•••••••••

Former SEC-registered adviserHuntsville, AlabamaCRD 47502SEC 801-63052IAPD
Legal name G••••• • A••••••••• I•••
Latest filing Mar 27, 2019
First filing on the tape Dec 6, 2011 · 18 filings
RAUM
$136M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
83%
$114M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$136M as of Mar 27, 2019
Mar 8, 2012$122M then
HNW client RAUM$43.5M as of Mar 27, 2019
Mar 19, 2018$38.9M then
State-registered IARs (5.B.3)3 as of Mar 27, 2019
Mar 8, 20120 then
Employees (5.A)7 as of Mar 27, 2019
Mar 26, 201310 then
Private funds: no history
RAUM -6.7% over the last fiscal year-1.7% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 27, 2019; every figure names its basis
RAUM per advisor
$45.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
163derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$117,099derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-6.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-13%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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
  • Individuals$70.1M51%
  • High-net-worth individuals$43.5M32%
  • Pension and profit-sharing plans$19.3M14%
  • Charitable organizations$3.2M2.4%
Individual clients
472reported
HNW clients
17reported
Pension plan clients
7reported
Charitable clients
1reported
Accounts
1,163reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S••••• G•••••• L•• · Principalcontrol
        since 02/1990 · owns 75% or more
      • S••••• G•••••• L•• · Chief Compliance Officercontrol
        since 11/1999 · owns 75% or more
      • C••••••• S••••• H• · Office Manager
        since 12/2012 · owns less than 5%
      • H••••• D•••• S••••• · Vice President
        since 11/2016 · owns less than 5%
      • S••••••• D••• C• · Director Of Client Relations
        since 12/2012 · owns less than 5%
      • S••••• C•••••• A• · Vice President
        since 11/2016 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list G••• S•••• • A••••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1,157 to 1,163
        Jan 16, 2019 to Mar 27, 2019
      • HNW clients · 18 to 17
        Jan 16, 2019 to Mar 27, 2019
      • Individual clients · 450 to 472
        Jan 16, 2019 to Mar 27, 2019
      • Pension plan clients · 8 to 7
        Jan 16, 2019 to Mar 27, 2019
      • Employees · 8 to 7
        Jan 16, 2019 to Mar 27, 2019
      • Discretionary RAUM · $142M to $136M
        Jan 16, 2019 to Mar 27, 2019
      • HNW RAUM · $38.9M to $43.5M
        Jan 16, 2019 to Mar 27, 2019
      • Individual RAUM · $82.9M to $70.1M
        Jan 16, 2019 to Mar 27, 2019
      • Pension RAUM · $17.6M to $19.3M
        Jan 16, 2019 to Mar 27, 2019
      • RAUM · $142M to $136M
        Jan 16, 2019 to Mar 27, 2019
      • Accounts · 1,251 to 1,157
        Dec 12, 2018 to Jan 16, 2019
      • Individual clients · 544 to 450
        Dec 12, 2018 to Jan 16, 2019
      • Discretionary RAUM · $137M to $142M
        Dec 12, 2018 to Jan 16, 2019
      • Individual RAUM · $86.9M to $82.9M
        Dec 12, 2018 to Jan 16, 2019
      • Non-discretionary RAUM · $9.2M to $0
        Dec 12, 2018 to Jan 16, 2019
      • RAUM · $146M to $142M
        Dec 12, 2018 to Jan 16, 2019
      • Accounts · 1,294 to 1,251
        Mar 23, 2017 to Mar 19, 2018
      • Charity clients · unset to 1.0
        Mar 23, 2017 to Mar 19, 2018
      • HNW clients · unset to 18.0
        Mar 23, 2017 to Mar 19, 2018
      • Individual clients · unset to 544.0
        Mar 23, 2017 to Mar 19, 2018
      • Pension plan clients · unset to 8.0
        Mar 23, 2017 to Mar 19, 2018
      • Other offices · unset to 1.0
        Mar 23, 2017 to Mar 19, 2018
      • Discretionary RAUM · $119M to $137M
        Mar 23, 2017 to Mar 19, 2018
      • HNW RAUM · unset to 38919114.0
        Mar 23, 2017 to Mar 19, 2018
      • Individual RAUM · unset to 86903726.0
        Mar 23, 2017 to Mar 19, 2018
      • Non-discretionary RAUM · $24.5M to $9.2M
        Mar 23, 2017 to Mar 19, 2018
      • Pension RAUM · unset to 17555588.0
        Mar 23, 2017 to Mar 19, 2018
      • RAUM · $144M to $146M
        Mar 23, 2017 to Mar 19, 2018
      • Accounts · 1,325 to 1,294
        Mar 23, 2016 to Mar 21, 2017
      • Discretionary RAUM · $124M to $119M
        Mar 23, 2016 to Mar 21, 2017
      • Non-discretionary RAUM · $19.8M to $24.5M
        Mar 23, 2016 to Mar 21, 2017
      • RAUM · $143M to $144M
        Mar 23, 2016 to Mar 21, 2017
      • Accounts · 1,371 to 1,325
        Jun 24, 2015 to Mar 23, 2016
      • Discretionary RAUM · $121M to $124M
        Jun 24, 2015 to Mar 23, 2016
      • Non-discretionary RAUM · $19.6M to $19.8M
        Jun 24, 2015 to Mar 23, 2016
      • RAUM · $140M to $143M
        Jun 24, 2015 to Mar 23, 2016
      • Accounts · 1,423 to 1,371
        Mar 21, 2014 to Mar 13, 2015
      • BD registered reps · 5 to 7
        Mar 21, 2014 to Mar 13, 2015
      • Discretionary RAUM · $119M to $121M
        Mar 21, 2014 to Mar 13, 2015
      • Non-discretionary RAUM · $11.0M to $19.6M
        Mar 21, 2014 to Mar 13, 2015
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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
      Former SEC-registered adviserderiveda 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
      Across the graphs

      G••• S•••• • A••••••••• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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