DFX Intelligence

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T••••• C•••••• M••••••••• I••

Wealth manager with institutional or fund businessSEC-registered· Greenwich, Connecticutwebsite

Wealth manager with institutional or fund business, based in Greenwich, Connecticut, reporting $69.4M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-07-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $69.4M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +56%
Private clients: 33%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-07-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+56.3%
RAUM, one year
RAUM $44.4M to $69.4M (+56.3%) on the Form ADV filed 17 Jul 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 109888 · SEC 801-28990 · 23 filingsShow

CRD 109888SEC 801-28990First filing on the tape Mar 29, 2012, latest Jul 17, 2026SEC status approved since Feb 10, 1987IAPD

RAUM

$69.4M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

33%

$23.2M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$69.4M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

23 filings and snapshots on the tape

RAUM +27% a year over three years · the tape starts Mar 29, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$69.4M as of Jul 17, 2026

Mar 29, 2012$32.5M then

HNW client RAUM$19.3M as of Jul 17, 2026

Apr 3, 2018$23.6M then

State-registered IARs (5.B.3)0 as of Jul 17, 2026

Mar 20, 20130 then

Employees (5.A)3 as of Jul 17, 2026

Mar 20, 20133 then

Private funds: no history

RAUM +56% over the last fiscal year+27% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Jul 17, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $69.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 16derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.8MderivedHNW RAUM over HNW clients
Average account: $3.3MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 3.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +56%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: -5.9%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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

53% investment companies, 28% high-net-worth individuals, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow

Investment companies$37.1M53%
High-net-worth individuals$19.3M28%
Pension and profit-sharing plans$9.1M13%
Individuals$3.9M5.7%

Individual clients: 9reported
HNW clients: 7reported
Pension plan clients: 1reported
Charitable clients: 0reported
Accounts: 21reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: RAUM: 33% private clients, 53% pooled funds, 13% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
G••••• Y••••• T•••••Chartered Financial Analyst	New York, Ny	Aug 3, 1995	39 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

T•••••• G•••••• Y••••• · President And Directorcontrol
since 12/1986 · owns 75% or more
B••••• B••••••• M•••••••• · Chief Compliance Officer
since 06/2015 · owns 10% to 25%

Who runs the funds

related persons named most often on the Form D filings of the firm's funds

No Form D related person is on record for this firm's funds.

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

HNW clients · 5 to 7
Sep 2, 2025 to Mar 31, 2026
Individual clients · 12 to 9
Sep 2, 2025 to Mar 31, 2026
Discretionary RAUM · $44.4M to $69.4M
Sep 2, 2025 to Mar 31, 2026
HNW RAUM · $11.1M to $19.3M
Sep 2, 2025 to Mar 31, 2026
Individual RAUM · $5.9M to $3.9M
Sep 2, 2025 to Mar 31, 2026

