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
G••••••••• • D•••• L••
Latest filing Mar 13, 2026
First filing on the tape Feb 10, 2012 · 29 filings
SEC status approved since Mar 1, 2001
RAUM
$2.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$2.2B individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$553M
derived; firm RAUM over IAPD count
Employees
16
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$2.2B as of Mar 13, 2026
Feb 10, 2012$730M then
HNW client RAUM$1.4B as of Mar 13, 2026
Mar 29, 2018$766M then
State-registered IARs (5.B.3)4 as of Mar 13, 2026
Feb 10, 20120 then
Employees (5.A)16 as of Mar 13, 2026
Mar 8, 20139 then
Private funds: no history
RAUM +9.1% over the last fiscal year+7.7% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 13, 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
- $553MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 186derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.9MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $469M, 179 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)
- 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)
- compensates persons for client referrals (8.G.1)
- 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$1.4B65%
- Individuals$711M32%
- Charitable organizations$38.9M1.8%
- Corporations and businesses$24.0M1.1%
- Individual clients
- 559reported
- HNW clients
- 183reported
- Pension plan clients
- 0reported
- Charitable clients
- 12reported
- Accounts
- 1,763reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $469M for 179 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••• L•• G•••••••••Chartered Financial Analyst | New York, Ny | Mar 16, 2012 | 34 y | 0 |
| T••••••• K•• C••Chartered Financial Analyst | New York, Ny | Sep 4, 2021 | 28 y | 0 |
| A••••• S•••••• N••••••Chartered Financial Analyst | New York, Ny | Sep 9, 2021 | 21 y | 0 |
| J•••••• T••••• S••••••• M••••••••Chartered Financial Analyst | New York, Ny | Sep 9, 2021 | 18 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••• T•••••••• K•• · Member, Chief Compliance Officercontrolsince 01/2005 · owns 25% to 50%
- G••••••••• C•••••• L•• · Membercontrolsince 01/2001 · owns 25% to 50%
- M••••••••• J••••••• T••••• · Membercontrolsince 01/2011 · owns 25% to 50%
- N••••••• A•••••• S•••••• · Membercontrolsince 01/2019 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| New York, Ny · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,766 to 1,763Sep 15, 2025 to Mar 13, 2026
- Advisory employees · 8 to 9Sep 15, 2025 to Mar 13, 2026
- Charity clients · 11 to 12Sep 15, 2025 to Mar 13, 2026
- Corporate clients · 17 to 15Sep 15, 2025 to Mar 13, 2026
- HNW clients · 175 to 183Sep 15, 2025 to Mar 13, 2026
- Individual clients · 558 to 559Sep 15, 2025 to Mar 13, 2026
- Assets in custody · $453M to $469MSep 15, 2025 to Mar 13, 2026
- Discretionary RAUM · $2.0B to $2.2BSep 15, 2025 to Mar 13, 2026
- HNW RAUM · $1.3B to $1.4BSep 15, 2025 to Mar 13, 2026
- Individual RAUM · $632M to $711MSep 15, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $6.7M to $7.9MSep 15, 2025 to Mar 13, 2026
- RAUM · $2.0B to $2.2BSep 15, 2025 to Mar 13, 2026
- Accounts · 1,763 to 1,766Feb 28, 2025 to Mar 24, 2025
- Charity clients · 13 to 11Feb 28, 2025 to Mar 24, 2025
- Corporate clients · 16 to 17Feb 28, 2025 to Mar 24, 2025
- HNW clients · 186 to 175Feb 28, 2025 to Mar 24, 2025
- Individual clients · 557 to 558Feb 28, 2025 to Mar 24, 2025
- Assets in custody · $445M to $453MFeb 28, 2025 to Mar 24, 2025
- Employees · 14 to 16Feb 28, 2025 to Mar 24, 2025
- Financial planning clients · unset to Feb 28, 2025 to Mar 24, 2025
- Discretionary RAUM · $1.9B to $2.0BFeb 28, 2025 to Mar 24, 2025
- HNW RAUM · $1.3B to $1.3BFeb 28, 2025 to Mar 24, 2025
- Individual RAUM · $567M to $632MFeb 28, 2025 to Mar 24, 2025
- Non-discretionary RAUM · $5.9M to $6.7MFeb 28, 2025 to Mar 24, 2025
- RAUM · $1.9B to $2.0BFeb 28, 2025 to Mar 24, 2025
- Accounts · 1,687 to 1,763Nov 1, 2023 to Mar 29, 2024
- Charity clients · 14 to 13Nov 1, 2023 to Mar 29, 2024
- Corporate clients · 14 to 16Nov 1, 2023 to Mar 29, 2024
- HNW clients · 191 to 186Nov 1, 2023 to Mar 29, 2024
- Individual clients · 524 to 557Nov 1, 2023 to Mar 29, 2024
- Assets in custody · $203M to $445MNov 1, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.8B to $1.9BNov 1, 2023 to Mar 29, 2024
- HNW RAUM · $1.2B to $1.3BNov 1, 2023 to Mar 29, 2024
- Individual RAUM · $521M to $567MNov 1, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $3.5M to $5.9MNov 1, 2023 to Mar 29, 2024
- RAUM · $1.8B to $1.9BNov 1, 2023 to Mar 29, 2024
- Advisory employees · 7 to 8Nov 1, 2023 to Nov 1, 2023
- State-registered IARs · 5 to 4Nov 1, 2023 to Nov 1, 2023
- Accounts · 1,565 to 1,687Mar 22, 2022 to Mar 24, 2023
- Advisory employees · 8 to 7Mar 22, 2022 to Mar 24, 2023
Signals
3 dated events
- Christine Bonnie Mckenna (Member) no longer on Schedule A of G••••••••• • D•••• L•• (listed 2023-03-24, absent 2023-11-01)Nov 1, 2023 · Control person left · inference
- Wallace Richard Dodd (Member) no longer on Schedule A of G••••••••• • D•••• L•• (listed 2019-03-08, absent 2019-12-20)Dec 20, 2019 · Control person left · inference
- Grace Andrea S•••••• (Member) appeared on Schedule A of G••••••••• • D•••• L••Jan 9, 2019 · Control person joined · 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
- Firm profile
- LINKEDIN.COM/COMPANY/grandfield-&-dodd-llcreportedpublic record, Form ADV, Sep 19, 2026
- Website
- G•••••••••-D•••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-477-9626reportedpublic record, Form ADV, Mar 13, 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
- $553Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026