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
F•••••••• A•••• M••••••••• L•••
Latest filing May 13, 2023
First filing on the tape Feb 2, 2012 · 25 filings
RAUM
$73.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$73.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
25 filings and snapshots on the tape
RAUM$73.2M as of Mar 30, 2023
Feb 2, 2012$35.6M then
HNW client RAUM$68.4M as of Mar 30, 2023
Mar 21, 2018$56.6M then
State-registered IARs (5.B.3)1 as of Mar 30, 2023
Mar 11, 20131 then
Employees (5.A)1 as of Mar 30, 2023
Mar 11, 20131 then
Private funds: no history
RAUM -15% over the last fiscal year+4.8% a year over threeIARs 1 to 1
Practice profile
derived from the filing of May 13, 2023; every figure names its basis
- RAUM per advisor
- $73.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $571,892derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.1%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 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
- 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$68.4M93%
- Individuals$4.8M6.6%
- Individual clients
- 23reported
- HNW clients
- 23reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 128reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- 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
Left, latest
- J••• M• G••••••• to V•••• I••••••••• P••••••••• L••Dec 31, 2023 · RIA to RIA
Joined, latest
- J••• M• G••••••• from R•••••• A•••••••Aug 18, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••••• J•••• M• · President And Chief Compliance Officercontrolsince 06/2004 · 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 |
|---|---|---|---|---|---|
| Milford, Ct | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 123 to 128Mar 26, 2022 to Mar 30, 2023
- Individual clients · 24 to 23Mar 26, 2022 to Mar 30, 2023
- Discretionary RAUM · $85.9M to $73.2MMar 26, 2022 to Mar 30, 2023
- HNW RAUM · $80.3M to $68.4MMar 26, 2022 to Mar 30, 2023
- Individual RAUM · $5.6M to $4.8MMar 26, 2022 to Mar 30, 2023
- RAUM · $85.9M to $73.2MMar 26, 2022 to Mar 30, 2023
- Accounts · 118 to 123Mar 26, 2021 to Mar 25, 2022
- HNW clients · 22 to 23Mar 26, 2021 to Mar 25, 2022
- Individual clients · 23 to 24Mar 26, 2021 to Mar 25, 2022
- Discretionary RAUM · $75.8M to $85.9MMar 26, 2021 to Mar 25, 2022
- HNW RAUM · $71.2M to $80.3MMar 26, 2021 to Mar 25, 2022
- Individual RAUM · $4.6M to $5.6MMar 26, 2021 to Mar 25, 2022
- RAUM · $75.8M to $85.9MMar 26, 2021 to Mar 25, 2022
- Accounts · 120 to 118Jun 15, 2020 to Mar 26, 2021
- Discretionary RAUM · $63.5M to $75.8MJun 15, 2020 to Mar 26, 2021
- HNW RAUM · $56.6M to $71.2MJun 15, 2020 to Mar 26, 2021
- Individual RAUM · $6.9M to $4.6MJun 15, 2020 to Mar 26, 2021
- RAUM · $63.5M to $75.8MJun 15, 2020 to Mar 26, 2021
- Accounts · 128 to 120Dec 26, 2019 to Apr 27, 2020
- Discretionary RAUM · $63.5M to $63.5MDec 26, 2019 to Apr 27, 2020
- HNW RAUM · $53.6M to $56.6MDec 26, 2019 to Apr 27, 2020
- Individual RAUM · $9.9M to $6.9MDec 26, 2019 to Apr 27, 2020
- RAUM · $63.5M to $63.5MDec 26, 2019 to Apr 27, 2020
- Other offices · 1 to 0Mar 26, 2019 to Dec 26, 2019
- Accounts · 120 to 128Mar 21, 2018 to Mar 26, 2019
- Individual clients · 31 to 23Mar 21, 2018 to Mar 26, 2019
- Discretionary RAUM · $63.4M to $63.5MMar 21, 2018 to Mar 26, 2019
- HNW RAUM · $56.6M to $53.6MMar 21, 2018 to Mar 26, 2019
- Individual RAUM · $6.9M to $9.9MMar 21, 2018 to Mar 26, 2019
- RAUM · $63.4M to $63.5MMar 21, 2018 to Mar 26, 2019
- Accounts · 115 to 120Mar 7, 2017 to Mar 21, 2018
- HNW clients · unset to 22.0Mar 7, 2017 to Mar 21, 2018
- Individual clients · unset to 31.0Mar 7, 2017 to Mar 21, 2018
- Other offices · unset to 1.0Mar 7, 2017 to Mar 21, 2018
- Discretionary RAUM · $60.9M to $63.4MMar 7, 2017 to Mar 21, 2018
- HNW RAUM · unset to 56551958.0Mar 7, 2017 to Mar 21, 2018
- Individual RAUM · unset to 6855196.0Mar 7, 2017 to Mar 21, 2018
- RAUM · $60.9M to $63.4MMar 7, 2017 to Mar 21, 2018
- Accounts · 47 to 115Feb 4, 2016 to Mar 7, 2017
- Discretionary RAUM · $56.0M to $60.9MFeb 4, 2016 to Mar 7, 2017
Signals
1 dated events
- J••• M• G••••••• left F•••••••• A•••• M••••••••• L••• for V•••• I••••••••• P••••••••• L•• (registered 2023-12-04)Dec 31, 2023 · Advisor changed firm · 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