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
G•••••••• I••••••••• M••••••••• I•••
Latest filing Oct 4, 2024
First filing on the tape Mar 30, 2012 · 34 filings
RAUM
$593M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
86%
$508M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$593M as of Mar 29, 2024
Mar 30, 2012$363M then
HNW client RAUM$489M as of Mar 29, 2024
Mar 30, 2018$563M then
State-registered IARs (5.B.3)4 as of Mar 29, 2024
Apr 1, 20130 then
Employees (5.A)8 as of Mar 29, 2024
Apr 1, 20139 then
Private funds: no history
RAUM -27% over the last fiscal year-19% a year over threeIARs 8 to 4
Practice profile
derived from the filing of Oct 4, 2024; every figure names its basis
- RAUM per advisor
- $148MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 201derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $729,623derivedHNW RAUM over HNW clients
- Average account
- $711,522derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -27%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -24%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $17.5M, 16 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
- 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$489M82%
- Insurance companies$43.8M7.4%
- Charitable organizations$34.4M5.8%
- Individuals$19.3M3.3%
- Pension and profit-sharing plans$4.4M0.7%
- Corporations and businesses$1.9M0.3%
- Individual clients
- 135reported
- HNW clients
- 670reported
- Pension plan clients
- 2reported
- Charitable clients
- 4reported
- Accounts
- 833reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $148M managedreported
- Custody of client assets
- $17.5M for 16 clientsreported
- 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
- N•••• E• C••••••••• to R•••• R••• A••••••• L••Nov 5, 2024 · RIA to RIA
- H•••••• S•••• S•••••••• to R•••• R••• A••••••• L••Nov 5, 2024 · RIA to RIA
- J•• H• to R•••• R••• A••••••• L••Nov 5, 2024 · RIA to RIA
- E••••• V••••• B••••••• to R•••• R••• A••••••• L••Nov 13, 2023 · RIA to RIA
- P•••• L••••••••• C••••••• to C•••••• C••••••• L••Oct 6, 2023 · RIA to RIA
- D••• J••••• C•••••• to M••••• F•••••••• G•••• L••Apr 22, 2022 · RIA to RIA
- B•••••• J•••• B•••••• to H•••••• J• S••• C•••••• M••••••••• I•••Apr 28, 2017 · Other
- R••••• A•••• D•••••••• to R•• C•••••• M••••••••• L••Jan 8, 2013 · Other
Joined, latest
- P•••• L••••••••• C••••••• from C••••••• C•••••• M••••••••• L••Jan 1, 2021 · Other
- H•••••• S•••• S•••••••• from N••••••••• M••••• I••••••••• S•••••••••Oct 5, 2020 · Other
- B•••••• J•••• B•••••• from C•••••• M••••• C••••••••• I•••Apr 28, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for R•••• R••• A••••••• L••Nov 5, 2024 · Norwalk, Ct · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•• J•• · Director/Portfolio Managercontrolsince 10/2018 · owns less than 5%
- R•••••• L••••• G••••• · Chief Compliance Officercontrolsince 01/2007 · owns 75% or more
- S••••••••• H••••••• S•••• · Chief Operating Officercontrolsince 07/2014 · owns less than 5%
- C•••••••• P••••• L••••••••• · Shareholdersince 10/2023 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Norwalk, Ct · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,082 to 833Nov 3, 2023 to Mar 29, 2024
- Advisory employees · 8 to 4Nov 3, 2023 to Mar 29, 2024
- BD registered reps · 1 to 0Nov 3, 2023 to Mar 29, 2024
- Corporate clients · 8 to 4Nov 3, 2023 to Mar 29, 2024
- HNW clients · 932 to 670Nov 3, 2023 to Mar 29, 2024
- Individual clients · 134 to 135Nov 3, 2023 to Mar 29, 2024
- Pension plan clients · 3 to 2Nov 3, 2023 to Mar 29, 2024
- Assets in custody · $15.3M to $17.5MNov 3, 2023 to Mar 29, 2024
- Employees · 12 to 8Nov 3, 2023 to Mar 29, 2024
- State-registered IARs · 8 to 4Nov 3, 2023 to Mar 29, 2024
- Discretionary RAUM · $790M to $588MNov 3, 2023 to Mar 29, 2024
- HNW RAUM · $702M to $489MNov 3, 2023 to Mar 29, 2024
- Individual RAUM · $18.4M to $19.3MNov 3, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $27.0M to $4.6MNov 3, 2023 to Mar 29, 2024
- Pension RAUM · $4.4M to $4.4MNov 3, 2023 to Mar 29, 2024
- RAUM · $817M to $593MNov 3, 2023 to Mar 29, 2024
