DFX Intelligence

RIA Intelligence

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SEC-registered adviser

C•••••••• C••• C•• A•••••••• L••

Independent wealth managerSandwich, MassachusettsCRD 133301SEC 801-113572website IAPD

Legal name F••••• G•••••• C••••••

Latest filing Jan 8, 2026

First filing on the tape Jun 7, 2018 · 14 filings

SEC status approved since Jul 9, 2018

RAUM

$195M

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

100%

$195M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$195M

derived; firm RAUM over IAPD count

Employees

0 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

14 filings and snapshots on the tape

RAUM$195M as of Jan 8, 2026

Mar 8, 2019$107M then

HNW client RAUM$68.2M as of Jan 8, 2026

Mar 8, 2019$95.1M then

State-registered IARs (5.B.3)0 as of Jan 8, 2026

Mar 8, 20191 then

Employees (5.A)2 as of Jan 8, 2026

Mar 8, 20191 then

Private funds: no history

RAUM +20% over the last fiscal year+9.6% a year over threeIARs 2 to 0

Practice profile

derived from the filing of Jan 8, 2026; every figure names its basis

Archetypes, each a printed rule

Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $195MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 123derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.0MderivedHNW RAUM over HNW clients
Average account: $737,801derivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +20%derivedbetween the last two annual amendments
Advisor growth, one year: -100%derivedItem 5.B.3 between annual amendments
Client growth, one year: -3.1%derived
Compensation: percentage of assets, 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

buys or sells securities as principal to or from clients (8.A.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$127M65%
High-net-worth individuals$68.2M35%

Individual clients: 55reported
HNW clients: 68reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 264reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
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•••••• C•••••• F•••••Certified Financial Planner	Sandwich, Ma	Mar 14, 2005	38 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 headcount1 left over 36 months

Left, latest

V•••••• C•••••• R••••• to P••• 4• A•••••••
Oct 20, 2023 · RIA to a state-registered adviser

Joined, latest

V•••••• C•••••• R••••• from A••••••••• F•••••••• S•••••••• L••
May 27, 2021 · Affiliated broker-dealer or bank to independent RIA

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

F•••••• G••••••• C•••••• · Principal/ Ownercontrol
since 01/1997 · owns 75% or more
H••••••••• J•••• A•• · Chief Compliance Officercontrol
since 11/2023 · owns less than 5%

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
Sandwich, Ma · principal	1	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

2 against comparable advisers; where to look, not conclusions

low discretionary shareStatic outlier · filing Jan 8, 2026
discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)
peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
account count collapseChange between filings · filing Jan 8, 2026
accounts (Item 5.F.2.f) moved from 429.0 to 264.0 (-38.0%) between the annual amendments of 2025-03-03 and 2026-01-08; the peer median change was +5.0% (3685 comparable advisers, 4.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (3,685) · 4.2% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 429 to 264
Mar 3, 2025 to Jan 8, 2026
Advisory employees · 2 to 0
Mar 3, 2025 to Jan 8, 2026
HNW clients · 70 to 68
Mar 3, 2025 to Jan 8, 2026
Individual clients · 57 to 55
Mar 3, 2025 to Jan 8, 2026
State-registered IARs · 2 to 0
Mar 3, 2025 to Jan 8, 2026
HNW RAUM · $40.9M to $68.2M
Mar 3, 2025 to Jan 8, 2026
Individual RAUM · $121M to $127M
Mar 3, 2025 to Jan 8, 2026
Non-discretionary RAUM · $162M to $195M
Mar 3, 2025 to Jan 8, 2026
RAUM · $162M to $195M
Mar 3, 2025 to Jan 8, 2026
Accounts · 392 to 429
Mar 8, 2024 to Mar 3, 2025
HNW clients · 73 to 70
Mar 8, 2024 to Mar 3, 2025
Individual clients · 61 to 57
Mar 8, 2024 to Mar 3, 2025
Financial planning clients · 101-250 to 101-250
Mar 8, 2024 to Mar 3, 2025
Discretionary RAUM · $57.2M to $0
Mar 8, 2024 to Mar 3, 2025
HNW RAUM · $39.5M to $40.9M
Mar 8, 2024 to Mar 3, 2025
Individual RAUM · $117M to $121M
Mar 8, 2024 to Mar 3, 2025
Non-discretionary RAUM · $99.1M to $162M
Mar 8, 2024 to Mar 3, 2025
RAUM · $156M to $162M
Mar 8, 2024 to Mar 3, 2025
Accounts · 464 to 392
Nov 14, 2023 to Mar 8, 2024
HNW clients · 97 to 73
Nov 14, 2023 to Mar 8, 2024
Individual clients · 60 to 61
Nov 14, 2023 to Mar 8, 2024
Discretionary RAUM · $0 to $57.2M
Nov 14, 2023 to Mar 8, 2024
HNW RAUM · $126M to $39.5M
Nov 14, 2023 to Mar 8, 2024
Individual RAUM · $22.2M to $117M
Nov 14, 2023 to Mar 8, 2024
Non-discretionary RAUM · $148M to $99.1M
Nov 14, 2023 to Mar 8, 2024
RAUM · $148M to $156M
Nov 14, 2023 to Mar 8, 2024
Accounts · 455 to 464
Mar 17, 2022 to Mar 15, 2023
HNW clients · 91 to 97
Mar 17, 2022 to Mar 15, 2023
Individual clients · 53 to 60
Mar 17, 2022 to Mar 15, 2023
HNW RAUM · $135M to $126M
Mar 17, 2022 to Mar 15, 2023
Individual RAUM · $23.8M to $22.2M
Mar 17, 2022 to Mar 15, 2023
Non-discretionary RAUM · $158M to $148M
Mar 17, 2022 to Mar 15, 2023
RAUM · $158M to $148M
Mar 17, 2022 to Mar 15, 2023
Accounts · 407 to 455
Feb 1, 2021 to Mar 17, 2022
Advisory employees · 1 to 2
Feb 1, 2021 to Mar 17, 2022
HNW clients · 83 to 91
Feb 1, 2021 to Mar 17, 2022
Individual clients · 46 to 53
Feb 1, 2021 to Mar 17, 2022
Employees · 1 to 2
Feb 1, 2021 to Mar 17, 2022
State-registered IARs · 1 to 2
Feb 1, 2021 to Mar 17, 2022
HNW RAUM · $131M to $135M
Feb 1, 2021 to Mar 17, 2022

Signals

4 dated events

Ann J••• H•••••••• (Chief Compliance Officer) appeared on Schedule A of C•••••••• C••• C•• A•••••••• L••
Nov 14, 2023 · Control person joined · fact
V•••••• C•••••• R••••• left C•••••••• C••• C•• A•••••••• L•• for P••• 4• A••••••• (registered 2023-07-26)
Oct 20, 2023 · Advisor changed firm · fact
C•••••••• C••• C•• A•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
Jan 14, 2021 · Succession (Item 4) · fact
C•••••••• C••• C•• A••••••• filed its initial SEC registration (Form ADV)
Jun 7, 2018 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

C•••••••• C••• C•• A••••••• · Venture Capital
shared crd · org

How to reach

public business contact points only, each with its source

Website: C••••••••C•••.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 508-888-9300reportedpublic record, Form ADV, Jan 8, 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: $195Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026