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•••• C•••••• C•••••• M••••••••• I••
Latest filing Sep 30, 2025
First filing on the tape Feb 9, 2012 · 20 filings
SEC status approved since Aug 15, 1991
RAUM
$1.3B
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
16
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$1.3B as of Sep 30, 2025
Sep 6, 2012$113M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 30, 2025
Sep 6, 20120 then
Employees (5.A)16 as of Sep 30, 2025
Sep 18, 20137 then
Private funds: no history
RAUM +12% over the last fiscal year+6.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 30, 2025; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $315MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companies, selection of other advisersreportedItem 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
- Investment companies$1.3B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
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
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•••••• K•••••••• A•• · Directorcontrolsince 03/2022 · owns less than 5%
- D•••••••• A•••• · Directorcontrolsince 03/2022 · owns less than 5%
- D•••••• M••••••• P••• · Senior Finance Manager - Treasurercontrolsince 05/2021 · owns less than 5%
- G•••••• J•••••• R••••• · Chief Compliance Officercontrolsince 05/2024 · owns less than 5%
- P•••••• D••••••• H••••••• · Directorcontrolsince 09/1996 · owns less than 5%
- S••••••••• L••••• · Presidentcontrolsince 10/2013 · owns less than 5%
- W••••••••• W•••• · Directorcontrolsince 03/2006 · owns less than 5%
Entity owners
- P••••••• P••••••• · Shareholderdirect · owns 75% or more
- C••••••••• P••••• I••••••• R••••••• G••••• I••• · Partnerindirect · owns F of P••••••• P•••••••
- C••••••• P••••• I••••••• R••••••• G••••• I••• · Partnerindirect · owns F of P••••••• P•••••••
- C••••••• C•••••• L••••• I••• · Partnerindirect · owns F of P••••••• P•••••••
- F••• F•• T•• P••••• I•••••••• I••• · Partnerindirect · owns F of P••••••• P•••••••
- M••••••••• P••••• I••••••• R••••••• G••••• I••• · Partnerindirect · owns F of P••••••• P•••••••
- M••••••• P••••• I••••••• R••••••• G•••• C•••••• O••••••••• I••• · Partnerindirect · owns F of P••••••• P•••••••
- N•• J••••• P••••• I••••••• R••••••• G•••• C•••••• L••••• I••• · Partnerindirect · owns F of P••••••• P•••••••
- P••••• P••••• I••••••• L••••• I••• · Partnerindirect · owns F of P••••••• P•••••••
- W••••••••• S•••• P••••• I••••••• R••••••• G••••• I••• · Partnerindirect · owns F of P••••••• P•••••••
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
- Employees · 15 to 16Sep 30, 2024 to Sep 30, 2025
- Financial planning clients · unset to Sep 30, 2024 to Sep 30, 2025
- Discretionary RAUM · $1.3B to $1.3BSep 30, 2024 to Sep 30, 2025
- RAUM · $1.3B to $1.3BSep 30, 2024 to Sep 30, 2025
- BD registered reps · 2 to 3Sep 26, 2023 to Sep 30, 2024
- Employees · 13 to 15Sep 26, 2023 to Sep 30, 2024
- Discretionary RAUM · $1.1B to $1.3BSep 26, 2023 to Sep 30, 2024
- RAUM · $1.1B to $1.3BSep 26, 2023 to Sep 30, 2024
- Advisory employees · 4 to 6Sep 22, 2022 to Sep 26, 2023
- Employees · 11 to 13Sep 22, 2022 to Sep 26, 2023
- Discretionary RAUM · $998M to $1.1BSep 22, 2022 to Sep 26, 2023
- RAUM · $998M to $1.1BSep 22, 2022 to Sep 26, 2023
- Advisory employees · 3 to 4May 25, 2022 to Sep 22, 2022
- Employees · 13 to 11May 25, 2022 to Sep 22, 2022
- Discretionary RAUM · $1.1B to $998MMay 25, 2022 to Sep 22, 2022
- RAUM · $1.1B to $998MMay 25, 2022 to Sep 22, 2022
- Employees · 17 to 13Sep 21, 2020 to Sep 7, 2021
