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•••••• K•••• L••
Legal name G••••• • K•••• L••
Latest filing Mar 17, 2026
First filing on the tape Dec 8, 2021 · 13 filings
SEC status approved since Jan 7, 2022
RAUM
$484M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$481M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$121M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$484M as of Mar 17, 2026
Jan 25, 2022$361M then
HNW client RAUM$359M as of Mar 17, 2026
Jan 25, 2022$269M then
State-registered IARs (5.B.3)4 as of Mar 17, 2026
Jan 25, 20224 then
Employees (5.A)4 as of Mar 17, 2026
Jan 25, 20224 then
Private funds: no history
RAUM +16% over the last fiscal year+17% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- 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
- RAUM per advisor
- $121MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 198derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $388,142derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $185M, 411 clientsreportedItem 9.A
- 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 a broker-dealer (6.A.1)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$359M74%
- Individuals$123M25%
- Charitable organizations$1.7M0.4%
- Pension and profit-sharing plans$1.2M0.2%
- Individual clients
- 478reported
- HNW clients
- 313reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,248reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $185M for 411 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••••• H••••••••• | Latham, Ny | Jun 25, 2021 | 10 y | 0 |
| T•••••• P•••••• G•••••Certified Financial Planner | Latham, Ny | Jun 25, 2021 | 35 y | 0 |
| E••••• J•••• K•••Certified Financial Planner | Latham, Ny | Jun 25, 2021 | 34 y | 0 |
| R•••••• A• F•••••• | Latham, Ny | Jan 27, 2026 | 39 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•••••• T••••••• P•••••• · Partnercontrolsince 07/1998 · owns 50% to 75%
- K•••• E•••••• J•••• · Chief Compliance Officer & Partnercontrolsince 07/1998 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Latham, Ny · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,144 to 1,248Mar 19, 2025 to Mar 17, 2026
- Advisory employees · 3 to 4Mar 19, 2025 to Mar 17, 2026
- HNW clients · 272 to 313Mar 19, 2025 to Mar 17, 2026
- Individual clients · 463 to 478Mar 19, 2025 to Mar 17, 2026
- Assets in custody · $187M to $185MMar 19, 2025 to Mar 17, 2026
- State-registered IARs · 3 to 4Mar 19, 2025 to Mar 17, 2026
- Discretionary RAUM · $418M to $484MMar 19, 2025 to Mar 17, 2026
- HNW RAUM · $297M to $359MMar 19, 2025 to Mar 17, 2026
- Individual RAUM · $118M to $123MMar 19, 2025 to Mar 17, 2026
- Pension RAUM · $1.0M to $1.2MMar 19, 2025 to Mar 17, 2026
- RAUM · $418M to $484MMar 19, 2025 to Mar 17, 2026
- Accounts · 1,045 to 1,144May 8, 2024 to Mar 19, 2025
- Charity clients · 1.0 to unsetMay 8, 2024 to Mar 19, 2025
- Corporate clients · 0.0 to unsetMay 8, 2024 to Mar 19, 2025
- HNW clients · 246 to 272May 8, 2024 to Mar 19, 2025
- Individual clients · 423 to 463May 8, 2024 to Mar 19, 2025
- Pension plan clients · 4.0 to unsetMay 8, 2024 to Mar 19, 2025
- Assets in custody · $166M to $187MMay 8, 2024 to Mar 19, 2025
- Financial planning clients · 1-10 to 1-10May 8, 2024 to Mar 19, 2025
- Discretionary RAUM · $366M to $418MMay 8, 2024 to Mar 19, 2025
- HNW RAUM · $252M to $297MMay 8, 2024 to Mar 19, 2025
- Individual RAUM · $110M to $118MMay 8, 2024 to Mar 19, 2025
- Pension RAUM · $2.5M to $1.0MMay 8, 2024 to Mar 19, 2025
- RAUM · $366M to $418MMay 8, 2024 to Mar 19, 2025
- Related broker-dealer · true to falseMar 6, 2024 to May 8, 2024
- Accounts · 971 to 1,045Oct 30, 2023 to Feb 5, 2024
- HNW clients · 212 to 246Oct 30, 2023 to Feb 5, 2024
- Individual clients · 413 to 423Oct 30, 2023 to Feb 5, 2024
- Pooled vehicle clients · 0.0 to unsetOct 30, 2023 to Feb 5, 2024
- Assets in custody · $97.3M to $166MOct 30, 2023 to Feb 5, 2024
- Discretionary RAUM · $301M to $366MOct 30, 2023 to Feb 5, 2024
- HNW RAUM · $195M to $252MOct 30, 2023 to Feb 5, 2024
- Individual RAUM · $102M to $110MOct 30, 2023 to Feb 5, 2024
- Pension RAUM · $2.0M to $2.5MOct 30, 2023 to Feb 5, 2024
- RAUM · $301M to $366MOct 30, 2023 to Feb 5, 2024
- Advisory activities · 2 to 3Mar 27, 2023 to Oct 30, 2023
- Accounts · 944 to 971Jan 5, 2023 to Mar 27, 2023
- Charity clients · 0 to 1Jan 5, 2023 to Mar 27, 2023
- HNW clients · 151 to 212Jan 5, 2023 to Mar 27, 2023
- Individual clients · 300 to 413Jan 5, 2023 to Mar 27, 2023
Signals
1 dated events
- G•••••• K•••• L•• filed its initial SEC registration (Form ADV)Dec 8, 2021 · 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 email
- a••••@g•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- k••••••@g•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- p•••@g•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 518-785-6564reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 518-785-6400reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 518-785-6465reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- G•••••K•••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 518-785-6400reportedpublic record, Form ADV, Mar 17, 2026
- Contact form
- g•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- g•••••••••.comreportedpublished 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
- $121Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026