DFX Intelligence
RIA Intelligence
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SEC-registered adviser
G•••••• C•••••• G••••
Legal name G•••••• C•••••• G••••• I•••
Latest filing Apr 7, 2026
First filing on the tape Mar 23, 2012 · 16 filings
SEC status approved since Apr 19, 2021
RAUM
$158M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$155M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$158M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$158M as of Apr 7, 2026
Mar 23, 2012$42.1M then
HNW client RAUM$103M as of Apr 7, 2026
Feb 2, 2022$95.6M then
State-registered IARs (5.B.3)1 as of Apr 7, 2026
Mar 23, 20120 then
Employees (5.A)3 as of Apr 7, 2026
Feb 2, 20223 then
Private funds: no history
RAUM +13% over the last fiscal year+11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 7, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $158MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 139derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $473,489derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- High-net-worth individuals$103M65%
- Individuals$51.9M33%
- Corporations and businesses$3.6M2.3%
- Individual clients
- 106reported
- HNW clients
- 33reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 334reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••• A••••••• G••••••Chartered Financial Analyst | North Yarmouth, Me | Apr 14, 2004 | 35 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
- G••••••• B•••••••• A•••••• · Treasurercontrolsince 10/1998 · owns 50% to 75%
- G••••••• C•••• A••••••• · Presidentcontrolsince 10/1998 · owns 50% to 75%
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
- Accounts · 329 to 334Sep 5, 2025 to Jan 27, 2026
- Corporate clients · 4 to 5Sep 5, 2025 to Jan 27, 2026
- Individual clients · 104 to 106Sep 5, 2025 to Jan 27, 2026
- Discretionary RAUM · $137M to $158MSep 5, 2025 to Jan 27, 2026
- HNW RAUM · $93.4M to $103MSep 5, 2025 to Jan 27, 2026
- Individual RAUM · $43.6M to $51.9MSep 5, 2025 to Jan 27, 2026
- Non-discretionary RAUM · $3.0M to $209,356Sep 5, 2025 to Jan 27, 2026
- RAUM · $140M to $158MSep 5, 2025 to Jan 27, 2026
- Accounts · 318 to 329Mar 5, 2024 to Jan 24, 2025
- HNW clients · 95 to 33Mar 5, 2024 to Jan 24, 2025
- Individual clients · 39 to 104Mar 5, 2024 to Jan 24, 2025
- Financial planning clients · unset to Mar 5, 2024 to Jan 24, 2025
- HQ city · unset to Mar 5, 2024 to Jan 24, 2025
- HQ state · unset to Mar 5, 2024 to Jan 24, 2025
- Discretionary RAUM · $132M to $137MMar 5, 2024 to Jan 24, 2025
- HNW RAUM · $36.5M to $93.4MMar 5, 2024 to Jan 24, 2025
- Individual RAUM · $93.2M to $43.6MMar 5, 2024 to Jan 24, 2025
- Non-discretionary RAUM · $869,169 to $3.0MMar 5, 2024 to Jan 24, 2025
- RAUM · $132M to $140MMar 5, 2024 to Jan 24, 2025
- Accounts · 314 to 318Jan 26, 2024 to Mar 5, 2024
- HNW clients · 34 to 95Jan 26, 2024 to Mar 5, 2024
- Individual clients · 96 to 39Jan 26, 2024 to Mar 5, 2024
- Discretionary RAUM · $116M to $132MJan 26, 2024 to Mar 5, 2024
- HNW RAUM · $83.1M to $36.5MJan 26, 2024 to Mar 5, 2024
- Individual RAUM · $31.4M to $93.2MJan 26, 2024 to Mar 5, 2024
- Non-discretionary RAUM · $712,987 to $869,169Jan 26, 2024 to Mar 5, 2024
- RAUM · $117M to $132MJan 26, 2024 to Mar 5, 2024
- Accounts · 299 to 314Feb 19, 2022 to Feb 10, 2023
- HNW clients · 31 to 34Feb 19, 2022 to Feb 10, 2023
- Individual clients · 88 to 96Feb 19, 2022 to Feb 10, 2023
- Discretionary RAUM · $138M to $116MFeb 19, 2022 to Feb 10, 2023
- HNW RAUM · $95.6M to $83.1MFeb 19, 2022 to Feb 10, 2023
- Individual RAUM · $39.2M to $31.4MFeb 19, 2022 to Feb 10, 2023
- Non-discretionary RAUM · $0 to $712,987Feb 19, 2022 to Feb 10, 2023
- RAUM · $138M to $117MFeb 19, 2022 to Feb 10, 2023
- Accounts · 296 to 299May 27, 2021 to Feb 2, 2022
- Corporate clients · 2 to 4May 27, 2021 to Feb 2, 2022
- HNW clients · 33 to 31May 27, 2021 to Feb 2, 2022
- Individual clients · 39 to 88May 27, 2021 to Feb 2, 2022
- Discretionary RAUM · $121M to $138MMay 27, 2021 to Feb 2, 2022
Signals
1 dated events
- G•••••• C•••••• G•••• filed its initial SEC registration (Form ADV)Mar 16, 2021 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 207-657-6900reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- G••••••CAPITALGROUP.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 207-657-6900reportedpublic record, Form ADV, Apr 7, 2026
- Contact form
- g•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $158Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026