- Discretionary RAUM · $726M to $1.1BSep 21, 2020 to Sep 7, 2021
- RAUM · $726M to $1.1BSep 21, 2020 to Sep 7, 2021
- Employees · 12 to 17Sep 5, 2019 to Sep 21, 2020
- Discretionary RAUM · $640M to $726MSep 5, 2019 to Sep 21, 2020
- RAUM · $640M to $726MSep 5, 2019 to Sep 21, 2020
- Advisory employees · 4 to 3Apr 25, 2019 to Sep 5, 2019
- BD registered reps · 1 to 2Apr 25, 2019 to Sep 5, 2019
- Discretionary RAUM · $574M to $640MApr 25, 2019 to Sep 5, 2019
- RAUM · $574M to $640MApr 25, 2019 to Sep 5, 2019
- Advisory employees · 3 to 4Aug 29, 2017 to Sep 26, 2018
- Charity clients · unset to 0.0Aug 29, 2017 to Sep 26, 2018
- Corporate clients · unset to 0.0Aug 29, 2017 to Sep 26, 2018
- HNW clients · unset to 0.0Aug 29, 2017 to Sep 26, 2018
- Individual clients · unset to 0.0Aug 29, 2017 to Sep 26, 2018
- Pension plan clients · unset to 0.0Aug 29, 2017 to Sep 26, 2018
- Pooled vehicle clients · unset to 0.0Aug 29, 2017 to Sep 26, 2018
- Employees · 10 to 12Aug 29, 2017 to Sep 26, 2018
- Other offices · unset to 0.0Aug 29, 2017 to Sep 26, 2018
- Discretionary RAUM · $457M to $574MAug 29, 2017 to Sep 26, 2018
- RAUM · $457M to $574MAug 29, 2017 to Sep 26, 2018
- Employees · 12 to 10Sep 12, 2016 to Aug 29, 2017
- Accounts · 3 to 4Sep 12, 2016 to Aug 29, 2017
- BD registered reps · 2 to 1Sep 12, 2016 to Aug 29, 2017
Signals
11 dated events
- Beth Jessica Rubinstein (Chief Compliance Officer) no longer on Schedule A of G•••• C•••••• C•••••• M••••••••• I•• (listed 2023-09-26, absent 2024-09-30)Sep 30, 2024 · Control person left · inference
- Robert Joseph Guerin (Chief Compliance Officer) appeared on Schedule A of G•••• C•••••• C•••••• M••••••••• I••Sep 30, 2024 · Control person joined · fact
- Ann Kristina Curtis (Director) appeared on Schedule A of G•••• C•••••• C•••••• M••••••••• I••Apr 5, 2022 · Control person joined · fact
- A•••• D••••••• (Director) appeared on Schedule A of G•••• C•••••• C•••••• M••••••••• I••Apr 5, 2022 · Control person joined · fact
- Furlong Amy Puffer (Chief Compliance Officer) no longer on Schedule A of G•••• C•••••• C•••••• M••••••••• I•• (listed 2021-09-07, absent 2022-04-05)Apr 5, 2022 · Control person left · inference
- Beth Jessica Rubinstein (Chief Compliance Officer) appeared on Schedule A of G•••• C•••••• C•••••• M••••••••• I••Apr 5, 2022 · Control person joined · fact
- G•••• C•••••• C•••••• M••••••••• I•• reported RAUM $1.1B, up 45% from $726.1M (2020-09-21 to 2021-09-07)Sep 7, 2021 · RAUM change · derived
- Russell John Nolan (Vice President, Treasurer) no longer on Schedule A of G•••• C•••••• C•••••• M••••••••• I•• (listed 2020-09-21, absent 2021-09-07)Sep 7, 2021 · Control person left · inference
- Russell John Nolan (Vice President, Treasurer) appeared on Schedule A of G•••• C•••••• C•••••• M••••••••• I••Apr 25, 2019 · Control person joined · fact
- Ann Kristina Curtis (Vice President, Treasurer) no longer on Schedule A of G•••• C•••••• C•••••• M••••••••• I•• (listed 2018-09-26, absent 2019-04-25)Apr 25, 2019 · Control person left · inference
- G•••• C•••••• C•••••• M••••••••• I•• reported RAUM $574.2M, up 26% from $456.6M (2017-08-29 to 2018-09-26)Sep 26, 2018 · RAUM change · derived
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
- Website
- G••••C••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 617-482-0800reportedpublic record, Form ADV, Sep 30, 2025
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
- Asset manager (funds and pooled vehicles)deriveda 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