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•••••••• A••••••••• I•••
Latest filing Mar 21, 2026
First filing on the tape Aug 29, 2013 · 32 filings
SEC status approved since Sep 20, 2013
RAUM
$183M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$182M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$60.8M
derived; firm RAUM over IAPD count
Employees
3
3 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$183M as of Mar 21, 2026
Feb 3, 2014$39.5M then
HNW client RAUM$106M as of Mar 21, 2026
Feb 26, 2018$13.2M then
State-registered IARs (5.B.3)3 as of Mar 21, 2026
Feb 3, 20140 then
Employees (5.A)3 as of Mar 21, 2026
Feb 3, 20142 then
Private funds: no history
RAUM +14% over the last fiscal year+22% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 21, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $60.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 132derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $260,001derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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
- +89%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$106M58%
- Individuals$75.8M42%
- Charitable organizations$237,8360.1%
- Individual clients
- 350reported
- HNW clients
- 45reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 702reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••••••• L••••• G•••••• | Glenmont, Ny | Jun 21, 2021 | 30 y | 1 |
| R••• A•••• M•••••• | Glenmont, Ny | Aug 7, 2023 | 23 y | 4 |
| T•••••• L•• S•••••••• | Burnt Hills, Ny | May 13, 2025 | 11 y | 2 |
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
- T•••••• L•• S•••••••• from V••••••• A•••• M••••••••• L••May 13, 2025 · Other
- R••• A•••• M•••••• from L•• F•••••••• L••Aug 7, 2023 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• K•••••••• L••••• · President And Chief Compliance Officercontrolsince 01/1996 · 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 |
|---|---|---|---|---|---|
| Glenmont, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- client count surgeChange between filings · filing Mar 21, 2026individual and HNW clients (Item 5.D) moved from 209.0 to 395.0 (+89.0%) between the annual amendments of 2025-02-17 and 2026-03-21; the peer median change was +3.0% (3309 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 618 to 702Nov 3, 2025 to Mar 21, 2026
- Advisory employees · 2 to 3Nov 3, 2025 to Mar 21, 2026
- HNW clients · 36 to 45Nov 3, 2025 to Mar 21, 2026
- Individual clients · 173 to 350Nov 3, 2025 to Mar 21, 2026
- Assets in custody · unset to 165912495.0Nov 3, 2025 to Mar 21, 2026
- Discretionary RAUM · $160M to $183MNov 3, 2025 to Mar 21, 2026
- HNW RAUM · $89.1M to $106MNov 3, 2025 to Mar 21, 2026
- Individual RAUM · $70.3M to $75.8MNov 3, 2025 to Mar 21, 2026
- RAUM · $160M to $183MNov 3, 2025 to Mar 21, 2026
- Accounts · 579 to 618May 10, 2024 to Feb 17, 2025
- HNW clients · 11 to 36May 10, 2024 to Feb 17, 2025
- Individual clients · 591 to 173May 10, 2024 to Feb 17, 2025
- Assets in custody · 1383275.0 to unsetMay 10, 2024 to Feb 17, 2025
- Custody of client assets · true to falseMay 10, 2024 to Feb 17, 2025
- Employees · 4 to 3May 10, 2024 to Feb 17, 2025
- Financial planning clients · 26-50 to 11-25May 10, 2024 to Feb 17, 2025
- State-registered IARs · 2 to 3May 10, 2024 to Feb 17, 2025
- Discretionary RAUM · $137M to $160MMay 10, 2024 to Feb 17, 2025
- HNW RAUM · $43.9M to $89.1MMay 10, 2024 to Feb 17, 2025
- Individual RAUM · $93.4M to $70.3MMay 10, 2024 to Feb 17, 2025
- RAUM · $137M to $160MMay 10, 2024 to Feb 17, 2025
- Accounts · 617 to 579Oct 10, 2023 to Mar 8, 2024
- HNW clients · 15 to 11Oct 10, 2023 to Mar 8, 2024
- Individual clients · 247 to 591Oct 10, 2023 to Mar 8, 2024
- Assets in custody · unset to 1383275.0Oct 10, 2023 to Mar 8, 2024
- Custody of client assets · false to trueOct 10, 2023 to Mar 8, 2024
- Financial planning clients · 11-25 to 26-50Oct 10, 2023 to Mar 8, 2024
- Discretionary RAUM · $101M to $137MOct 10, 2023 to Mar 8, 2024
- HNW RAUM · $21.5M to $43.9MOct 10, 2023 to Mar 8, 2024
- Individual RAUM · $79.6M to $93.4MOct 10, 2023 to Mar 8, 2024
- RAUM · $101M to $137MOct 10, 2023 to Mar 8, 2024
- Accounts · 559 to 617Nov 22, 2022 to Jan 23, 2023
- HNW clients · 22 to 15Nov 22, 2022 to Jan 23, 2023
- Individual clients · 316 to 247Nov 22, 2022 to Jan 23, 2023
- Employees · 2 to 4Nov 22, 2022 to Jan 23, 2023
- Discretionary RAUM · $102M to $101MNov 22, 2022 to Jan 23, 2023
- HNW RAUM · $33.7M to $21.5MNov 22, 2022 to Jan 23, 2023
- Individual RAUM · $67.8M to $79.6MNov 22, 2022 to Jan 23, 2023
- RAUM · $102M to $101MNov 22, 2022 to Jan 23, 2023
- Accounts · 445 to 559Nov 30, 2021 to Jan 24, 2022
Signals
1 dated events
- G•••••• F•••••••• A••••••••• I••• filed its initial SEC registration (Form ADV)Aug 29, 2013 · 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
- 518-767-2574reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/godfrey-financial-associates-inc.reportedpublic record, Form ADV, Sep 18, 2026
- Website
- G••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 518-767-2574reportedpublic record, Form ADV, Mar 21, 2026
- Team page
- godfreyfinancial.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $60.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026