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
B•••••••• I••
Latest filing May 4, 2022
First filing on the tape Mar 1, 2012 · 16 filings
RAUM
$229M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$229M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$229M as of Mar 11, 2022
Mar 1, 2012$107M then
HNW client RAUM$223M as of Mar 11, 2022
Mar 27, 2018$184M then
State-registered IARs (5.B.3)2 as of Mar 11, 2022
Mar 1, 20120 then
Employees (5.A)3 as of Mar 11, 2022
Mar 18, 20134 then
Private funds: no history
RAUM +3.3% over the last fiscal year+5.6% a year over threeIARs 2 to 2
Practice profile
derived from the filing of May 4, 2022; every figure names its basis
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM 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
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.3%derived
- Compensation
- percentage of assets, 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
- buys or sells securities as principal to or from clients (8.A.2)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$223M97%
- Individuals$6.1M2.6%
- Individual clients
- 15reported
- HNW clients
- 65reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 227reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- G•••• G••••• P•••••• to M••••• G••••• A••••••• I•••Jun 17, 2022 · RIA to RIA
- R••••• A•••••• M••••• to M••••• G••••• A••••••• I•••Jun 17, 2022 · RIA to RIA
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for M••••• G••••• A••••••• I•••Jun 17, 2022 · Westport, Ct
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• R•••••• A•••••• · Presidentcontrolsince 08/1995 · owns less than 5%
- P••••••• G••••• G••••• · Treasurer, Chief Compliance Officercontrolsince 08/1995 · owns less than 5%
Entity owners
- M••••• G••••• A••••••• I••• · Parentdirect · 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.
What changed
consecutive filings, newest first
- Accounts · 224 to 227Mar 15, 2021 to Mar 11, 2022
- HNW clients · 55 to 65Mar 15, 2021 to Mar 11, 2022
- Individual clients · 24 to 15Mar 15, 2021 to Mar 11, 2022
- Financial planning clients · 11-25 to 1-10Mar 15, 2021 to Mar 11, 2022
- HNW RAUM · $204M to $223MMar 15, 2021 to Mar 11, 2022
- Individual RAUM · $17.6M to $6.1MMar 15, 2021 to Mar 11, 2022
- Non-discretionary RAUM · $222M to $229MMar 15, 2021 to Mar 11, 2022
- RAUM · $222M to $229MMar 15, 2021 to Mar 11, 2022
- HNW clients · 24 to 55Mar 3, 2021 to Mar 15, 2021
- Individual clients · 55 to 24Mar 3, 2021 to Mar 15, 2021
- HNW RAUM · $17.6M to $204MMar 3, 2021 to Mar 15, 2021
- Individual RAUM · $204M to $17.6MMar 3, 2021 to Mar 15, 2021
- Accounts · 290 to 224Jun 27, 2020 to Mar 2, 2021
- HNW clients · 5 to 24Jun 27, 2020 to Mar 2, 2021
- Individual clients · 84 to 55Jun 27, 2020 to Mar 2, 2021
- Financial planning clients · 26-50 to 11-25Jun 27, 2020 to Mar 2, 2021
- HNW RAUM · $40.7M to $17.6MJun 27, 2020 to Mar 2, 2021
- Individual RAUM · $158M to $204MJun 27, 2020 to Mar 2, 2021
- Non-discretionary RAUM · $199M to $222MJun 27, 2020 to Mar 2, 2021
- RAUM · $199M to $222MJun 27, 2020 to Mar 2, 2021
- Accounts · 232 to 290Mar 27, 2019 to Apr 28, 2020
- HNW clients · 6 to 5Mar 27, 2019 to Apr 28, 2020
- Individual clients · 63 to 84Mar 27, 2019 to Apr 28, 2020
- Employees · 4 to 3Mar 27, 2019 to Apr 28, 2020
- HNW RAUM · $47.9M to $40.7MMar 27, 2019 to Apr 28, 2020
- Individual RAUM · $147M to $158MMar 27, 2019 to Apr 28, 2020
- Non-discretionary RAUM · $195M to $199MMar 27, 2019 to Apr 28, 2020
- RAUM · $195M to $199MMar 27, 2019 to Apr 28, 2020
- Accounts · 267 to 232Mar 27, 2018 to Mar 27, 2019
- HNW clients · 50 to 6Mar 27, 2018 to Mar 27, 2019
- Individual clients · 15 to 63Mar 27, 2018 to Mar 27, 2019
- HNW RAUM · $184M to $47.9MMar 27, 2018 to Mar 27, 2019
- Individual RAUM · $3.8M to $147MMar 27, 2018 to Mar 27, 2019
- Non-discretionary RAUM · $187M to $195MMar 27, 2018 to Mar 27, 2019
- RAUM · $187M to $195MMar 27, 2018 to Mar 27, 2019
- Charity clients · unset to 0.0Mar 28, 2017 to Mar 27, 2018
- Corporate clients · unset to 0.0Mar 28, 2017 to Mar 27, 2018
- HNW clients · unset to 50.0Mar 28, 2017 to Mar 27, 2018
- Individual clients · unset to 15.0Mar 28, 2017 to Mar 27, 2018
- Pension plan clients · unset to 0.0Mar 28, 2017 to Mar 27, 2018
Signals
3 dated events
- G•••• G••••• P•••••• left B•••••••• I•• for M••••• G••••• A••••••• I••• (registered 2022-04-01)Jun 17, 2022 · Advisor changed firm · fact
- R••••• A•••••• M••••• left B•••••••• I•• for M••••• G••••• A••••••• I••• (registered 2022-04-04)Jun 17, 2022 · Advisor changed firm · fact
- 2 advisors left B•••••••• I•• (Westport, CT) for M••••• G••••• A••••••• I••• on the same dayJun 17, 2022 · Team lift-out · derived
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