- Wrap assets (manager) · $295M to $148MNov 3, 2023 to Mar 29, 2024
- Accounts · 1,243 to 1,082Mar 3, 2023 to Mar 31, 2023
- Advisory employees · 10 to 8Mar 3, 2023 to Mar 31, 2023
- BD registered reps · 0 to 1Mar 3, 2023 to Mar 31, 2023
- HNW clients · 1,110 to 932Mar 3, 2023 to Mar 31, 2023
- Individual clients · 117 to 134Mar 3, 2023 to Mar 31, 2023
- Assets in custody · $21.9M to $15.3MMar 3, 2023 to Mar 31, 2023
- Employees · 11 to 12Mar 3, 2023 to Mar 31, 2023
- State-registered IARs · 9 to 8Mar 3, 2023 to Mar 31, 2023
- Discretionary RAUM · $1.2B to $790MMar 3, 2023 to Mar 31, 2023
- HNW RAUM · $1.1B to $702MMar 3, 2023 to Mar 31, 2023
- Individual RAUM · $16.6M to $18.4MMar 3, 2023 to Mar 31, 2023
- Non-discretionary RAUM · $4.9M to $27.0MMar 3, 2023 to Mar 31, 2023
- Pension RAUM · $5.0M to $4.4MMar 3, 2023 to Mar 31, 2023
- RAUM · $1.2B to $817MMar 3, 2023 to Mar 31, 2023
- Wrap assets (manager) · $476M to $295MMar 3, 2023 to Mar 31, 2023
- HQ city · STAMFORD to NORWALKMay 2, 2022 to Sep 2, 2022
- Advisory employees · 12 to 10Mar 31, 2022 to May 2, 2022
- Employees · 13 to 11Mar 31, 2022 to May 2, 2022
- State-registered IARs · 11 to 9Mar 31, 2022 to May 2, 2022
- Accounts · 1,195 to 1,243Apr 1, 2021 to Mar 31, 2022
- Charity clients · unset to 4.0Apr 1, 2021 to Mar 31, 2022
- HNW clients · 903 to 1,110Apr 1, 2021 to Mar 31, 2022
- Individual clients · 113 to 117Apr 1, 2021 to Mar 31, 2022
Signals
16 dated events
- J•• H• left G•••••••• I••••••••• M••••••••• I••• for R•••• R••• A••••••• L•• (registered 2024-11-01)Nov 5, 2024 · Advisor changed firm · fact
- N•••• E• C••••••••• left G•••••••• I••••••••• M••••••••• I••• for R•••• R••• A••••••• L•• (registered 2024-11-03)Nov 5, 2024 · Advisor changed firm · fact
- H•••••• S•••• S•••••••• left G•••••••• I••••••••• M••••••••• I••• for R•••• R••• A••••••• L•• (registered 2024-11-01)Nov 5, 2024 · Advisor changed firm · fact
- G•••••••• I••••••••• M••••••••• I•••'s advisors moved to R•••• R••• A••••••• L•• (Norwalk, CT): 3 of 3 registered, on the same dayNov 5, 2024 · Firm absorbed (people side) · derived
- G•••••••• I••••••••• M••••••••• I••• reported RAUM $592.7M, down 27% from $816.9M (2023-11-03 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- J•• H• (Director/Portfolio Manager) appeared on Schedule A of G•••••••• I••••••••• M••••••••• I•••Mar 29, 2024 · Control person joined · fact
- E••••• V••••• B••••••• left G•••••••• I••••••••• M••••••••• I••• for R•••• R••• A••••••• L•• (registered 2024-05-30)Nov 13, 2023 · Advisor changed firm · fact
- Christienne Julie Muraco (President/Ceo) no longer on Schedule A of G•••••••• I••••••••• M••••••••• I••• (listed 2023-04-27, absent 2023-11-03)Nov 3, 2023 · Control person left · inference
- P•••• L••••••••• C••••••• left G•••••••• I••••••••• M••••••••• I••• for C•••••• C••••••• L•• (registered 2024-09-20)Oct 6, 2023 · Advisor changed firm · fact
- G•••••••• I••••••••• M••••••••• I••• reported RAUM $816.9M, down 31% from $1.2B (2023-03-03 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Christienne Julie Muraco (President/Ceo) appeared on Schedule A of G•••••••• I••••••••• M••••••••• I•••Mar 3, 2023 · Control person joined · fact
- Justin Drew Collins (Managing Director And Member Of The Executive Committee) no longer on Schedule A of G•••••••• I••••••••• M••••••••• I••• (listed 2022-09-02, absent 2023-03-03)Mar 3, 2023 · Control person left · inference
- D••• J••••• C•••••• left G•••••••• I••••••••• M••••••••• I••• for M••••• F•••••••• G•••• L•• (registered 2022-05-04)Apr 22, 2022 · Advisor changed firm · fact
- G•••••••• I••••••••• M••••••••• I••• reported RAUM $1.1B, up 38% from $824.7M (2019-12-18 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- Justin Drew Collins (Managing Director And Member Of The Executive Committee) appeared on Schedule A of G•••••••• I••••••••• M••••••••• I•••Mar 27, 2020 · Control person joined · fact
- G•••••••• I••••••••• M••••••••• I••• reported RAUM $824.7M, up 32% from $623.6M (2018-12-27 to 2019-03-29)Mar 29, 2019 · RAUM change · 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