DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
L••••• M•••• G•••••••
Independent wealth manager, based in Garden City, New York, reporting $62.6M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $62.6M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +4.1%
- Private clients
- 71% of RAUM, $44.3M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- individual and HNW clients (Item 5.D) 150Peer median 0
- Contact points 3
Every filed figure, and the identifiersCRD 126274 · SEC 801-118442 · 11 filingsShowHide
CRD 126274SEC 801-118442First filing on the tape Mar 16, 2020, latest Jun 24, 2026SEC status approved since Apr 14, 2020IAPD
RAUM
$62.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
71%
$44.3M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$62.6M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$62.6M as of Jun 24, 2026
Mar 9, 2021$44.0M then
HNW client RAUM$12.1M as of Jun 24, 2026
Mar 9, 2021$13.9M then
State-registered IARs (5.B.3)1 as of Jun 24, 2026
Mar 9, 20211 then
Employees (5.A)1 as of Jun 24, 2026
Mar 9, 20211 then
Private funds: no history
RAUM +4.1% over the last fiscal year+12% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $62.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 150derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $417,134derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 29%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -39%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
- 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
- Individuals$32.2M51%
- Pension and profit-sharing plans$18.3M29%
- High-net-worth individuals$12.1M19%
- Individual clients
- 144reported
- HNW clients
- 6reported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 150reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.71 fund_share=0.0 institutional_share=0.29 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••••• M•••• G•••••••Chartered Financial Consultant | Garden City, Ny | Jan 13, 2026 | 34 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
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
- G•••••••• L•••••• M•••• · Investment Advisor Representative & Chief Compliance Officercontrolsince 01/2000 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- client count collapseChange between filings · filing Mar 19, 2026individual and HNW clients (Item 5.D) moved from 245.0 to 150.0 (-39.0%) between the annual amendments of 2025-03-18 and 2026-03-19; the peer median change was 0.0% (119 comparable advisers, 8.0th percentile of changes)peers: independent wealth managers, under $100M (119) · 8.5% percentile
- HNW share shiftChange between filings · filing Mar 19, 2026HNW share of RAUM moved from 37.0% to 19.0% between the annual amendments of 2025-03-18 and 2026-03-19peers: independent wealth managers, under $100M (708)
What changed
consecutive filings, newest first
- Accounts · 163 to 150Mar 18, 2025 to Mar 19, 2026
- HNW clients · 16 to 6Mar 18, 2025 to Mar 19, 2026
- Individual clients · 229 to 144Mar 18, 2025 to Mar 19, 2026
- Pension plan clients · 6 to 3Mar 18, 2025 to Mar 19, 2026
- Discretionary RAUM · $60.1M to $62.6MMar 18, 2025 to Mar 19, 2026
- HNW RAUM · $22.5M to $12.1MMar 18, 2025 to Mar 19, 2026
- Individual RAUM · $20.0M to $32.2MMar 18, 2025 to Mar 19, 2026
- Pension RAUM · $17.6M to $18.3MMar 18, 2025 to Mar 19, 2026
- RAUM · $60.1M to $62.6MMar 18, 2025 to Mar 19, 2026
- Accounts · 327 to 163Aug 28, 2024 to Mar 18, 2025
- HNW clients · 8 to 16Aug 28, 2024 to Mar 18, 2025
- Individual clients · 316 to 229Aug 28, 2024 to Mar 18, 2025
- Pension plan clients · 3 to 6Aug 28, 2024 to Mar 18, 2025
- Financial planning clients · 0 to 0Aug 28, 2024 to Mar 18, 2025
- Discretionary RAUM · $55.3M to $60.1MAug 28, 2024 to Mar 18, 2025
- HNW RAUM · $10.0M to $22.5MAug 28, 2024 to Mar 18, 2025
- Individual RAUM · $34.8M to $20.0MAug 28, 2024 to Mar 18, 2025
- Pension RAUM · $10.5M to $17.6MAug 28, 2024 to Mar 18, 2025
- RAUM · $55.3M to $60.1MAug 28, 2024 to Mar 18, 2025
- HQ city · MINEOLA to GARDEN CITYMar 12, 2024 to Aug 28, 2024
- Accounts · 131 to 327Mar 16, 2023 to Mar 12, 2024
- HNW clients · 7 to 8Mar 16, 2023 to Mar 12, 2024
- Individual clients · 105 to 316Mar 16, 2023 to Mar 12, 2024
- Pension plan clients · 18 to 3Mar 16, 2023 to Mar 12, 2024
- Discretionary RAUM · $44.0M to $55.3MMar 16, 2023 to Mar 12, 2024
- HNW RAUM · $10.3M to $10.0MMar 16, 2023 to Mar 12, 2024
- Individual RAUM · $12.5M to $34.8MMar 16, 2023 to Mar 12, 2024
- Pension RAUM · $21.2M to $10.5MMar 16, 2023 to Mar 12, 2024
- RAUM · $44.0M to $55.3MMar 16, 2023 to Mar 12, 2024
- Accounts · 106 to 131Mar 3, 2022 to Mar 16, 2023
- HNW clients · 6 to 7Mar 3, 2022 to Mar 16, 2023
- Individual clients · 96 to 105Mar 3, 2022 to Mar 16, 2023
- Pension plan clients · 4 to 18Mar 3, 2022 to Mar 16, 2023
- Discretionary RAUM · $51.6M to $44.0MMar 3, 2022 to Mar 16, 2023
- HNW RAUM · $10.7M to $10.3MMar 3, 2022 to Mar 16, 2023
- Individual RAUM · $30.1M to $12.5MMar 3, 2022 to Mar 16, 2023
- Pension RAUM · $10.7M to $21.2MMar 3, 2022 to Mar 16, 2023
- RAUM · $51.6M to $44.0MMar 3, 2022 to Mar 16, 2023
- Accounts · 277 to 106Mar 9, 2021 to Mar 3, 2022
- HNW clients · 8 to 6Mar 9, 2021 to Mar 3, 2022
Signals
1 dated events
- ••• LockedMar 16, 2020 · 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
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Jun 24, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jun 24, 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
- $62.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026