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
F•••• F•••••••• A••••••• S••••••• I••
Latest filing Apr 21, 2026
First filing on the tape Mar 30, 2012 · 31 filings
SEC status approved since Jan 24, 1984
RAUM
$278M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
99%
$276M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$92.7M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$278M as of Apr 21, 2026
Mar 30, 2012$108M then
HNW client RAUM$159M as of Apr 21, 2026
Mar 30, 2018$49.4M then
State-registered IARs (5.B.3)3 as of Apr 21, 2026
Mar 30, 20120 then
Employees (5.A)7 as of Apr 21, 2026
Apr 1, 20136 then
Private funds: no history
RAUM +11% over the last fiscal year+12% a year over threeIARs 3 to 3offices 1 to 2
Practice profile
derived from the filing of Apr 21, 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
- $92.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 172derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $259,607derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.3%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Custody
- $29.9M, 76 clientsreportedItem 9.A
- 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
- buys or sells securities as principal to or from clients (8.A.2)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$159M57%
- Individuals$118M42%
- Charitable organizations$1.7M0.6%
- Individual clients
- 440reported
- HNW clients
- 76reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 1,071reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $29.9M for 76 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••••• B••••• C••••••••• | Westerly, Ri | Jun 22, 1992 | 43 y | 1 |
| M•••••• J••••• C•••••••••Certified Financial Planner | Westerly, Ri | Jan 30, 2008 | 35 y | 1 |
| P•••• B•••• R••••••• | Westerly, Ri | Mar 26, 2014 | 35 y | 0 |
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
- B••••••• W••••• K•••••••• to F•••• A••••• S••••••••• I•••Jan 16, 2007 · Other
- R••••• N• S•••••• to L•• F•••••••• L••Jan 16, 2007 · Other
Joined, latest
- M•••••• J••••• C••••••••• from F•••• A••••• S••••••••• I•••Jan 30, 2008 · Other
- R••••• N• S•••••• from F•••• A••••• S••••••••• I•••Aug 10, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• G••••••••• B••••• · President, Treasurercontrolsince 01/2012 · owns 75% or more
- C••••••••• M••••••• J••••• · Chief Compliance Officer, Secretarysince 01/2012 · owns less than 5%
- R•••••••• P••••• B•••• · Vice-Presidentsince 03/2013 · 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 |
|---|---|---|---|---|---|
| Westerly, Ri · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Apr 21, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 1,085 to 1,071Mar 19, 2025 to Mar 11, 2026
- Advisory employees · 6 to 7Mar 19, 2025 to Mar 11, 2026
- HNW clients · 68 to 76Mar 19, 2025 to Mar 11, 2026
- Individual clients · 460 to 440Mar 19, 2025 to Mar 11, 2026
- Assets in custody · unset to 29941164.0Mar 19, 2025 to Mar 11, 2026
- Custody of client assets · false to trueMar 19, 2025 to Mar 11, 2026
- Employees · 6 to 7Mar 19, 2025 to Mar 11, 2026
- Insurance-licensed employees · 0 to 3Mar 19, 2025 to Mar 11, 2026
- Other offices · 1 to 2Mar 19, 2025 to Mar 11, 2026
- HNW RAUM · $131M to $159MMar 19, 2025 to Mar 11, 2026
- Individual RAUM · $117M to $118MMar 19, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $250M to $278MMar 19, 2025 to Mar 11, 2026
- RAUM · $250M to $278MMar 19, 2025 to Mar 11, 2026
- Accounts · 1,166 to 1,085Mar 29, 2024 to Mar 19, 2025
- HNW clients · 64 to 68Mar 29, 2024 to Mar 19, 2025
- Individual clients · 491 to 460Mar 29, 2024 to Mar 19, 2025
- Financial planning clients · 1-10 to 26-50Mar 29, 2024 to Mar 19, 2025
- HNW RAUM · $110M to $131MMar 29, 2024 to Mar 19, 2025
- Individual RAUM · $113M to $117MMar 29, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $225M to $250MMar 29, 2024 to Mar 19, 2025
- RAUM · $225M to $250MMar 29, 2024 to Mar 19, 2025
- Accounts · 1,291 to 1,166Mar 31, 2023 to Mar 29, 2024
- Advisory activities · 4 to 3Mar 31, 2023 to Mar 29, 2024
- Charity clients · 0 to 5Mar 31, 2023 to Mar 29, 2024
- Corporate clients · 0.0 to unsetMar 31, 2023 to Mar 29, 2024
- HNW clients · 41 to 64Mar 31, 2023 to Mar 29, 2024
- Individual clients · 398 to 491Mar 31, 2023 to Mar 29, 2024
- Pension plan clients · 0.0 to unsetMar 31, 2023 to Mar 29, 2024
- Pooled vehicle clients · 0.0 to unsetMar 31, 2023 to Mar 29, 2024
- Financial planning clients · 11-25 to 1-10Mar 31, 2023 to Mar 29, 2024
- HNW RAUM · $75.2M to $110MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $122M to $113MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $198M to $225MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · 0.0 to unsetMar 31, 2023 to Mar 29, 2024
- RAUM · $198M to $225MMar 31, 2023 to Mar 29, 2024
- Accounts · 1,253 to 1,291Jun 7, 2022 to Mar 31, 2023
- Charity clients · 5 to 0Jun 7, 2022 to Mar 31, 2023
- HNW clients · 67 to 41Jun 7, 2022 to Mar 31, 2023
- Individual clients · 536 to 398Jun 7, 2022 to Mar 31, 2023
- Financial planning clients · 1-10 to 11-25Jun 7, 2022 to Mar 31, 2023
Signals
No event on the tape.
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
- Website
- H••••://WWW.PLANNINGFORFEDS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 401-596-0193reportedpublic record, Form ADV, Apr 21, 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
- $92.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026