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.

Former SEC-registered adviser

Gary Goldberg Planning Services Inc

Former SEC-registered adviserSuffern, New YorkCRD 110784SEC 801-13595IAPD
Latest filing Oct 28, 2015
First filing on the tape Jan 18, 2012 · 11 filings
RAUM
$5.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$5.6M as of Oct 28, 2015
Oct 29, 2012$452M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Oct 28, 2015
Oct 29, 201214 then
Employees (5.A)1 as of Oct 28, 2015
Oct 29, 201225 then
Private funds: no history
RAUM -99% over the last fiscal year-77% a year over threeIARs 18 to 1
Practice profile
derived from the filing of Oct 28, 2015; every figure names its basis
RAUM per advisor
$5.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$82,518derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.2derived5 offices incl. principal (1.F.5)
RAUM growth, one year
-99%derivedbetween the last two annual amendments
Advisor growth, one year
-94%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
68reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
    • Mark Gary Goldberg · Ceo,Treasurer,Directorcontrol
      since 06/1973 · owns less than 5%
    • Mark Gary Goldberg · Ceo, Shareholdercontrol
      since 06/1973 · owns 75% or more of Gary Goldberg & Company, Inc.
    • Marisa Jannine Barbosa · Chief Operating Officer
      since 03/2009 · owns less than 5%
    • Anthony Thomas Cattani · Chief Compliance Officer
      since 03/2009 · owns less than 5%
    Entity owners
    • Gary Goldberg & Co., Inc. · Parent Company
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Danbury, CT
    • Fishkill, NY
    • Goshen, NY
    • Tarrytown, NY
    What changed
    consecutive filings, newest first
    • Related adviser · true to false
      Oct 27, 2015 to Oct 28, 2015
    • Related broker-dealer · true to false
      Oct 27, 2015 to Oct 28, 2015
    • BD registered reps · 20 to 1
      Aug 7, 2015 to Oct 27, 2015
    • Accounts · 4,871 to 68
      Aug 7, 2015 to Oct 27, 2015
    • Advisory employees · 16 to 1
      Aug 7, 2015 to Oct 27, 2015
    • Employees · 36 to 1
      Aug 7, 2015 to Oct 27, 2015
    • State-registered IARs · 18 to 1
      Aug 7, 2015 to Oct 27, 2015
    • Discretionary RAUM · $722M to $5.6M
      Aug 7, 2015 to Oct 27, 2015
    • Non-discretionary RAUM · $1.1M to $0
      Aug 7, 2015 to Oct 27, 2015
    • RAUM · $723M to $5.6M
      Aug 7, 2015 to Oct 27, 2015
    • Accounts · 4,483 to 4,871
      May 2, 2014 to Oct 29, 2014
    • Employees · 29 to 36
      May 2, 2014 to Oct 29, 2014
    • State-registered IARs · 15 to 18
      May 2, 2014 to Oct 29, 2014
    • Discretionary RAUM · $684M to $722M
      May 2, 2014 to Oct 29, 2014
    • Non-discretionary RAUM · $904,670 to $1.1M
      May 2, 2014 to Oct 29, 2014
    • RAUM · $685M to $723M
      May 2, 2014 to Oct 29, 2014
    • Accounts · 4,481 to 4,483
      Oct 28, 2013 to May 2, 2014
    • Discretionary RAUM · $588M to $684M
      Oct 28, 2013 to May 2, 2014
    • Non-discretionary RAUM · $1.7M to $904,670
      Oct 28, 2013 to May 2, 2014
    • RAUM · $589M to $685M
      Oct 28, 2013 to May 2, 2014
    • Accounts · 4,056 to 4,481
      Apr 26, 2013 to Oct 28, 2013
    • Advisory employees · 15 to 16
      Apr 26, 2013 to Oct 28, 2013
    • BD registered reps · 17 to 20
      Apr 26, 2013 to Oct 28, 2013
    • Employees · 25 to 29
      Apr 26, 2013 to Oct 28, 2013
    • State-registered IARs · 14 to 15
      Apr 26, 2013 to Oct 28, 2013
    • Discretionary RAUM · $532M to $588M
      Apr 26, 2013 to Oct 28, 2013
    • Non-discretionary RAUM · $777,217 to $1.7M
      Apr 26, 2013 to Oct 28, 2013
    • RAUM · $533M to $589M
      Apr 26, 2013 to Oct 28, 2013
    • Accounts · 3,710 to 4,056
      Nov 2, 2012 to Apr 26, 2013
    • Discretionary RAUM · $451M to $532M
      Nov 2, 2012 to Apr 26, 2013
    • Non-discretionary RAUM · $559,094 to $777,217
      Nov 2, 2012 to Apr 26, 2013
    • RAUM · $452M to $533M
      Nov 2, 2012 to Apr 26, 2013
    • Accounts · 3,409 to 3,710
      Apr 11, 2012 to Oct 29, 2012
    • Advisory employees · unset to 15.0
      Apr 11, 2012 to Oct 29, 2012
    • BD registered reps · unset to 17.0
      Apr 11, 2012 to Oct 29, 2012
    • Employees · unset to 25.0
      Apr 11, 2012 to Oct 29, 2012
    • State-registered IARs · unset to 14.0
      Apr 11, 2012 to Oct 29, 2012
    • Discretionary RAUM · $428M to $451M
      Apr 11, 2012 to Oct 29, 2012
    • Non-discretionary RAUM · $990,545 to $559,094
      Apr 11, 2012 to Oct 29, 2012
    • RAUM · $429M to $452M
      Apr 11, 2012 to Oct 29, 2012
    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