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•••••• • M•••••••• L••

Former SEC-registered adviserBasking Ridge, New JerseyCRD 129397SEC 801-110810IAPD
Latest filing Feb 4, 2022
First filing on the tape Jun 13, 2017 · 12 filings
RAUM
$364M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$349M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$364M as of Feb 4, 2022
Feb 26, 2018$124M then
HNW client RAUM$300M as of Feb 4, 2022
Feb 26, 2018$82.2M then
State-registered IARs (5.B.3)7 as of Feb 4, 2022
Feb 26, 20185 then
Employees (5.A)10 as of Feb 4, 2022
Feb 26, 20189 then
Private funds: no history
RAUM +35% over the last fiscal year+39% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Feb 4, 2022; every figure names its basis
RAUM per advisor
$51.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
43derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$467,941derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
3.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+35%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+9.4%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
yesreportedItem 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$300M82%
  • Individuals$49.9M14%
  • Corporations and businesses$14.1M3.9%
Individual clients
164reported
HNW clients
138reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
777reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G••••••• M••••••• H•••• · Managing Member / Chief Compliance Officercontrol
      since 09/1999 · owns 50% to 75%
    • M•••••••• D•••••• M•••••• · Membercontrol
      since 01/2004 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    • M•••••• M•••••
      real estaten
    Offices
    Schedule D 1.F, the 25 largest
    • Manasquan, NJ2 employees
    What changed
    consecutive filings, newest first
    • Accounts · 660 to 777
      Jan 26, 2021 to Feb 4, 2022
    • Charity clients · 1 to 0
      Jan 26, 2021 to Feb 4, 2022
    • Corporate clients · 1 to 2
      Jan 26, 2021 to Feb 4, 2022
    • HNW clients · 158 to 138
      Jan 26, 2021 to Feb 4, 2022
    • Individual clients · 118 to 164
      Jan 26, 2021 to Feb 4, 2022
    • Assets in custody · $31.8M to $0
      Jan 26, 2021 to Feb 4, 2022
    • Discretionary RAUM · $264M to $362M
      Jan 26, 2021 to Feb 4, 2022
    • HNW RAUM · $220M to $300M
      Jan 26, 2021 to Feb 4, 2022
    • Individual RAUM · $45.6M to $49.9M
      Jan 26, 2021 to Feb 4, 2022
    • Non-discretionary RAUM · $6.2M to $1.8M
      Jan 26, 2021 to Feb 4, 2022
    • RAUM · $270M to $364M
      Jan 26, 2021 to Feb 4, 2022
    • Accounts · 557 to 660
      Dec 22, 2020 to Jan 26, 2021
    • Charity clients · unset to 1.0
      Dec 22, 2020 to Jan 26, 2021
    • Corporate clients · unset to 1.0
      Dec 22, 2020 to Jan 26, 2021
    • HNW clients · 99 to 158
      Dec 22, 2020 to Jan 26, 2021
    • Individual clients · 161 to 118
      Dec 22, 2020 to Jan 26, 2021
    • Pension plan clients · unset to 0.0
      Dec 22, 2020 to Jan 26, 2021
    • Pooled vehicle clients · unset to 0.0
      Dec 22, 2020 to Jan 26, 2021
    • Financial planning clients · 0 to 251-500
      Dec 22, 2020 to Jan 26, 2021
    • Discretionary RAUM · $199M to $264M
      Dec 22, 2020 to Jan 26, 2021
    • HNW RAUM · $163M to $220M
      Dec 22, 2020 to Jan 26, 2021
    • Individual RAUM · $32.0M to $45.6M
      Dec 22, 2020 to Jan 26, 2021
    • Non-discretionary RAUM · $0 to $6.2M
      Dec 22, 2020 to Jan 26, 2021
    • Pension RAUM · $650,358 to $0
      Dec 22, 2020 to Jan 26, 2021
    • Pooled vehicle RAUM · unset to 0.0
      Dec 22, 2020 to Jan 26, 2021
    • RAUM · $199M to $270M
      Dec 22, 2020 to Jan 26, 2021
    • Advisory employees · 6 to 7
      Dec 2, 2020 to Dec 22, 2020
    • Employees · 9 to 10
      Dec 2, 2020 to Dec 22, 2020
    • State-registered IARs · 6 to 7
      Dec 2, 2020 to Dec 22, 2020
    • Accounts · 544 to 557
      Jan 10, 2019 to Jan 17, 2020
    • HNW clients · 79 to 99
      Jan 10, 2019 to Jan 17, 2020
    • Individual clients · 141 to 161
      Jan 10, 2019 to Jan 17, 2020
    • Assets in custody · $39.9M to $31.8M
      Jan 10, 2019 to Jan 17, 2020
    • Employees · 8 to 9
      Jan 10, 2019 to Jan 17, 2020
    • Financial planning clients · 1-10 to 0
      Jan 10, 2019 to Jan 17, 2020
    • Discretionary RAUM · $134M to $199M
      Jan 10, 2019 to Jan 17, 2020
    • HNW RAUM · $94.6M to $163M
      Jan 10, 2019 to Jan 17, 2020
    • Individual RAUM · $37.0M to $32.0M
      Jan 10, 2019 to Jan 17, 2020
    • Pension RAUM · unset to 650358.0
      Jan 10, 2019 to Jan 17, 2020
    • RAUM · $134M to $199M
      Jan 10, 2019 to Jan 17, 2020
    Signals
    9 dated events
    • M•••••• H•••• G•••••• left G•••••• • M•••••••• L•• for C••••••••• C•••••• M••••••••• I••• (registered 2004-03-23)
      Jul 20, 2022 · Advisor changed firm · fact
    • M•••••• J•••• M••••• left G•••••• • M•••••••• L•• for O••••••••• (registered 2022-01-19)
      Jul 20, 2022 · Advisor changed firm · fact
    • C••••••••• T• C•••••• left G•••••• • M•••••••• L•• for O••••••••• (registered 2021-12-14)
      Jul 20, 2022 · Advisor changed firm · fact
    • G•••••• • M•••••••• L••'s advisors moved to O••••••••• (Basking Ridge, NJ): 6 of 7 registered, on the same day
      Jul 20, 2022 · Firm absorbed (people side) · derived
    • R••• J••••• left G•••••• • M•••••••• L•• for O••••••••• (registered 2022-05-04)
      Jul 20, 2022 · Advisor changed firm · fact
    • A••••• J••••••• left G•••••• • M•••••••• L•• for O••••••••• (registered 2021-12-02)
      Jul 20, 2022 · Advisor changed firm · fact
    • T••••• J•••• M••••• left G•••••• • M•••••••• L•• for O••••••••• (registered 2022-01-19)
      Jul 20, 2022 · Advisor changed firm · fact
    • D••••• M•••••• M••••••• left G•••••• • M•••••••• L•• for O••••••••• (registered 2021-12-02)
      Jul 20, 2022 · Advisor changed firm · fact
    • G•••••• • M•••••••• L•• filed its initial SEC registration (Form ADV)
      Jun 13, 2017 · 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.
    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