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•• F•••••••• G••••

Independent wealth managerMendham, New JerseyCRD 124193SEC 801-131018websiteIAPD
Legal name G•• F•••••••• G••••• I•••
Latest filing Jun 16, 2026
First filing on the tape Jul 30, 2024 · 7 filings
SEC status approved since Sep 3, 2024
RAUM
$145M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
88%
$128M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$48.4M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$145M as of Jun 16, 2026
Feb 28, 2025$105M then
HNW client RAUM$88.6M as of Jun 16, 2026
Feb 28, 2025$61.8M then
State-registered IARs (5.B.3)3 as of Jun 16, 2026
Feb 28, 20252 then
Employees (5.A)3 as of Jun 16, 2026
Feb 28, 20252 then
Private funds: no history
RAUM +38% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Jun 16, 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$48.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
43derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$313,392derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
5.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+38%derivedbetween the last two annual amendments
Advisor growth, one year
+50%derivedItem 5.B.3 between annual amendments
Client growth, one year
+27%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$90.9M, 112 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)
  • compensates non-employees for client referrals (8.G.2)
  • 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$88.6M61%
  • Individuals$38.9M27%
  • Corporations and businesses$9.4M6.5%
  • Pension and profit-sharing plans$8.2M5.6%
Individual clients
82reported
HNW clients
48reported
Pension plan clients
7reported
Charitable clients
n/areported
Accounts
463reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$90.9M for 112 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.88 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M•••••• W••• S•••••••Certified Financial PlannerMendham, NjOct 2, 200331 y1
M•••••• F•••••• G••••Certified Financial Planner, Chartered Financial ConsultantMendham, NjNov 5, 200330 y1
D•••• L•• S••••••Certified Financial PlannerMahwah, Nj Jul 16, 202533 y2
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G••••• M••••••• F•••••• · President/Chief Compliance Officer/Fiduciary Compliance Officercontrol
      since 01/2001 · owns 50% to 75%
    • S•••••••• M••••••• W••• · Secretarycontrol
      since 03/2001 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Mendham, Nj · principal300
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    ADV anomalies
    1 against comparable advisers; where to look, not conclusions
    • RAUM up 25 %Change between filings · filing Apr 1, 2026
      RAUM (Item 5.F) moved from $105,103,169 to $145,100,680 (+38.0%) between the annual amendments of 2025-02-28 and 2026-04-01; the peer median change was +15.0% (4550 comparable advisers, 92.0th percentile of changes)
      peers: independent wealth managers, $100M to $500M (4,550) · 92% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 420 to 463
      Feb 28, 2025 to Mar 24, 2026
    • Advisory employees · 2 to 3
      Feb 28, 2025 to Mar 24, 2026
    • Corporate clients · 1 to 3
      Feb 28, 2025 to Mar 24, 2026
    • HNW clients · 32 to 48
      Feb 28, 2025 to Mar 24, 2026
    • Individual clients · 70 to 82
      Feb 28, 2025 to Mar 24, 2026
    • Pension plan clients · 1 to 7
      Feb 28, 2025 to Mar 24, 2026
    • Assets in custody · unset to 90944656.0
      Feb 28, 2025 to Mar 24, 2026
    • Custody of client assets · false to true
      Feb 28, 2025 to Mar 24, 2026
    • Employees · 2 to 3
      Feb 28, 2025 to Mar 24, 2026
    • State-registered IARs · 2 to 3
      Feb 28, 2025 to Mar 24, 2026
    • Discretionary RAUM · $98.1M to $138M
      Feb 28, 2025 to Mar 24, 2026
    • HNW RAUM · $61.8M to $88.6M
      Feb 28, 2025 to Mar 24, 2026
    • Individual RAUM · $33.5M to $38.9M
      Feb 28, 2025 to Mar 24, 2026
    • Non-discretionary RAUM · $7.0M to $7.3M
      Feb 28, 2025 to Mar 24, 2026
    • Pension RAUM · $760,528 to $8.2M
      Feb 28, 2025 to Mar 24, 2026
    • RAUM · $105M to $145M
      Feb 28, 2025 to Mar 24, 2026
    • Accounts · 101 to 420
      Nov 13, 2024 to Feb 28, 2025
    • Corporate clients · unset to 1.0
      Nov 13, 2024 to Feb 28, 2025
    • HNW clients · 1 to 32
      Nov 13, 2024 to Feb 28, 2025
    • Individual clients · 100 to 70
      Nov 13, 2024 to Feb 28, 2025
    • Pension plan clients · 2 to 1
      Nov 13, 2024 to Feb 28, 2025
    • Financial planning clients · 1-10 to 1-10
      Nov 13, 2024 to Feb 28, 2025
    • Discretionary RAUM · $94.5M to $98.1M
      Nov 13, 2024 to Feb 28, 2025
    • HNW RAUM · $11.2M to $61.8M
      Nov 13, 2024 to Feb 28, 2025
    • Individual RAUM · $89.0M to $33.5M
      Nov 13, 2024 to Feb 28, 2025
    • Non-discretionary RAUM · $6.6M to $7.0M
      Nov 13, 2024 to Feb 28, 2025
    • Pension RAUM · $800,907 to $760,528
      Nov 13, 2024 to Feb 28, 2025
    • RAUM · $101M to $105M
      Nov 13, 2024 to Feb 28, 2025
    Signals
    1 dated events
    • G•• F•••••••• G•••• filed its initial SEC registration (Form ADV)
      Jul 30, 2024 · 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
    973-543-2133reportedpublished by the firm, firm site, Sep 16, 2026
    Firm profile
    linkedin.com/company/gci-financial-group-increportedpublic record, Form ADV, Sep 18, 2026
    Website
    gcifinancialgroup.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    973-543-2133reportedpublic record, Form ADV, Jun 16, 2026
    Team page
    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
    $48.4Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026