DFX Intelligence

G•••••••• I••••••••• M••••••••• C•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM under $100M

G•••••••• I••••••••• M••••••••• C•••

CRD 106679

GLEN ROCK, NJ

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Search this name across graphsid dfx:ria:78bab076-491a-0b8d-560e-f95ae3142c0c

Data as of Sep 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Sep 9, 2026
30 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.8 fund_share=0.0 institutional_share=0.2 related_bd= related_bank= bd_reps=0.0
Regulatory AUM: $54.7M••• Locked
Discretionary RAUM: $54.7M
Private client RAUM: $43.6Mderived••• Locked
Private client share: 80%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $27.4Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
T••••••• M• G••••••••	Chartered Financial Analyst	Paramus, NJ	0	33	2	no
R••••• P••• G••••••••	Chartered Financial Analyst	GLEN ROCK, NJ	0	33

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••••••• R•••••• P•••	PRESIDENT/ CHIEF COMPLIANCE OFFICER	E	yes	07/1993	Mar 29, 2012	Mar 26, 2024
G••••••••• T•••••••• M•	VICE PRESIDENT	Na	no	12/2019	Mar 29, 2012	Mar 26, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$54.7M	$64.7M	-15.4%	$68.1M	-7.0%	1	2	0	0

Relationships

Registered with (2)

← T••••••• M• G••••••••Advisorregistration: previous registration
Feb 3, 2015 to Dec 31, 2016factForm ADV
← R••••• P••• G••••••••Advisorregistration: previous registration
Feb 3, 2015 to Dec 31, 2016factForm ADV

Owns (1)

← G••••••••• T•••••••• M•OwnerVICE PRESIDENT, ownership code NA, individual
Mar 29, 2012 to Mar 26, 2024factForm ADV

Controls (1)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:78bab076-491a-0b8d-560e-f95ae3142c0c
First observed: Mar 29, 2012
Last observed: Sep 9, 2026 13 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.