DFX Intelligence

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G•••••••• P••••••••• I•••••••••

Independent wealth managerSEC-registered

Independent wealth manager, reporting $29.1M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $29.1M
Advisors: 0
RAUM change, 1 year: +4.1%
Private clients: 89%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+4.1%
RAUM, one year
RAUM $27.9M to $29.1M (+4.1%) on the Form ADV filed 30 Mar 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 127162 · SEC 801-68544 · 23 filingsShow

CRD 127162SEC 801-68544First filing on the tape Mar 22, 2012, latest Mar 30, 2026SEC status approved since Nov 29, 2007IAPD

RAUM

$29.1M

reported, Item 5.F

Discretionary

90%

of RAUM

Private clients

89%

$26.0M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

23 filings and snapshots on the tape

RAUM +3.2% a year over three years · the tape starts Mar 22, 2012

Peer group: Independent wealth managers, under $100M, 669 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$29.1M as of Mar 30, 2026

Mar 22, 2012$41.4M then

HNW client RAUM$13.3M as of Mar 30, 2026

Mar 26, 2018$19.2M then

State-registered IARs (5.B.3)0 as of Mar 30, 2026

Mar 22, 20120 then

Employees (5.A)1 as of Mar 30, 2026

Mar 20, 20132 then

Private funds: no history

RAUM +4.1% over the last fiscal year+3.2% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 30, 2026; every figure names its basis

Archetypes

HNW wealth manager

The rule behind each archetype, and every derived figure1 ruleShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent

RAUM per advisor: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.7MderivedHNW RAUM over HNW clients
Average account: $338,033derivedRAUM over accounts (5.F.2.f)
Discretionary: 90%derivedof RAUM
Institutional: 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year: +4.1%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +0.0%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody: $8.4M, 5 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)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

46% high-net-worth individuals, 44% individuals, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow

High-net-worth individuals$13.3M46%
Individuals$12.7M44%
Charitable organizations$2.3M7.9%
Pension and profit-sharing plans$819,3622.8%

Individual clients: 21reported
HNW clients: 5reported
Pension plan clients: 1reported
Charitable clients: 1reported
Accounts: 86reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $8.4M for 5 clientsreported
Compensation: % of AUMreported
Class basis: RAUM: 89% private clients, 0% pooled funds, 11% institutions; no related broker-dealer; no related bank; no bank ownerderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

G••••••••• E•••• J•• · President/Chief Compliance Officercontrol
since 10/1994 · owns 75% or more

Ownership changes

Schedule A, between consecutive filings

No owner or control person joined or left between filings on the tape.

Who runs the funds

related persons named most often on the Form D filings of the firm's funds

No Form D related person is on record for this firm's funds.

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 · 85 to 86
Mar 25, 2025 to Mar 30, 2026
Pension plan clients · 2 to 1
Mar 25, 2025 to Mar 30, 2026
Assets in custody · $7.7M to $8.4M
Mar 25, 2025 to Mar 30, 2026
Discretionary RAUM · $25.2M to $26.3M
Mar 25, 2025 to Mar 30, 2026
HNW RAUM · $12.3M to $13.3M
Mar 25, 2025 to Mar 30, 2026

