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••• L•••• A•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 28, 2012 · 32 filings
SEC status approved since Mar 27, 2003
RAUM
$616M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$539M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$77.0M
derived; firm RAUM over IAPD count
Employees
12
4 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$616M as of Mar 30, 2026
Mar 28, 2012$69.5M then
HNW client RAUM$433M as of Mar 30, 2026
Feb 7, 2018$142M then
State-registered IARs (5.B.3)8 as of Mar 30, 2026
Mar 28, 20120 then
Employees (5.A)12 as of Mar 30, 2026
Mar 7, 20133 then
Private funds: no history
RAUM +14% over the last fiscal year+11% a year over threeIARs 8 to 8offices 1 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $77.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 100derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $391,138derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $113M, 181 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- 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$433M70%
- Individuals$107M17%
- Pension and profit-sharing plans$42.0M6.8%
- Banks and thrifts$16.9M2.7%
- Corporations and businesses$16.5M2.7%
- Charitable organizations$1.4M0.2%
- Individual clients
- 657reported
- HNW clients
- 142reported
- Pension plan clients
- 55reported
- Charitable clients
- n/areported
- Accounts
- 1,575reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $113M for 181 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• A• V••••• | G•••••••, Ct | Sep 19, 2005 | 21 y | 0 |
| B•••• A••• W••••• | G•••••••, Ct | Jan 18, 2013 | 28 y | 0 |
| C•••••• E••••• R••••• | G•••••••, Ct | Nov 26, 2019 | 10 y | 1 |
| A•••••• F••• M•••••••Certified Financial Planner | G•••••••, Ct | Aug 7, 2020 | 28 y | 5 |
| S•••• J••• A•••••••• | G•••••••, Ct | Jan 6, 2021 | 34 y | 2 |
| J••• R••••• B••••••••Personal Financial Specialist | G•••••••, Ct | Jun 4, 2021 | 43 y | 2 |
| M•••••• O••• S•••••••Certified Financial Planner | G•••••••, Ct | Dec 1, 2025 | 35 y | 5 |
| J•••• A• K•••Chartered Financial Analyst | G•••••••, Ct | Mar 25, 2026 | 28 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- C••••• F•••••• D•••• to D••••••May 6, 2019 · RIA to RIA
Joined, latest
- M•••••• O••• S••••••• from R•• I••••••••• A•••••••Dec 1, 2025 · RIA to RIA
- J••• R••••• B•••••••• from C••• W••••• M•••••••••Jun 4, 2021 · RIA to RIA
- S•••• J••• A•••••••• from C••• W••••• M•••••••••Jan 6, 2021 · RIA to RIA
- A•••••• F••• M••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 7, 2020 · Wirehouse to independent RIA
- C•••••• E••••• R••••• from D••••••• W••••• M•••••••••Nov 26, 2019 · RIA to RIA
- C••••• F•••••• D•••• from O•••• I••••••••• I•••Nov 17, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C••• W••••• M•••••••••Jan 14, 2021 · East Haven, Ct
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• K••••••• R••••• · President And Chief Executive Officercontrolsince 01/2020 · owns less than 5%
- V•••••• C••••••• A• · Chief Compliance Officercontrolsince 01/2006 · owns less than 5%
Entity owners
- T•• G••••••• S•••••• B••• · Ownerdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| G•••••••, Ct · principal | 8 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- East Haven, CT2 employees
- Branford, CT1 employees
What changed
consecutive filings, newest first
- Accounts · 1,479 to 1,575Nov 27, 2025 to Mar 30, 2026
- Advisory employees · 7 to 4Nov 27, 2025 to Mar 30, 2026
- Corporate clients · 29 to 33Nov 27, 2025 to Mar 30, 2026
- HNW clients · 122 to 142Nov 27, 2025 to Mar 30, 2026
- Individual clients · 635 to 657Nov 27, 2025 to Mar 30, 2026
- Pension plan clients · 43 to 55Nov 27, 2025 to Mar 30, 2026
