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•••••• A•••• M••••••••• G••••• I•••
Latest filing Jan 16, 2026
First filing on the tape Mar 15, 2016 · 18 filings
SEC status approved since Sep 19, 2016
RAUM
$86.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$86.6M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$86.6M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$86.6M as of Jan 16, 2026
Mar 3, 2017$57.5M then
HNW client RAUM$80.2M as of Jan 16, 2026
Jan 31, 2018$30.6M then
State-registered IARs (5.B.3)1 as of Jan 16, 2026
Mar 3, 20171 then
Employees (5.A)2 as of Jan 16, 2026
Mar 3, 20172 then
Private funds: no history
RAUM +19% over the last fiscal year+19% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $86.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 136derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $890,991derivedHNW RAUM over HNW clients
- Average account
- $441,727derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.4%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$80.2M93%
- Individuals$6.4M7.4%
- Individual clients
- 46reported
- HNW clients
- 90reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 196reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- T•••••••• S••••••••• B••••• · President/Ccocontrolsince 03/1999 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
What changed
consecutive filings, newest first
- Accounts · 187 to 196Dec 18, 2025 to Jan 16, 2026
- Financial planning clients · 11-25 to 0Dec 18, 2025 to Jan 16, 2026
- Discretionary RAUM · $88.6M to $86.6MDec 18, 2025 to Jan 16, 2026
- HNW RAUM · $82.0M to $80.2MDec 18, 2025 to Jan 16, 2026
- Individual RAUM · $6.7M to $6.4MDec 18, 2025 to Jan 16, 2026
- RAUM · $88.6M to $86.6MDec 18, 2025 to Jan 16, 2026
- Accounts · 198 to 187Jan 16, 2025 to Dec 18, 2025
- HNW clients · 103 to 90Jan 16, 2025 to Dec 18, 2025
- Individual clients · 35 to 46Jan 16, 2025 to Dec 18, 2025
- Discretionary RAUM · $72.8M to $88.6MJan 16, 2025 to Dec 18, 2025
- HNW RAUM · $68.3M to $82.0MJan 16, 2025 to Dec 18, 2025
- Individual RAUM · $4.5M to $6.7MJan 16, 2025 to Dec 18, 2025
- RAUM · $72.8M to $88.6MJan 16, 2025 to Dec 18, 2025
- Accounts · 196 to 198Oct 31, 2024 to Jan 16, 2025
- HNW clients · 101 to 103Oct 31, 2024 to Jan 16, 2025
- Individual clients · 36 to 35Oct 31, 2024 to Jan 16, 2025
- Financial planning clients · 0 to 11-25Oct 31, 2024 to Jan 16, 2025
- HQ city · unset to Oct 31, 2024 to Jan 16, 2025
- HQ state · unset to Oct 31, 2024 to Jan 16, 2025
- Discretionary RAUM · $76.2M to $72.8MOct 31, 2024 to Jan 16, 2025
- HNW RAUM · $71.7M to $68.3MOct 31, 2024 to Jan 16, 2025
- Individual RAUM · $4.5M to $4.5MOct 31, 2024 to Jan 16, 2025
- RAUM · $76.2M to $72.8MOct 31, 2024 to Jan 16, 2025
- Accounts · 185 to 196Jul 2, 2024 to Oct 31, 2024
- HNW clients · 95 to 101Jul 2, 2024 to Oct 31, 2024
- Discretionary RAUM · $69.4M to $76.2MJul 2, 2024 to Oct 31, 2024
- HNW RAUM · $65.1M to $71.7MJul 2, 2024 to Oct 31, 2024
- Individual RAUM · $4.2M to $4.5MJul 2, 2024 to Oct 31, 2024
- RAUM · $69.4M to $76.2MJul 2, 2024 to Oct 31, 2024
- Accounts · 176 to 185Feb 20, 2024 to Jul 2, 2024
- HNW clients · 90 to 95Feb 20, 2024 to Jul 2, 2024
- Discretionary RAUM · $64.9M to $69.4MFeb 20, 2024 to Jul 2, 2024
- HNW RAUM · $60.7M to $65.1MFeb 20, 2024 to Jul 2, 2024
- Individual RAUM · $4.2M to $4.2MFeb 20, 2024 to Jul 2, 2024
- RAUM · $64.9M to $69.4MFeb 20, 2024 to Jul 2, 2024
- Accounts · 136 to 176Feb 14, 2023 to Feb 20, 2024
- HNW clients · 71 to 90Feb 14, 2023 to Feb 20, 2024
- Individual clients · 33 to 36Feb 14, 2023 to Feb 20, 2024
- Discretionary RAUM · $18.0M to $64.9MFeb 14, 2023 to Feb 20, 2024
- HNW RAUM · $48.3M to $60.7MFeb 14, 2023 to Feb 20, 2024
Signals
1 dated events
- G•••••• A•••• M••••••••• G••••• I••• filed its initial SEC registration (Form ADV)Mar 15, 2016 · 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
- 212-856-9000reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-856-9464reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- G••••••ASSETMGMT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-856-9000reportedpublic record, Form ADV, Jan 16, 2026
- Contact form
- g•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $86.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026