Full history · 80 changes

Individual RAUM · $9.9M to $12.7M
Mar 25, 2025 to Mar 30, 2026
Non-discretionary RAUM · $2.7M to $2.8M
Mar 25, 2025 to Mar 30, 2026
Pension RAUM · $3.5M to $819,362
Mar 25, 2025 to Mar 30, 2026
RAUM · $27.9M to $29.1M
Mar 25, 2025 to Mar 30, 2026
Accounts · 83 to 85
Mar 26, 2024 to Mar 25, 2025
Individual clients · 20 to 21
Mar 26, 2024 to Mar 25, 2025
Assets in custody · $7.6M to $7.7M
Mar 26, 2024 to Mar 25, 2025
Financial planning clients · unset to
Mar 26, 2024 to Mar 25, 2025
HQ city · unset to
Mar 26, 2024 to Mar 25, 2025
HQ state · unset to
Mar 26, 2024 to Mar 25, 2025
Discretionary RAUM · $24.1M to $25.2M
Mar 26, 2024 to Mar 25, 2025
HNW RAUM · $12.3M to $12.3M
Mar 26, 2024 to Mar 25, 2025
Individual RAUM · $9.1M to $9.9M
Mar 26, 2024 to Mar 25, 2025
Non-discretionary RAUM · $2.5M to $2.7M
Mar 26, 2024 to Mar 25, 2025
Pension RAUM · $3.0M to $3.5M
Mar 26, 2024 to Mar 25, 2025
RAUM · $26.6M to $27.9M
Mar 26, 2024 to Mar 25, 2025
Accounts · 82 to 83
Mar 2, 2023 to Mar 26, 2024
HNW clients · 11 to 5
Mar 2, 2023 to Mar 26, 2024
Individual clients · 15 to 20
Mar 2, 2023 to Mar 26, 2024
Assets in custody · $3.0M to $7.6M
Mar 2, 2023 to Mar 26, 2024
Discretionary RAUM · $24.1M to $24.1M
Mar 2, 2023 to Mar 26, 2024
HNW RAUM · $19.7M to $12.3M
Mar 2, 2023 to Mar 26, 2024
Individual RAUM · $1.9M to $9.1M
Mar 2, 2023 to Mar 26, 2024
Non-discretionary RAUM · $2.4M to $2.5M
Mar 2, 2023 to Mar 26, 2024
Pension RAUM · $2.8M to $3.0M
Mar 2, 2023 to Mar 26, 2024
RAUM · $26.5M to $26.6M
Mar 2, 2023 to Mar 26, 2024
Individual clients · 12 to 15
Mar 23, 2022 to Mar 1, 2023
Pension plan clients · 5 to 2
Mar 23, 2022 to Mar 1, 2023
Financial planning clients · 0 to unset
Mar 23, 2022 to Mar 1, 2023
Discretionary RAUM · $28.1M to $24.1M
Mar 23, 2022 to Mar 1, 2023
HNW RAUM · $20.1M to $19.7M
Mar 23, 2022 to Mar 1, 2023
Individual RAUM · $2.2M to $1.9M
Mar 23, 2022 to Mar 1, 2023
Non-discretionary RAUM · $2.6M to $2.4M
Mar 23, 2022 to Mar 1, 2023
Pension RAUM · $6.0M to $2.8M
Mar 23, 2022 to Mar 1, 2023
RAUM · $30.8M to $26.5M
Mar 23, 2022 to Mar 1, 2023
Accounts · 77 to 82
Nov 1, 2021 to Mar 23, 2022
HNW clients · 13 to 11
Nov 1, 2021 to Mar 23, 2022
Individual clients · 16 to 12
Nov 1, 2021 to Mar 23, 2022
Pension plan clients · 3 to 5
Nov 1, 2021 to Mar 23, 2022
Assets in custody · $2.4M to $3.0M
Nov 1, 2021 to Mar 23, 2022
Discretionary RAUM · $26.0M to $28.1M
Nov 1, 2021 to Mar 23, 2022
HNW RAUM · $19.7M to $20.1M
Nov 1, 2021 to Mar 23, 2022
Individual RAUM · $3.5M to $2.2M
Nov 1, 2021 to Mar 23, 2022
Non-discretionary RAUM · $2.2M to $2.6M
Nov 1, 2021 to Mar 23, 2022
Pension RAUM · $2.9M to $6.0M
Nov 1, 2021 to Mar 23, 2022
RAUM · $28.2M to $30.8M
Nov 1, 2021 to Mar 23, 2022
Assets in custody · unset to 2392997.0
Mar 24, 2021 to Nov 1, 2021
Custody of client assets · false to true
Mar 24, 2021 to Nov 1, 2021
Accounts · 73 to 77
Jun 24, 2020 to Mar 24, 2021
Individual clients · 14 to 16
Jun 24, 2020 to Mar 24, 2021
Assets in custody · 2489280.0 to unset
Jun 24, 2020 to Mar 24, 2021
Custody of client assets · true to false
Jun 24, 2020 to Mar 24, 2021
Financial planning clients · unset to 0
Jun 24, 2020 to Mar 24, 2021
Discretionary RAUM · $23.6M to $26.0M
Jun 24, 2020 to Mar 24, 2021
HNW RAUM · $16.7M to $19.7M
Jun 24, 2020 to Mar 24, 2021
Individual RAUM · $2.0M to $3.5M
Jun 24, 2020 to Mar 24, 2021
Non-discretionary RAUM · $2.0M to $2.2M
Jun 24, 2020 to Mar 24, 2021
Pension RAUM · $5.0M to $2.9M
Jun 24, 2020 to Mar 24, 2021
RAUM · $25.6M to $28.2M
Jun 24, 2020 to Mar 24, 2021
Accounts · 78 to 73
Mar 25, 2019 to Mar 27, 2020
Advisory activities · 3 to 2
Mar 25, 2019 to Mar 27, 2020
Individual clients · 18 to 14
Mar 25, 2019 to Mar 27, 2020
Pension plan clients · 2 to 3
Mar 25, 2019 to Mar 27, 2020
Assets in custody · $1.7M to $2.5M
Mar 25, 2019 to Mar 27, 2020
Financial planning clients · 0 to unset
Mar 25, 2019 to Mar 27, 2020
Discretionary RAUM · $23.1M to $23.6M
Mar 25, 2019 to Mar 27, 2020
HNW RAUM · $17.8M to $16.7M
Mar 25, 2019 to Mar 27, 2020
Individual RAUM · $3.0M to $2.0M
Mar 25, 2019 to Mar 27, 2020
Non-discretionary RAUM · $2.0M to $2.0M
Mar 25, 2019 to Mar 27, 2020
Pension RAUM · $2.4M to $5.0M
Mar 25, 2019 to Mar 27, 2020
RAUM · $25.1M to $25.6M
Mar 25, 2019 to Mar 27, 2020
Accounts · 92 to 78
Mar 26, 2018 to Mar 25, 2019
Pension plan clients · 3 to 2
Mar 26, 2018 to Mar 25, 2019
Assets in custody · $1.1M to $1.7M
Mar 26, 2018 to Mar 25, 2019
Discretionary RAUM · $24.4M to $23.1M
Mar 26, 2018 to Mar 25, 2019

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.

How to reach

public business contact points only, each with its source

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.