- Assets in custody · $90.1M to $113MNov 27, 2025 to Mar 30, 2026
- Employees · 14 to 12Nov 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $540M to $616MNov 27, 2025 to Mar 30, 2026
- HNW RAUM · $365M to $433MNov 27, 2025 to Mar 30, 2026
- Individual RAUM · $98.1M to $107MNov 27, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $47,468 to $0Nov 27, 2025 to Mar 30, 2026
- Pension RAUM · $45.8M to $42.0MNov 27, 2025 to Mar 30, 2026
- RAUM · $540M to $616MNov 27, 2025 to Mar 30, 2026
- Business name · G•• W••••• M••••••••• L•• to G••• L•••• A•••••••• L••Mar 4, 2025 to Nov 27, 2025
- Financial planning clients · 0 to 0Mar 4, 2025 to Nov 27, 2025
- Legal name · G•• W••••• M••••••••• L•• to G••• L•••• A•••••••• L••Mar 4, 2025 to Nov 27, 2025
- Other offices · 1 to 0Mar 4, 2025 to Nov 27, 2025
- Accounts · 1,454 to 1,479Aug 21, 2024 to Mar 4, 2025
- Corporate clients · 28 to 29Aug 21, 2024 to Mar 4, 2025
- HNW clients · 108 to 122Aug 21, 2024 to Mar 4, 2025
- Individual clients · 660 to 635Aug 21, 2024 to Mar 4, 2025
- Pension plan clients · 42 to 43Aug 21, 2024 to Mar 4, 2025
- Assets in custody · $58.9M to $90.1MAug 21, 2024 to Mar 4, 2025
- Employees · 13 to 14Aug 21, 2024 to Mar 4, 2025
- Other offices · 2 to 1Aug 21, 2024 to Mar 4, 2025
- Discretionary RAUM · $475M to $540MAug 21, 2024 to Mar 4, 2025
- HNW RAUM · $305M to $365MAug 21, 2024 to Mar 4, 2025
- Individual RAUM · $92.5M to $98.1MAug 21, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $76,945 to $47,468Aug 21, 2024 to Mar 4, 2025
- Pension RAUM · $46.8M to $45.8MAug 21, 2024 to Mar 4, 2025
- RAUM · $475M to $540MAug 21, 2024 to Mar 4, 2025
- Advisory activities · 4 to 5Feb 29, 2024 to Aug 21, 2024
- Accounts · 1,342 to 1,454Mar 10, 2023 to Feb 29, 2024
- Corporate clients · 20 to 28Mar 10, 2023 to Feb 29, 2024
- HNW clients · 93 to 108Mar 10, 2023 to Feb 29, 2024
- Individual clients · 632 to 660Mar 10, 2023 to Feb 29, 2024
- Pension plan clients · 39 to 42Mar 10, 2023 to Feb 29, 2024
- Assets in custody · $51.4M to $58.9MMar 10, 2023 to Feb 29, 2024
- Discretionary RAUM · $452M to $475MMar 10, 2023 to Feb 29, 2024
Signals
6 dated events
- G••• L•••• A•••••••• L•• reported RAUM $530.0M, up 25% from $423.5M (2021-03-15 to 2022-03-15)Mar 15, 2022 · RAUM change · derived
- G••• L•••• A•••••••• L•• reported RAUM $423.5M, up 69% from $250.3M (2021-01-11 to 2021-03-15)Mar 15, 2021 · RAUM change · derived
- Robert Kenneth Russell (President And Chief Executive Officer) appeared on Schedule A of G••• L•••• A•••••••• L••Mar 5, 2020 · Control person joined · fact
- Lathrop Robert Carmody (Interim Chief Executive Officer) no longer on Schedule A of G••• L•••• A•••••••• L•• (listed 2020-01-20, absent 2020-03-05)Mar 5, 2020 · Control person left · inference
- Lee Venter Deborah Abildsoe (President And Ceo) no longer on Schedule A of G••• L•••• A•••••••• L•• (listed 2019-05-01, absent 2019-10-22)Oct 22, 2019 · Control person left · inference
- Lathrop Robert Carmody (Interim Chief Executive Officer) appeared on Schedule A of G••• L•••• A•••••••• L••Oct 22, 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
- Business phone
- 203-453-9075reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 203-204-6630reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/grey-ledge-advisors/mycompanyreportedpublic record, Form ADV, Sep 18, 2026
- Website
- greyledge.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-453-9075reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- greyledge.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- greyledge.com/who-we-are/grey-ledge-teamreportedpublished by the firm, firm site, Sep 15, 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
- $77.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026