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•••••• G•••• A•••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Mar 6, 2012 · 19 filings
SEC status approved since Jul 1, 2003
RAUM
$830M
reported, Item 5.F
Discretionary
51%
of RAUM
Private clients
47%
$393M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$415M
derived; firm RAUM over IAPD count
Employees
8
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$830M as of Mar 26, 2026
Mar 6, 2012$368M then
HNW client RAUM$393M as of Mar 26, 2026
Mar 29, 2018$300M then
State-registered IARs (5.B.3)1 as of Mar 26, 2026
Mar 19, 20132 then
Employees (5.A)8 as of Mar 26, 2026
Mar 19, 20134 then
Private funds: no history
RAUM +17% over the last fiscal year+11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
- RAUM per advisor
- $415MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 51%derivedof RAUM
- Institutional
- 8.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $12.5M, 8 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$393M83%
- Pension and profit-sharing plans$39.2M8.2%
- Charitable organizations$28.9M6.1%
- Investment companies$13.0M2.7%
- Corporations and businesses$1.5M0.3%
- Pooled investment vehicles$621,0240.1%
- Individual clients
- n/areported
- HNW clients
- 122reported
- Pension plan clients
- 2reported
- Charitable clients
- 5reported
- Accounts
- 829reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $12.5M for 8 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.47 fund_share=0.02 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••• B••••••• H•••••••• | Stamford, Ct | Feb 24, 2023 | 39 y | 3 |
| E•••• H••• M•••• | Stamford, Ct | Mar 25, 2026 | 20 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- E•••• H••• M•••• from R•••• R••• A••••••• L••Mar 25, 2026 · RIA to RIA
- L••• B••••••• H•••••••• from C••••• S••••• S••••••••• •••• L••Apr 7, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• L•••• B••••••• · Managing Membercontrolsince 07/2003 · owns 50% to 75%
- Z•••••• R••••••• C•••• · Member - Chief Compliance Officercontrolsince 10/2004 · owns 50% to 75%
Related persons
Schedule D 7.A
- G•••••• G•••• R••••••••• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Stamford, Ct · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Mar 26, 2026institutional share of RAUM moved from 52.0% to 8.0% between the annual amendments of 2025-03-31 and 2026-03-26peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 757 to 829Mar 31, 2025 to Mar 26, 2026
- Advisory activities · 5 to 6Mar 31, 2025 to Mar 26, 2026
- HNW clients · 115 to 122Mar 31, 2025 to Mar 26, 2026
- Pension plan clients · 35 to 2Mar 31, 2025 to Mar 26, 2026
- Assets in custody · $3.4M to $12.5MMar 31, 2025 to Mar 26, 2026
- Employees · 6 to 8Mar 31, 2025 to Mar 26, 2026
- Discretionary RAUM · $361M to $425MMar 31, 2025 to Mar 26, 2026
- HNW RAUM · $327M to $393MMar 31, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $350M to $405MMar 31, 2025 to Mar 26, 2026
- Pension RAUM · $347M to $39.2MMar 31, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $503,582 to $621,024Mar 31, 2025 to Mar 26, 2026
- RAUM · $711M to $830MMar 31, 2025 to Mar 26, 2026
- Accounts · 742 to 757Mar 19, 2024 to Mar 31, 2025
- Assets in custody · $3.7M to $3.4MMar 19, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 19, 2024 to Mar 31, 2025
- Discretionary RAUM · $289M to $361MMar 19, 2024 to Mar 31, 2025
- HNW RAUM · $255M to $327MMar 19, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $277M to $350MMar 19, 2024 to Mar 31, 2025
- Pension RAUM · $273M to $347MMar 19, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $450,142 to $503,582Mar 19, 2024 to Mar 31, 2025
- RAUM · $565M to $711MMar 19, 2024 to Mar 31, 2025
- Accounts · 895 to 742Apr 4, 2023 to Mar 19, 2024
- HNW clients · 106 to 115Apr 4, 2023 to Mar 19, 2024
- Pension plan clients · 30 to 35Apr 4, 2023 to Mar 19, 2024
- Assets in custody · $3.6M to $3.7MApr 4, 2023 to Mar 19, 2024
- Employees · 7 to 6Apr 4, 2023 to Mar 19, 2024
- Discretionary RAUM · $354M to $289MApr 4, 2023 to Mar 19, 2024
- HNW RAUM · $321M to $255MApr 4, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $246M to $277MApr 4, 2023 to Mar 19, 2024
- Pension RAUM · $246M to $273MApr 4, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $667,850 to $450,142Apr 4, 2023 to Mar 19, 2024
- RAUM · $601M to $565MApr 4, 2023 to Mar 19, 2024
- Accounts · 1,146 to 895Apr 1, 2022 to Apr 4, 2023
- HNW clients · 98 to 106Apr 1, 2022 to Apr 4, 2023
- Pension plan clients · 26 to 30Apr 1, 2022 to Apr 4, 2023
- Assets in custody · $4.3M to $3.6MApr 1, 2022 to Apr 4, 2023
- Custody of client assets · false to trueApr 1, 2022 to Apr 4, 2023
- Employees · 5 to 7Apr 1, 2022 to Apr 4, 2023
- Discretionary RAUM · $386M to $354MApr 1, 2022 to Apr 4, 2023
- HNW RAUM · $354M to $321MApr 1, 2022 to Apr 4, 2023
Signals
3 dated events
- G•••••• G•••• A•••••••• L•• reported RAUM $711.3M, up 26% from $565.2M (2024-03-19 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- G•••••• G•••• A•••••••• L•• reported RAUM $586.0M, up 32% from $442.8M (2020-06-25 to 2021-04-27)Apr 27, 2021 · RAUM change · derived
- G•••••• G•••• A•••••••• L•• reported RAUM $484.5M, up 28% from $378.4M (2017-04-28 to 2018-03-29)Mar 29, 2018 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 203-210-7814reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- ggahelp.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (203) 210-7814reportedpublic record, Form ADV, Mar 26, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $415Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026