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•••••• F•••••••• G••••• L••

Former SEC-registered adviserBedford, New HampshireCRD 116867SEC 801-77660IAPD
Latest filing Mar 31, 2023
First filing on the tape Feb 14, 2013 · 32 filings
RAUM
$5.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$5.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$5.8M as of Mar 31, 2023
Mar 10, 2014$130M then
HNW client RAUM$4.6M as of Mar 31, 2022
Mar 29, 2021$94.0M then
State-registered IARs (5.B.3)2 as of Mar 31, 2023
Mar 10, 20141 then
Employees (5.A)2 as of Mar 31, 2023
Mar 10, 20143 then
Private funds: no history
RAUM -46% over the last fiscal year-66% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2023; every figure names its basis
RAUM per advisor
$2.9MderivedRAUM 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
$129,253derivedRAUM 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
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-46%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, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publicationsreportedItem 5.G
Wrap fee program
$5.8MreportedItem 5.I
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
  • Individuals$5.8M100%
Individual clients
45reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
45reported
Financial planning clients
1-10reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, 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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• S••••••• A••••• · Chief Compliance Officercontrol
        since 01/2021 · owns less than 5%
      • B•••••• S••••••• A••••• · Membercontrol
        since 01/2021 · owns 75% or more of B••••• W••••• M••••••••• L••
      Entity owners
      • B••••• W••••• M••••••••• L•• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 41 to 45
        Mar 31, 2022 to Mar 31, 2023
      • HNW clients · 3.0 to unset
        Mar 31, 2022 to Mar 31, 2023
      • Individual clients · 33 to 45
        Mar 31, 2022 to Mar 31, 2023
      • Discretionary RAUM · $10.8M to $5.8M
        Mar 31, 2022 to Mar 31, 2023
      • HNW RAUM · 4645191.0 to unset
        Mar 31, 2022 to Mar 31, 2023
      • Individual RAUM · $6.1M to $5.8M
        Mar 31, 2022 to Mar 31, 2023
      • RAUM · $10.8M to $5.8M
        Mar 31, 2022 to Mar 31, 2023
      • Accounts · 474 to 41
        Mar 29, 2021 to Mar 31, 2022
      • Advisory employees · 1 to 2
        Mar 29, 2021 to Mar 31, 2022
      • BD registered reps · 1 to 2
        Mar 29, 2021 to Mar 31, 2022
      • HNW clients · 50 to 3
        Mar 29, 2021 to Mar 31, 2022
      • Individual clients · 134 to 33
        Mar 29, 2021 to Mar 31, 2022
      • Commission compensation · true to false
        Mar 29, 2021 to Mar 31, 2022
      • Insurance-licensed employees · 1 to 2
        Mar 29, 2021 to Mar 31, 2022
      • State-registered IARs · 1 to 2
        Mar 29, 2021 to Mar 31, 2022
      • Discretionary RAUM · $142M to $10.8M
        Mar 29, 2021 to Mar 31, 2022
      • HNW RAUM · $94.0M to $4.6M
        Mar 29, 2021 to Mar 31, 2022
      • Individual RAUM · $48.1M to $6.1M
        Mar 29, 2021 to Mar 31, 2022
      • RAUM · $142M to $10.8M
        Mar 29, 2021 to Mar 31, 2022
      • Accounts · 500 to 474
        Jan 20, 2021 to Mar 29, 2021
      • Advisory employees · 0 to 1
        Jan 20, 2021 to Mar 29, 2021
      • BD registered reps · 0 to 1
        Jan 20, 2021 to Mar 29, 2021
      • HNW clients · unset to 50.0
        Jan 20, 2021 to Mar 29, 2021
      • Individual clients · 250 to 134
        Jan 20, 2021 to Mar 29, 2021
      • Employees · 0 to 2
        Jan 20, 2021 to Mar 29, 2021
      • Insurance-licensed employees · 0 to 1
        Jan 20, 2021 to Mar 29, 2021
      • Financial planning clients · 251-500 to 1-10
        Jan 20, 2021 to Mar 29, 2021
      • State-registered IARs · 0 to 1
        Jan 20, 2021 to Mar 29, 2021
      • Discretionary RAUM · $150M to $142M
        Jan 20, 2021 to Mar 29, 2021
      • HNW RAUM · unset to 94032999.0
        Jan 20, 2021 to Mar 29, 2021
      • Individual RAUM · $150M to $48.1M
        Jan 20, 2021 to Mar 29, 2021
      • RAUM · $150M to $142M
        Jan 20, 2021 to Mar 29, 2021
      • Assets in custody · $9.7M to $0
        Jun 29, 2020 to Jan 19, 2021
      • Custody of client assets · true to false
        Jun 29, 2020 to Jan 19, 2021
      • Employees · 3 to 0
        Jun 29, 2020 to Jan 19, 2021
      • HQ city · MANCHESTER to BEDFORD
        Jun 29, 2020 to Jan 19, 2021
      • Related adviser · false to true
        Jun 29, 2020 to Jan 19, 2021
      • Advisory activities · 6 to 5
        Apr 12, 2019 to Jul 26, 2019
      • Assets in custody · unset to 9688788.0
        Apr 12, 2019 to Jul 26, 2019
      • Custody of client assets · false to true
        Apr 12, 2019 to Jul 26, 2019
      Signals
      5 dated events
      • G•••••• F•••••••• G••••• L•• reported RAUM $10.8M, down 92% from $142.2M (2021-03-29 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • Richard Brian Grodman (Member) no longer on Schedule A of G•••••• F•••••••• G••••• L•• (listed 2020-06-29, absent 2021-01-19)
        Jan 19, 2021 · Control person left · inference
      • Julia Allison Leduc (Chief Compliance Officer) no longer on Schedule A of G•••••• F•••••••• G••••• L•• (listed 2020-06-29, absent 2021-01-19)
        Jan 19, 2021 · Control person left · inference
      • Albert Stephen Brophy (Member) appeared on Schedule A of G•••••• F•••••••• G••••• L••
        Jan 19, 2021 · Control person joined · fact
      • G•••••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)
        Feb 14, 2013 · First SEC registration · fact
      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