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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Former SEC-registered adviser
C•••••• G••••• • S••••••• I•••
Latest filing Sep 25, 2024
First filing on the tape Apr 14, 2014 · 18 filings
RAUM
$33.3M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$33.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$33.3M as of Mar 27, 2024
Feb 17, 2015$29.7M then
HNW client RAUM: $8.6M
State-registered IARs (5.B.3)2 as of Mar 27, 2024
Feb 17, 20151 then
Employees (5.A)2 as of Mar 27, 2024
Feb 17, 20151 then
Private funds: no history
RAUM +6.7% over the last fiscal year-6.3% a year over threeIARs 2 to 2offices 0 to 2
Practice profile
derived from the filing of Sep 25, 2024; every figure names its basis
- RAUM per advisor
- $16.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $183,752derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$24.7M74%
- High-net-worth individuals$8.6M26%
- Individual clients
- 176reported
- HNW clients
- 5reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 181reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- C•••••• T•••• to C••••• I••••••••• A••••••• L••Oct 4, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• K••••••• L•••• · President & Ccocontrolsince 08/1988 · owns 75% or more
- T••••• C•••••• · Business Managersince 10/2021 · owns less than 5%
Related persons
Schedule D 7.A
- K•••••• L• H•••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Ballston Spa, Ny | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 2 to 1Mar 1, 2023 to Mar 27, 2024
- HNW clients · unset to 5.0Mar 1, 2023 to Mar 27, 2024
- Individual clients · 181 to 176Mar 1, 2023 to Mar 27, 2024
- Financial planning clients · 101-250 to unsetMar 1, 2023 to Mar 27, 2024
- Other offices · 0 to 2Mar 1, 2023 to Mar 27, 2024
- Discretionary RAUM · $31.2M to $0Mar 1, 2023 to Mar 27, 2024
- HNW RAUM · unset to 8574593.0Mar 1, 2023 to Mar 27, 2024
- Individual RAUM · $31.2M to $24.7MMar 1, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $0 to $33.3MMar 1, 2023 to Mar 27, 2024
- RAUM · $31.2M to $33.3MMar 1, 2023 to Mar 27, 2024
- Related insurance company · false to trueMar 1, 2023 to Mar 27, 2024
- Accounts · 190 to 181Feb 24, 2022 to Mar 1, 2023
- Individual clients · 190 to 181Feb 24, 2022 to Mar 1, 2023
- HQ city · SCOTIA to unsetFeb 24, 2022 to Mar 1, 2023
- HQ state · NY to unsetFeb 24, 2022 to Mar 1, 2023
- Discretionary RAUM · $41.9M to $31.2MFeb 24, 2022 to Mar 1, 2023
- Individual RAUM · $41.9M to $31.2MFeb 24, 2022 to Mar 1, 2023
- RAUM · $41.9M to $31.2MFeb 24, 2022 to Mar 1, 2023
- Accounts · 213 to 190Jan 11, 2021 to Feb 24, 2022
- Individual clients · 213 to 190Jan 11, 2021 to Feb 24, 2022
- Discretionary RAUM · $40.4M to $41.9MJan 11, 2021 to Feb 24, 2022
- Individual RAUM · $40.4M to $41.9MJan 11, 2021 to Feb 24, 2022
- RAUM · $40.4M to $41.9MJan 11, 2021 to Feb 24, 2022
- Accounts · 225 to 213Oct 21, 2020 to Jan 11, 2021
- Advisory employees · 1 to 2Oct 21, 2020 to Jan 11, 2021
- BD registered reps · 1 to 2Oct 21, 2020 to Jan 11, 2021
- Individual clients · 225 to 213Oct 21, 2020 to Jan 11, 2021
- Employees · 1 to 2Oct 21, 2020 to Jan 11, 2021
- Insurance-licensed employees · 0 to 2Oct 21, 2020 to Jan 11, 2021
- State-registered IARs · 1 to 2Oct 21, 2020 to Jan 11, 2021
- Discretionary RAUM · $37.7M to $40.4MOct 21, 2020 to Jan 11, 2021
- Individual RAUM · $37.7M to $40.4MOct 21, 2020 to Jan 11, 2021
- RAUM · $37.7M to $40.4MOct 21, 2020 to Jan 11, 2021
- Accounts · 223 to 225Feb 1, 2019 to Jan 8, 2020
- Individual clients · 223 to 225Feb 1, 2019 to Jan 8, 2020
- Discretionary RAUM · $0 to $37.7MFeb 1, 2019 to Jan 8, 2020
- Individual RAUM · $35.5M to $37.7MFeb 1, 2019 to Jan 8, 2020
- Non-discretionary RAUM · $35.5M to $0Feb 1, 2019 to Jan 8, 2020
- RAUM · $35.5M to $37.7MFeb 1, 2019 to Jan 8, 2020
- Accounts · 231 to 223Feb 8, 2018 to Feb 1, 2019
Signals
3 dated events
- C•••••• T•••• left C•••••• G••••• • S••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2024-03-21)Oct 4, 2024 · Advisor changed firm · fact
- C•••••• T•••• (Business Manager) appeared on Schedule A of C•••••• G••••• • S••••••• I•••Jan 11, 2021 · Control person joined · fact
- C•••••• G••••• • S••••••• I••• filed its initial SEC registration (Form ADV)Apr 14, 2014 · 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026