DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

G••• G••••••• P••••••• S••••••• I••

CRD 110784

SUFFERN, NY

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Search this name across graphsid dfx:ria:f34dd559-a7ac-fceb-f0d2-f176c42e30be

Data as of Oct 28, 2015 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 0
On other graphs: 0
Observed: Jan 18, 2012 to Oct 28, 2015
11 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $5.6M••• Locked
Discretionary RAUM: $5.6M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••• G••••••• • C••• I•••	PARENT COMPANY	E	yes	06/1973	Jan 18, 2012	Oct 28, 2015
G•••••••• G•••• M•••	CEO, SHAREHOLDER	E	yes	06/1973	Jan 18, 2012	Oct 28, 2015

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Danbury	Ct	United States	n/a	no
Fishkill	NY	United States	n/a	no
Goshen	NY	United States	n/a	no
Tarrytown	NY	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Oct 28, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$5.6M	$723M	-99.2%	$452M	-76.8%	1	36	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
G••• G••••••• P••••••• S•••••••	10	Mar 18, 2015	Mar 16, 2017	SUFFERN, NY	Firm absorbed	Other	90.9%

Relationships

Controls (2)

← G•••••••• G•••• M•••OwnerCEO, SHAREHOLDER, ownership code E, individual
Jan 18, 2012 to presentfactForm ADV
← G••• G••••••• • C••• I•••OwnerPARENT COMPANY, ownership code E, domestic entity
Jan 18, 2012 to presentfactForm ADV

Owns (2)

← B••••••• J••••••• M•••••OwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Jan 18, 2012 to presentfactForm ADV
← C••••••• T•••••• A••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f34dd559-a7ac-fceb-f0d2-f176c42e30be
First observed: Jan 18, 2012
Last observed: Oct 28, 2015 132 months 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.