Full history · 80 changes

Pension RAUM · $6.1M to $9.1M
Sep 2, 2025 to Mar 31, 2026
RAUM · $44.4M to $69.4M
Sep 2, 2025 to Mar 31, 2026
Financial planning clients · 0 to 0
Mar 31, 2025 to Sep 2, 2025
HQ city · NEW YORK to GREENWICH
Mar 31, 2025 to Sep 2, 2025
HQ state · NY to CT
Mar 31, 2025 to Sep 2, 2025
Accounts · 22 to 21
Mar 28, 2024 to Mar 31, 2025
Individual clients · 11 to 12
Mar 28, 2024 to Mar 31, 2025
Discretionary RAUM · $41.2M to $44.4M
Mar 28, 2024 to Mar 31, 2025
HNW RAUM · $10.2M to $11.1M
Mar 28, 2024 to Mar 31, 2025
Individual RAUM · $5.3M to $5.9M
Mar 28, 2024 to Mar 31, 2025
Pension RAUM · $5.2M to $6.1M
Mar 28, 2024 to Mar 31, 2025
RAUM · $41.2M to $44.4M
Mar 28, 2024 to Mar 31, 2025
Accounts · 23 to 22
Mar 31, 2023 to Mar 28, 2024
HNW clients · 6 to 5
Mar 31, 2023 to Mar 28, 2024
Discretionary RAUM · $34.1M to $41.2M
Mar 31, 2023 to Mar 28, 2024
HNW RAUM · $9.8M to $10.2M
Mar 31, 2023 to Mar 28, 2024
Individual RAUM · $5.2M to $5.3M
Mar 31, 2023 to Mar 28, 2024
Pension RAUM · $4.2M to $5.2M
Mar 31, 2023 to Mar 28, 2024
RAUM · $34.1M to $41.2M
Mar 31, 2023 to Mar 28, 2024
Accounts · 25 to 23
Mar 30, 2022 to Mar 31, 2023
HNW clients · 12 to 6
Mar 30, 2022 to Mar 31, 2023
Individual clients · 5 to 11
Mar 30, 2022 to Mar 31, 2023
Discretionary RAUM · $51.9M to $34.1M
Mar 30, 2022 to Mar 31, 2023
HNW RAUM · $27.6M to $9.8M
Mar 30, 2022 to Mar 31, 2023
Individual RAUM · $1.8M to $5.2M
Mar 30, 2022 to Mar 31, 2023
Pension RAUM · $5.3M to $4.2M
Mar 30, 2022 to Mar 31, 2023
RAUM · $51.9M to $34.1M
Mar 30, 2022 to Mar 31, 2023
Accounts · 24 to 25
Dec 3, 2021 to Mar 30, 2022
HNW clients · 10 to 12
Dec 3, 2021 to Mar 30, 2022
Individual clients · 7 to 5
Dec 3, 2021 to Mar 30, 2022
Discretionary RAUM · $66.9M to $51.9M
Dec 3, 2021 to Mar 30, 2022
HNW RAUM · $35.5M to $27.6M
Dec 3, 2021 to Mar 30, 2022
Individual RAUM · $5.1M to $1.8M
Dec 3, 2021 to Mar 30, 2022
Pension RAUM · $6.3M to $5.3M
Dec 3, 2021 to Mar 30, 2022
RAUM · $66.9M to $51.9M
Dec 3, 2021 to Mar 30, 2022
Charity clients · 1 to 0
Nov 5, 2020 to Mar 31, 2021
HNW clients · 5 to 10
Nov 5, 2020 to Mar 31, 2021
Individual clients · 10 to 7
Nov 5, 2020 to Mar 31, 2021
Discretionary RAUM · $30.9M to $66.9M
Nov 5, 2020 to Mar 31, 2021
HNW RAUM · $12.0M to $35.5M
Nov 5, 2020 to Mar 31, 2021
Individual RAUM · $6.4M to $5.1M
Nov 5, 2020 to Mar 31, 2021
Pension RAUM · $3.1M to $6.3M
Nov 5, 2020 to Mar 31, 2021
RAUM · $30.9M to $66.9M
Nov 5, 2020 to Mar 31, 2021
Accounts · 27 to 24
Apr 1, 2019 to Mar 31, 2020
Individual clients · 12 to 10
Apr 1, 2019 to Mar 31, 2020
Discretionary RAUM · $36.5M to $30.9M
Apr 1, 2019 to Mar 31, 2020
HNW RAUM · $14.7M to $12.0M
Apr 1, 2019 to Mar 31, 2020
Individual RAUM · $8.2M to $6.4M
Apr 1, 2019 to Mar 31, 2020
Pension RAUM · $3.0M to $3.1M
Apr 1, 2019 to Mar 31, 2020
RAUM · $36.5M to $30.9M
Apr 1, 2019 to Mar 31, 2020
Accounts · 30 to 27
Dec 3, 2018 to Apr 1, 2019
Charity clients · 2 to 1
Dec 3, 2018 to Apr 1, 2019
HNW clients · 11 to 5
Dec 3, 2018 to Apr 1, 2019
Individual clients · 7 to 12
Dec 3, 2018 to Apr 1, 2019
Discretionary RAUM · $46.0M to $36.5M
Dec 3, 2018 to Apr 1, 2019
HNW RAUM · $23.6M to $14.7M
Dec 3, 2018 to Apr 1, 2019
Individual RAUM · $3.9M to $8.2M
Dec 3, 2018 to Apr 1, 2019
Pension RAUM · $4.4M to $3.0M
Dec 3, 2018 to Apr 1, 2019
RAUM · $46.0M to $36.5M
Dec 3, 2018 to Apr 1, 2019
Accounts · 29 to 30
Mar 31, 2017 to Apr 3, 2018
Charity clients · unset to 2.0
Mar 31, 2017 to Apr 3, 2018
Corporate clients · unset to 0.0
Mar 31, 2017 to Apr 3, 2018
HNW clients · unset to 11.0
Mar 31, 2017 to Apr 3, 2018
Individual clients · unset to 7.0
Mar 31, 2017 to Apr 3, 2018
Pension plan clients · unset to 1.0
Mar 31, 2017 to Apr 3, 2018
Pooled vehicle clients · unset to 0.0
Mar 31, 2017 to Apr 3, 2018
Other offices · unset to 0.0
Mar 31, 2017 to Apr 3, 2018
Discretionary RAUM · $48.8M to $46.0M
Mar 31, 2017 to Apr 3, 2018
HNW RAUM · unset to 23560000.0
Mar 31, 2017 to Apr 3, 2018
Individual RAUM · unset to 3910000.0
Mar 31, 2017 to Apr 3, 2018
Pension RAUM · unset to 4380000.0
Mar 31, 2017 to Apr 3, 2018
Pooled vehicle RAUM · unset to 0.0
Mar 31, 2017 to Apr 3, 2018
RAUM · $48.8M to $46.0M
Mar 31, 2017 to Apr 3, 2018
Accounts · 32 to 29
Mar 29, 2016 to Mar 31, 2017
Discretionary RAUM · $44.6M to $48.8M
Mar 29, 2016 to Mar 31, 2017

Signals

1 dated events

••• Locked
Sep 2, 2025 · ria hq relocated · fact

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

Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Jul 17, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jul 17, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
RAUM per advisor: $69.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026