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••••• L••
Latest filing Aug 6, 2026
First filing on the tape Jan 10, 2012 · 39 filings
SEC status approved since Feb 10, 2012
RAUM
$617M
reported, Item 5.F
Discretionary
64%
of RAUM
Private clients
59%
$364M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$154M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$617M as of Aug 6, 2026
Jan 25, 2012$43.4M then
HNW client RAUM$245M as of Aug 6, 2026
Feb 20, 2018$42.0M then
State-registered IARs (5.B.3)4 as of Aug 6, 2026
Jan 25, 20120 then
Employees (5.A)6 as of Aug 6, 2026
Jan 28, 20133 then
Private funds: no history
RAUM +24% over the last fiscal year+19% a year over threeIARs 3 to 4offices 1 to 0
Practice profile
derived from the filing of Aug 6, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $154MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 162derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $478,680derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 64%derivedof RAUM
- Institutional
- 40%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.1%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-based, commissions, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publicationsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$246M40%
- High-net-worth individuals$245M40%
- Individuals$119M19%
- Corporations and businesses$7.1M1.1%
- Individual clients
- 448reported
- HNW clients
- 200reported
- Pension plan clients
- 146reported
- Charitable clients
- 0reported
- Accounts
- 1,288reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performance, commissionsreported
- Class basis
- private_client_share=0.59 fund_share=0.0 institutional_share=0.4 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• R• R••••Certified Financial Planner | Albany, Ny | Jun 19, 2014 | 22 y | 0 |
| D•••• M•••••• W•••••• | Albany, Ny | May 27, 2021 | 29 y | 0 |
| R••••• M•••••• M••••••Certified Financial Planner | Albany, Ny | Jun 1, 2021 | 11 y | 0 |
| B•••••• S•••• H••••••• | Albany, Ny | Jan 5, 2024 | 17 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
- J•••• J• K•••••• to P•• A••••••• S•••••••• L••Oct 6, 2021 · RIA to RIA
Joined, latest
- J•••• J• K•••••• from W•••• F•••• A•••••••Dec 8, 2020 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• R•••••• M•••••• · Partner And Chief Compliance Officercontrolsince 01/2022 · owns 10% to 25%
- R••••• M••••••• R• · Partnercontrolsince 09/2007 · owns 25% to 50%
- W••••••• D••••• M•••••• · Partnercontrolsince 01/2000 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Albany, Ny · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- East G••••••••, NY
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Jan 30, 2026accounts (Item 5.F.2.f) moved from 827.0 to 1,288.0 (+56.0%) between the annual amendments of 2025-04-17 and 2026-01-30; the peer median change was +6.0% (1256 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 95% percentile
What changed
consecutive filings, newest first
- Accounts · 827 to 1,288Dec 23, 2025 to Jan 30, 2026
- HNW clients · 274 to 200Dec 23, 2025 to Jan 30, 2026
- Individual clients · 395 to 448Dec 23, 2025 to Jan 30, 2026
- Pension plan clients · 143 to 146Dec 23, 2025 to Jan 30, 2026
- Financial planning clients · 101-250 to 11-25Dec 23, 2025 to Jan 30, 2026
- State-registered IARs · 3 to 4Dec 23, 2025 to Jan 30, 2026
- Discretionary RAUM · $297M to $393MDec 23, 2025 to Jan 30, 2026
- HNW RAUM · $193M to $245MDec 23, 2025 to Jan 30, 2026
- Individual RAUM · $80.3M to $119MDec 23, 2025 to Jan 30, 2026
- Non-discretionary RAUM · $201M to $223MDec 23, 2025 to Jan 30, 2026
- Pension RAUM · $218M to $246MDec 23, 2025 to Jan 30, 2026
- RAUM · $498M to $617MDec 23, 2025 to Jan 30, 2026
- Other offices · 1 to 0Apr 17, 2025 to Dec 23, 2025
- Financial planning clients · 101-250 to 101-250Feb 26, 2025 to Apr 17, 2025
- Accounts · 826 to 827Nov 21, 2024 to Feb 26, 2025
- BD registered reps · 3 to 0Nov 21, 2024 to Feb 26, 2025
- Corporate clients · unset to 6.0Nov 21, 2024 to Feb 26, 2025
- HNW clients · 124 to 274Nov 21, 2024 to Feb 26, 2025
- Individual clients · 341 to 395Nov 21, 2024 to Feb 26, 2025
- Pension plan clients · 93 to 143Nov 21, 2024 to Feb 26, 2025
- Employees · 5 to 6Nov 21, 2024 to Feb 26, 2025
- Discretionary RAUM · $236M to $297MNov 21, 2024 to Feb 26, 2025
- HNW RAUM · $133M to $193MNov 21, 2024 to Feb 26, 2025
- Individual RAUM · $91.5M to $80.3MNov 21, 2024 to Feb 26, 2025
- Non-discretionary RAUM · $174M to $201MNov 21, 2024 to Feb 26, 2025
- Pension RAUM · $181M to $218MNov 21, 2024 to Feb 26, 2025
- RAUM · $411M to $498MNov 21, 2024 to Feb 26, 2025
- Accounts · 733 to 826Nov 14, 2023 to Feb 2, 2024
- Advisory employees · 2 to 3Nov 14, 2023 to Feb 2, 2024
- BD registered reps · 2 to 3Nov 14, 2023 to Feb 2, 2024
- HNW clients · 99 to 124Nov 14, 2023 to Feb 2, 2024
- Individual clients · 323 to 341Nov 14, 2023 to Feb 2, 2024
- Pension plan clients · 83 to 93Nov 14, 2023 to Feb 2, 2024
- Discretionary RAUM · $188M to $236MNov 14, 2023 to Feb 2, 2024
- HNW RAUM · $96.4M to $133MNov 14, 2023 to Feb 2, 2024
- Individual RAUM · $82.0M to $91.5MNov 14, 2023 to Feb 2, 2024
- Non-discretionary RAUM · $176M to $174MNov 14, 2023 to Feb 2, 2024
- Pension RAUM · $181M to $181MNov 14, 2023 to Feb 2, 2024
- RAUM · $364M to $411MNov 14, 2023 to Feb 2, 2024
- Accounts · 654 to 733Jan 27, 2022 to Feb 4, 2023
Signals
1 dated events
- Michael Robert Mangold (Partner And Chief Compliance Officer) appeared on Schedule A of G•••••••• F•••••••• G••••• L••Jan 27, 2022 · 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
- 518-477-6686reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/1796062reportedpublic record, Form ADV, Sep 18, 2026
- Website
- moneysmartboard.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 518-477-6686reportedpublic record, Form ADV, Aug 6, 2026
- Contact form
- greenbushfinancial.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- greenbushfinancial.com/our-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
- $154Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026