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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
G•••••• F•••••••• C••••
Latest filing Oct 15, 2015
First filing on the tape Mar 30, 2012 · 12 filings
RAUM
$80.7M
reported, Item 5.F
Discretionary
75%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$80.7M as of Mar 31, 2015
Mar 30, 2012$94.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)11 as of Mar 31, 2015
Mar 30, 20120 then
Employees (5.A)22 as of Mar 31, 2015
Apr 1, 201330 then
Private funds: no history
RAUM +30% over the last fiscal year-5.2% a year over threeIARs 15 to 11
Practice profile
derived from the filing of Oct 15, 2015; every figure names its basis
- RAUM per advisor
- $7.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $221,822derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 75%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.8derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- -27%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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 364reported
- Financial planning clients
- 0reported
- 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
- B••••• J••• E•••••• S•••• to L•••••• I•••••••••Dec 31, 2015 · Other
- J••• H•••• C•••••• to T•••••• A••••••• L••Oct 27, 2015 · Other
- D•••• S•••••• K••••• to T•••••• A••••••• L••Oct 27, 2015 · Other
- K••• E•••• C••• to F••• P••••• A•••••••• L••Oct 19, 2015 · Other
- C••••••••• D••••• M••••• to L•••••••• T••••••• A•••• M••••••••• I••Oct 15, 2015 · Other
- G••••• P••• K•••••••• to A••••••••• F•••••••• S•••••••• L••Sep 23, 2015 · Other
- J••••• B•••••••• to A••••••••• F•••••••• S•••••••• L••Sep 23, 2015 · Other
- R•••• S•••••• B••• to S•••••••• A••••••• L••Jul 31, 2015 · Other
- S•••••• K••••• to U•• F•••••••• S••••••• I•••Dec 19, 2014 · Other
- M•••••• W••••• K••••• to C••••• A••••••• L••May 14, 2014 · Other
- P•••• D•••• D•••• to H••• S••••••••• •••• I•••Jun 13, 2013 · Other
- J••• F•••• D••••• to C••••• A••••••• L••Apr 18, 2013 · Other
- R••••• J• H•••• to O•••• I••••••••• I•••Jan 3, 2013 · Other
- J••••• B••• W•••••••• to A••••••••• F•••••••• S•••••••• L••Jul 12, 2012 · Other
- A••••• C•••••• W•••• to S••••• C•••••• G••••• I•••Jun 26, 2012 · Other
Joined, latest
- K••• E•••• C••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 3, 2013 · Other
- P•••• D•••• D•••• from C•••••••• G••••• M•••••• I•••Jun 14, 2012 · Other
- J••• F•••• D••••• from C•••• I••••••••• S••••••• C••••Jan 27, 2012 · Other
- R••••••• K•••••• F•••• from H••• S••••••••• •••• I•••Jul 20, 2011 · Other
- R••••• J• H•••• from C•••••• I••••••••• G•••• A•••••••• L••Jun 22, 2011 · Other
- M•••••• W••••• K••••• from C•••••••• G••••• M•••••• I•••May 27, 2011 · Other
- S•••••• P••• M•••••• R••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Apr 27, 2011 · Other
- J••••• A• M••••• from C•••• I••••••••• S••••••• C••••Jan 26, 2011 · Other
- A••••• C•••••• W•••• from M••••• S•••••• D• I•••Jun 7, 2007 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for T•••••• A••••••• L••Oct 27, 2015 · New York, Ny
- 2 left for A••••••••• F•••••••• S•••••••• L••Sep 23, 2015 · New York, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• B•••••• J••• E•••••• · Director, Coo, Cfo,controlsince 01/1999 · owns less than 5%
- W••••••••• R•••• · Director And Chief Compliance Officercontrolsince 08/2015 · owns less than 5%
- W••••••••• R•••• · Directorcontrolsince 11/2012 · owns 25% to 50% of G•••••• S•••••••••
Entity owners
- G•••••• S••••••••• I••••••••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Melville, NY
- Morristown, NJ
- New Hartford, NY
- Ny, NY
- Westhampton Beach, NY
What changed
consecutive filings, newest first
- Accounts · 265 to 364Dec 9, 2014 to Mar 31, 2015
- Advisory employees · 15 to 11Dec 9, 2014 to Mar 31, 2015
- BD registered reps · 15 to 11Dec 9, 2014 to Mar 31, 2015
- Employees · 26 to 22Dec 9, 2014 to Mar 31, 2015
- State-registered IARs · 15 to 11Dec 9, 2014 to Mar 31, 2015
- Discretionary RAUM · $44.2M to $60.8MDec 9, 2014 to Mar 31, 2015
- Non-discretionary RAUM · $17.9M to $20.0MDec 9, 2014 to Mar 31, 2015
- RAUM · $62.1M to $80.7MDec 9, 2014 to Mar 31, 2015
- Accounts · 362 to 265Mar 14, 2014 to Mar 31, 2014
- Advisory employees · 16 to 15Mar 14, 2014 to Mar 31, 2014
- BD registered reps · 16 to 15Mar 14, 2014 to Mar 31, 2014
- Employees · 30 to 26Mar 14, 2014 to Mar 31, 2014
- State-registered IARs · 16 to 15Mar 14, 2014 to Mar 31, 2014
- Discretionary RAUM · $58.1M to $44.2MMar 14, 2014 to Mar 31, 2014
- Non-discretionary RAUM · $23.5M to $17.9MMar 14, 2014 to Mar 31, 2014
- RAUM · $81.6M to $62.1MMar 14, 2014 to Mar 31, 2014
- Accounts · 405 to 362Mar 30, 2012 to Apr 1, 2013
- Advisory employees · unset to 16.0Mar 30, 2012 to Apr 1, 2013
- Advisory activities · 2 to 1Mar 30, 2012 to Apr 1, 2013
- BD registered reps · unset to 16.0Mar 30, 2012 to Apr 1, 2013
- Employees · unset to 30.0Mar 30, 2012 to Apr 1, 2013
- Insurance-licensed employees · 1 to 0Mar 30, 2012 to Apr 1, 2013
- Financial planning clients · 1-10 to 0Mar 30, 2012 to Apr 1, 2013
- State-registered IARs · 0 to 16Mar 30, 2012 to Apr 1, 2013
- Discretionary RAUM · $65.1M to $58.1MMar 30, 2012 to Apr 1, 2013
- Non-discretionary RAUM · $29.6M to $23.5MMar 30, 2012 to Apr 1, 2013
- RAUM · $94.7M to $81.6MMar 30, 2012 to Apr 1, 2013
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.
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