DFX Intelligence

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W•••••••• A•••• M••••••••• L•••••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $209M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-01-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $209M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +17%
Private clients: 78%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-01-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 30 Jan 2026, RAUM $178M to $209M (+17.4%) on the Form ADV filed 30 Jan 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 125663 · SEC 801-64023 · 19 filingsShow

CRD 125663SEC 801-64023First filing on the tape Nov 21, 2011, latest Jan 30, 2026SEC status approved since Mar 3, 2005IAPD

RAUM

$209M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

78%

$164M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$209M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM +22% a year over three years · the tape starts Nov 21, 2011

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$209M as of Jan 30, 2026

Jan 19, 2012$62.6M then

HNW client RAUM$162M as of Jan 30, 2026

Jan 9, 2018$59.6M then

State-registered IARs (5.B.3)1 as of Jan 30, 2026

Jan 19, 20120 then

Employees (5.A)1 as of Jan 30, 2026

Jan 18, 20131 then

Private funds: no history

RAUM +17% over the last fiscal year+22% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Jan 30, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $209MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 51derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $6.8MderivedHNW RAUM over HNW clients
Average account: $7.5MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 22%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +17%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +104%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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

78% high-net-worth individuals, 22% charitable organizations, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

High-net-worth individuals$162M78%
Charitable organizations$45.0M22%
Individuals$1.7M0.8%

Individual clients: 27reported
HNW clients: 24reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 28reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: RAUM: 78% private clients, 0% pooled funds, 22% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
G•••••• S•••• W••••••••	Stamford, Ct	Jan 6, 2023	29 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

W••••••••• G••••••• S•••• · President/Chief Compliance Officer/Managing Membercontrol
since 03/1997 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

, 1 employee

What changed

consecutive filings, newest first

Accounts · 27 to 28
Jan 3, 2025 to Jan 30, 2026
Charity clients · 1.0 to unset
Jan 3, 2025 to Jan 30, 2026
Corporate clients · 1.0 to unset
Jan 3, 2025 to Jan 30, 2026
HNW clients · 20 to 24
Jan 3, 2025 to Jan 30, 2026
Individual clients · 5 to 27
Jan 3, 2025 to Jan 30, 2026

