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
E••• G••••••• F•••••••• S••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Nov 19, 2021 · 10 filings
SEC status approved since Dec 21, 2021
RAUM
$193M
reported, Item 5.F
Discretionary
60%
of RAUM
Private clients
100%
$193M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$193M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$193M as of Mar 24, 2026
Mar 8, 2022$144M then
HNW client RAUM$128M as of Mar 24, 2026
Mar 8, 2022$84.4M then
State-registered IARs (5.B.3)1 as of Mar 24, 2026
Mar 8, 20221 then
Employees (5.A)1 as of Mar 24, 2026
Mar 8, 20221 then
Private funds: no history
RAUM +7.1% over the last fiscal year+10% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $193MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 301derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $263,762derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 60%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.9%derived
- Compensation
- percentage of assets, hourlyreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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
- High-net-worth individuals$128M66%
- Individuals$65.2M34%
- Individual clients
- 248reported
- HNW clients
- 53reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 732reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• J••• G••••••Certified Financial Planner | Madison, Ct | Nov 18, 2021 | 39 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• G••••••• J••• · Managing Member, Chief Compliance Officercontrolsince 09/2021 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list E••• G••••••• F•••••••• S••••••• L•• as a related person
- 23757 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 707 to 732Feb 14, 2025 to Jan 3, 2026
- HNW clients · 51 to 53Feb 14, 2025 to Jan 3, 2026
- Individual clients · 259 to 248Feb 14, 2025 to Jan 3, 2026
- Discretionary RAUM · $112M to $116MFeb 14, 2025 to Jan 3, 2026
- HNW RAUM · $118M to $128MFeb 14, 2025 to Jan 3, 2026
- Individual RAUM · $62.8M to $65.2MFeb 14, 2025 to Jan 3, 2026
- Non-discretionary RAUM · $68.0M to $76.8MFeb 14, 2025 to Jan 3, 2026
- RAUM · $180M to $193MFeb 14, 2025 to Jan 3, 2026
- Accounts · 678 to 707Feb 27, 2024 to Feb 14, 2025
- HNW clients · 43 to 51Feb 27, 2024 to Feb 14, 2025
- Individual clients · 243 to 259Feb 27, 2024 to Feb 14, 2025
- Pension plan clients · 1.0 to unsetFeb 27, 2024 to Feb 14, 2025
- Financial planning clients · 11-25 to 11-25Feb 27, 2024 to Feb 14, 2025
- Discretionary RAUM · $94.5M to $112MFeb 27, 2024 to Feb 14, 2025
- HNW RAUM · $92.8M to $118MFeb 27, 2024 to Feb 14, 2025
- Individual RAUM · $61.0M to $62.8MFeb 27, 2024 to Feb 14, 2025
- Non-discretionary RAUM · $60.3M to $68.0MFeb 27, 2024 to Feb 14, 2025
- Pension RAUM · $1.0M to $0Feb 27, 2024 to Feb 14, 2025
- RAUM · $155M to $180MFeb 27, 2024 to Feb 14, 2025
- Accounts · 710 to 678Mar 10, 2023 to Dec 18, 2023
- HNW clients · 42 to 43Mar 10, 2023 to Dec 18, 2023
- Individual clients · 257 to 243Mar 10, 2023 to Dec 18, 2023
- Discretionary RAUM · $73.4M to $94.5MMar 10, 2023 to Dec 18, 2023
- HNW RAUM · $83.7M to $92.8MMar 10, 2023 to Dec 18, 2023
- Individual RAUM · $59.0M to $61.0MMar 10, 2023 to Dec 18, 2023
- Non-discretionary RAUM · $70.2M to $60.3MMar 10, 2023 to Dec 18, 2023
- Pension RAUM · $910,965 to $1.0MMar 10, 2023 to Dec 18, 2023
- RAUM · $144M to $155MMar 10, 2023 to Dec 18, 2023
- Accounts · 662 to 710Mar 8, 2022 to Mar 10, 2023
- HNW clients · 40 to 42Mar 8, 2022 to Mar 10, 2023
- Individual clients · 241 to 257Mar 8, 2022 to Mar 10, 2023
- Discretionary RAUM · $83.9M to $73.4MMar 8, 2022 to Mar 10, 2023
- HNW RAUM · $84.4M to $83.7MMar 8, 2022 to Mar 10, 2023
- Individual RAUM · $58.9M to $59.0MMar 8, 2022 to Mar 10, 2023
- Non-discretionary RAUM · $60.4M to $70.2MMar 8, 2022 to Mar 10, 2023
- Pension RAUM · $1.0M to $910,965Mar 8, 2022 to Mar 10, 2023
- RAUM · $144M to $144MMar 8, 2022 to Mar 10, 2023
- Accounts · 659 to 662Jan 12, 2022 to Mar 8, 2022
- Business name · E••• G••••••• F•••••••• S••••••• to E••• G••••••• F•••••••• S••••••• L••Jan 12, 2022 to Mar 8, 2022
- HNW clients · 41 to 40Jan 12, 2022 to Mar 8, 2022
Signals
1 dated events
- E••• G••••••• F•••••••• S••••••• filed its initial SEC registration (Form ADV)Nov 19, 2021 · First SEC registration · fact
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
- 203-318-1177reportedpublic record, Form ADV, Mar 24, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $193Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026