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•• A••••••• G•••• L••

Former SEC-registered adviserFort Washington, PennsylvaniaCRD 106153SEC 801-44977IAPD
Latest filing Sep 13, 2018
First filing on the tape Mar 12, 2012 · 13 filings
RAUM
$471M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$471M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$471M as of Feb 15, 2018
Mar 12, 2012$308M then
HNW client RAUM: $385M
State-registered IARs (5.B.3)1 as of Feb 15, 2018
Mar 12, 20120 then
Employees (5.A)2 as of Feb 15, 2018
Mar 18, 20132 then
Private funds: no history
RAUM +7.9% over the last fiscal year+4.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 13, 2018; every figure names its basis
RAUM per advisor
$471MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
250derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.8MderivedHNW RAUM over HNW clients
Average account
$567,952derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+7.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
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
  • 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$385M82%
  • Individuals$86.4M18%
Individual clients
110reported
HNW clients
140reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
830reported
Financial planning clients
101-250reported
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
Joined, latest
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
    • M••••• G••••• D•••• · President/Chief Compliance Officercontrol
      since 09/1993 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • HQ city · JENKINTOWN to FORT WASHINGTON
      Feb 15, 2018 to Jul 10, 2018
    • Accounts · 850 to 830
      Sep 18, 2017 to Feb 15, 2018
    • Advisory activities · 3 to 2
      Sep 18, 2017 to Feb 15, 2018
    • HNW clients · unset to 140.0
      Sep 18, 2017 to Feb 15, 2018
    • Individual clients · unset to 110.0
      Sep 18, 2017 to Feb 15, 2018
    • Financial planning clients · 251-500 to 101-250
      Sep 18, 2017 to Feb 15, 2018
    • Other offices · unset to 0.0
      Sep 18, 2017 to Feb 15, 2018
    • Discretionary RAUM · $437M to $471M
      Sep 18, 2017 to Feb 15, 2018
    • HNW RAUM · unset to 385000000.0
      Sep 18, 2017 to Feb 15, 2018
    • Individual RAUM · unset to 86400000.0
      Sep 18, 2017 to Feb 15, 2018
    • RAUM · $437M to $471M
      Sep 18, 2017 to Feb 15, 2018
    • Accounts · 870 to 850
      Mar 2, 2016 to Feb 28, 2017
    • Discretionary RAUM · $413M to $437M
      Mar 2, 2016 to Feb 28, 2017
    • RAUM · $413M to $437M
      Mar 2, 2016 to Feb 28, 2017
    • Accounts · 860 to 870
      Oct 28, 2015 to Mar 2, 2016
    • Financial planning clients · 101-250 to 251-500
      Oct 28, 2015 to Mar 2, 2016
    • Discretionary RAUM · $411M to $413M
      Oct 28, 2015 to Mar 2, 2016
    • RAUM · $411M to $413M
      Oct 28, 2015 to Mar 2, 2016
    • Accounts · 843 to 860
      Mar 17, 2014 to Mar 26, 2015
    • Discretionary RAUM · $410M to $411M
      Mar 17, 2014 to Mar 26, 2015
    • RAUM · $410M to $411M
      Mar 17, 2014 to Mar 26, 2015
    • Accounts · 830 to 843
      Oct 4, 2013 to Mar 17, 2014
    • Discretionary RAUM · $338M to $410M
      Oct 4, 2013 to Mar 17, 2014
    • RAUM · $338M to $410M
      Oct 4, 2013 to Mar 17, 2014
    • Advisory employees · unset to 1.0
      Mar 12, 2012 to Mar 18, 2013
    • Employees · unset to 2.0
      Mar 12, 2012 to Mar 18, 2013
    • State-registered IARs · 0 to 1
      Mar 12, 2012 to Mar 18, 2013
    • Discretionary RAUM · $308M to $338M
      Mar 12, 2012 to Mar 18, 2013
    • RAUM · $308M to $338M
      Mar 12, 2012 to Mar 18, 2013
    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.
    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