Full history · 80 changes

Discretionary RAUM · $178M to $209M
Jan 3, 2025 to Jan 30, 2026
HNW RAUM · $131M to $162M
Jan 3, 2025 to Jan 30, 2026
Individual RAUM · $3.0M to $1.7M
Jan 3, 2025 to Jan 30, 2026
RAUM · $178M to $209M
Jan 3, 2025 to Jan 30, 2026
Accounts · 29 to 27
Jan 3, 2024 to Jan 3, 2025
HNW clients · 14 to 20
Jan 3, 2024 to Jan 3, 2025
Individual clients · 12 to 5
Jan 3, 2024 to Jan 3, 2025
Financial planning clients · unset to
Jan 3, 2024 to Jan 3, 2025
HQ city · unset to
Jan 3, 2024 to Jan 3, 2025
HQ state · unset to
Jan 3, 2024 to Jan 3, 2025
Discretionary RAUM · $140M to $178M
Jan 3, 2024 to Jan 3, 2025
HNW RAUM · $99.1M to $131M
Jan 3, 2024 to Jan 3, 2025
Individual RAUM · $5.5M to $3.0M
Jan 3, 2024 to Jan 3, 2025
RAUM · $140M to $178M
Jan 3, 2024 to Jan 3, 2025
Accounts · 30 to 29
Jan 6, 2023 to Jan 3, 2024
Advisory activities · 1 to 2
Jan 6, 2023 to Jan 3, 2024
Corporate clients · unset to 1.0
Jan 6, 2023 to Jan 3, 2024
HNW clients · 13 to 14
Jan 6, 2023 to Jan 3, 2024
Individual clients · 16 to 12
Jan 6, 2023 to Jan 3, 2024
Discretionary RAUM · $114M to $140M
Jan 6, 2023 to Jan 3, 2024
HNW RAUM · $77.2M to $99.1M
Jan 6, 2023 to Jan 3, 2024
Individual RAUM · $8.0M to $5.5M
Jan 6, 2023 to Jan 3, 2024
RAUM · $114M to $140M
Jan 6, 2023 to Jan 3, 2024
Accounts · 33 to 30
Jan 11, 2022 to Jan 6, 2023
HNW clients · 15 to 13
Jan 11, 2022 to Jan 6, 2023
Individual clients · 17 to 16
Jan 11, 2022 to Jan 6, 2023
State-registered IARs · 0 to 1
Jan 11, 2022 to Jan 6, 2023
Discretionary RAUM · $140M to $114M
Jan 11, 2022 to Jan 6, 2023
HNW RAUM · $97.8M to $77.2M
Jan 11, 2022 to Jan 6, 2023
Individual RAUM · $9.5M to $8.0M
Jan 11, 2022 to Jan 6, 2023
RAUM · $140M to $114M
Jan 11, 2022 to Jan 6, 2023
Related adviser · true to false
Jan 11, 2022 to Jan 6, 2023
Accounts · 32 to 33
Jan 12, 2021 to Jan 11, 2022
HNW clients · 14 to 15
Jan 12, 2021 to Jan 11, 2022
Discretionary RAUM · $114M to $140M
Jan 12, 2021 to Jan 11, 2022
HNW RAUM · $78.0M to $97.8M
Jan 12, 2021 to Jan 11, 2022
Individual RAUM · $9.5M to $9.5M
Jan 12, 2021 to Jan 11, 2022
RAUM · $114M to $140M
Jan 12, 2021 to Jan 11, 2022
Accounts · 30 to 32
Jun 14, 2020 to Jan 12, 2021
HNW clients · 9 to 14
Jun 14, 2020 to Jan 12, 2021
Individual clients · 20 to 17
Jun 14, 2020 to Jan 12, 2021
Discretionary RAUM · $103M to $114M
Jun 14, 2020 to Jan 12, 2021
HNW RAUM · $68.3M to $78.0M
Jun 14, 2020 to Jan 12, 2021
Individual RAUM · $7.7M to $9.5M
Jun 14, 2020 to Jan 12, 2021
RAUM · $103M to $114M
Jun 14, 2020 to Jan 12, 2021
Related adviser · false to true
Jun 14, 2020 to Jan 12, 2021
Accounts · 74 to 30
Jan 31, 2019 to Jan 30, 2020
Individual clients · 22 to 20
Jan 31, 2019 to Jan 30, 2020
Other offices · 0 to 1
Jan 31, 2019 to Jan 30, 2020
Discretionary RAUM · $83.0M to $103M
Jan 31, 2019 to Jan 30, 2020
HNW RAUM · $52.7M to $68.3M
Jan 31, 2019 to Jan 30, 2020
Individual RAUM · $8.2M to $7.7M
Jan 31, 2019 to Jan 30, 2020
RAUM · $83.0M to $103M
Jan 31, 2019 to Jan 30, 2020
Accounts · 76 to 74
Jan 9, 2018 to Jan 31, 2019
HNW clients · 12 to 9
Jan 9, 2018 to Jan 31, 2019
Individual clients · 21 to 22
Jan 9, 2018 to Jan 31, 2019
Discretionary RAUM · $92.2M to $83.0M
Jan 9, 2018 to Jan 31, 2019
HNW RAUM · $59.6M to $52.7M
Jan 9, 2018 to Jan 31, 2019
Individual RAUM · $7.6M to $8.2M
Jan 9, 2018 to Jan 31, 2019
RAUM · $92.2M to $83.0M
Jan 9, 2018 to Jan 31, 2019
Accounts · 33 to 76
Jan 11, 2017 to Jan 9, 2018
Charity clients · unset to 1.0
Jan 11, 2017 to Jan 9, 2018
HNW clients · unset to 12.0
Jan 11, 2017 to Jan 9, 2018
Individual clients · unset to 21.0
Jan 11, 2017 to Jan 9, 2018
Financial planning clients · 0 to unset
Jan 11, 2017 to Jan 9, 2018
Other offices · unset to 0.0
Jan 11, 2017 to Jan 9, 2018
Discretionary RAUM · $78.0M to $92.2M
Jan 11, 2017 to Jan 9, 2018
HNW RAUM · unset to 59614000.0
Jan 11, 2017 to Jan 9, 2018
Individual RAUM · unset to 7632000.0
Jan 11, 2017 to Jan 9, 2018
RAUM · $78.0M to $92.2M
Jan 11, 2017 to Jan 9, 2018
Accounts · 36 to 33
Jan 6, 2016 to Jan 11, 2017
Discretionary RAUM · $70.2M to $78.0M
Jan 6, 2016 to Jan 11, 2017
RAUM · $70.2M to $78.0M
Jan 6, 2016 to Jan 11, 2017
Accounts · 41 to 36
Jan 30, 2015 to Jan 6, 2016
Discretionary RAUM · $76.3M to $70.2M
Jan 30, 2015 to Jan 6, 2016

Signals

No event on the tape.

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

Website: ••• Lockedreportedpublic record, Form ADV, Jan 30, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jan 30, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $209Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026