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
A•••••• A•••••••
Legal name A•••••• A•••••••• L••
Latest filing Jun 30, 2026
First filing on the tape Apr 28, 2026 · 2 filings
SEC status approved since Apr 29, 2026
RAUM
$127M
reported, Item 5.F
Discretionary
56%
of RAUM
Private clients
100%
$127M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$63.5M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$127M as of Jun 30, 2026
Apr 28, 2026$127M then
HNW client RAUM$95.3M as of Jun 30, 2026
Apr 28, 2026$95.3M then
State-registered IARs (5.B.3)2 as of Jun 30, 2026
Apr 28, 20262 then
Employees (5.A)3 as of Jun 30, 2026
Apr 28, 20263 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 30, 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
- RAUM per advisor
- $63.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $651,016derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 56%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
- 0.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$95.3M75%
- Individuals$31.6M25%
- Individual clients
- 90reported
- HNW clients
- 20reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 195reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• A••••• G•••••• | Medfield, Ma | Jun 1, 1999 | 32 y | 0 |
| M•••••• A• G••••••Certified Financial Planner | Medfield, Ma | Dec 14, 2018 | 11 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••••••• S••••••• A••••• · Managing Member, Chief Compliance Officercontrolsince 03/1999 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Medfield, Ma · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
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
- Business phone
- 508-359-2494reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 508-359-9442reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- g•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (508) 359-9442reportedpublic record, Form ADV, Jun 30, 2026
- Contact form
- g•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- g•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $63.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026