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
C••••• • B••••••••• I••
Latest filing Mar 29, 2024
First filing on the tape Mar 7, 2012 · 16 filings
RAUM
$47.4M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
97%
$46.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
16 filings and snapshots on the tape
RAUM$47.4M as of Mar 29, 2024
Mar 7, 2012$41.0M then
HNW client RAUM$35.4M as of Mar 29, 2024
Mar 15, 2018$39.2M then
State-registered IARs (5.B.3)1 as of Mar 29, 2024
Mar 7, 20120 then
Employees (5.A)3 as of Mar 29, 2024
Jan 31, 20132 then
Private funds: no history
RAUM +7.4% over the last fiscal year-0.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 29, 2024; every figure names its basis
- RAUM per advisor
- $47.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $707,275derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- buys or sells securities as principal to or from clients (8.A.2)
- 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
- High-net-worth individuals$35.4M75%
- Individuals$10.7M23%
- Charitable organizations$1.3M2.7%
- Individual clients
- 14reported
- HNW clients
- 16reported
- Pension plan clients
- 0reported
- Charitable clients
- 4reported
- Accounts
- 67reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
Left, latest
- G••••••• M• B••••••••• to C••••• I••••••••• A••••••• L••Dec 18, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- G••••••• M• B••••••••• from C•••••• G•••• • C• I••May 24, 2021 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• G•••••••• M• · President/Vice President/Treasurer/Chief Compliance Officercontrolsince 03/1992 · 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 Placid, Ny · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 69 to 67Mar 15, 2023 to Mar 29, 2024
- Charity clients · 3 to 4Mar 15, 2023 to Mar 29, 2024
- Discretionary RAUM · $41.2M to $44.2MMar 15, 2023 to Mar 29, 2024
- HNW RAUM · $33.2M to $35.4MMar 15, 2023 to Mar 29, 2024
- Individual RAUM · $7.9M to $10.7MMar 15, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $2.9M to $3.2MMar 15, 2023 to Mar 29, 2024
- RAUM · $44.1M to $47.4MMar 15, 2023 to Mar 29, 2024
- Accounts · 76 to 69Feb 20, 2022 to Mar 15, 2023
- Charity clients · unset to 3.0Feb 20, 2022 to Mar 15, 2023
- Corporate clients · unset to 0.0Feb 20, 2022 to Mar 15, 2023
- HNW clients · 18 to 16Feb 20, 2022 to Mar 15, 2023
- Individual clients · 13 to 14Feb 20, 2022 to Mar 15, 2023
- Pension plan clients · unset to 0.0Feb 20, 2022 to Mar 15, 2023
- Pooled vehicle clients · unset to 0.0Feb 20, 2022 to Mar 15, 2023
- Employees · 4 to 3Feb 20, 2022 to Mar 15, 2023
- Insurance-licensed employees · 0 to 1Feb 20, 2022 to Mar 15, 2023
- Discretionary RAUM · $48.8M to $41.2MFeb 20, 2022 to Mar 15, 2023
- HNW RAUM · $42.6M to $33.2MFeb 20, 2022 to Mar 15, 2023
- Individual RAUM · $8.6M to $7.9MFeb 20, 2022 to Mar 15, 2023
- Non-discretionary RAUM · $3.4M to $2.9MFeb 20, 2022 to Mar 15, 2023
- Pension RAUM · unset to 0.0Feb 20, 2022 to Mar 15, 2023
- Pooled vehicle RAUM · unset to 0.0Feb 20, 2022 to Mar 15, 2023
- RAUM · $52.1M to $44.1MFeb 20, 2022 to Mar 15, 2023
- Accounts · 84 to 76Mar 19, 2021 to Feb 20, 2022
- HNW clients · 21 to 18Mar 19, 2021 to Feb 20, 2022
- Individual clients · 12 to 13Mar 19, 2021 to Feb 20, 2022
- Discretionary RAUM · $45.7M to $48.8MMar 19, 2021 to Feb 20, 2022
- HNW RAUM · $40.7M to $42.6MMar 19, 2021 to Feb 20, 2022
- Individual RAUM · $7.2M to $8.6MMar 19, 2021 to Feb 20, 2022
- Non-discretionary RAUM · $3.0M to $3.4MMar 19, 2021 to Feb 20, 2022
- RAUM · $48.7M to $52.1MMar 19, 2021 to Feb 20, 2022
- Accounts · 83 to 84Nov 28, 2020 to Mar 19, 2021
- HNW clients · 16 to 21Nov 28, 2020 to Mar 19, 2021
- Individual clients · 16 to 12Nov 28, 2020 to Mar 19, 2021
- Employees · 1 to 4Nov 28, 2020 to Mar 19, 2021
- Discretionary RAUM · $46.3M to $45.7MNov 28, 2020 to Mar 19, 2021
- HNW RAUM · $35.0M to $40.7MNov 28, 2020 to Mar 19, 2021
- Individual RAUM · $10.1M to $7.2MNov 28, 2020 to Mar 19, 2021
- Non-discretionary RAUM · $0 to $3.0MNov 28, 2020 to Mar 19, 2021
- RAUM · $46.3M to $48.7MNov 28, 2020 to Mar 19, 2021
Signals
1 dated events
- G••••••• M• B••••••••• left C••••• • B••••••••• I•• for C••••• I••••••••• A••••••• L•• (registered 2024-09-09)Dec 18, 2024 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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