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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

T•••••••• F•••••••• G•••• I••

Former SEC-registered adviserCambridge, MassachusettsCRD 133360SEC 801-120859IAPD
Latest filing Aug 7, 2023
First filing on the tape Apr 20, 2012 · 5 filings
RAUM
$100M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$100M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$100M as of Aug 7, 2023
Apr 1, 2022$120M then
HNW client RAUM$96.3M as of Aug 7, 2023
Apr 1, 2022$116M then
State-registered IARs (5.B.3)1 as of Aug 7, 2023
Apr 1, 20221 then
Employees (5.A)2 as of Aug 7, 2023
Apr 1, 20222 then
Private funds: no history
RAUM -17% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Aug 7, 2023; every figure names its basis
RAUM per advisor
$100MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
43derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.1MderivedHNW RAUM over HNW clients
Average account
$2.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
-17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-10%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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$96.3M96%
  • Individuals$3.9M3.9%
Individual clients
12reported
HNW clients
31reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
43reported
Financial planning clients
1-10reported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M•••••• R•••••• G•••• · Chief Compliance Officercontrol
      since 01/2002 · owns 75% or more
    Related persons
    Schedule D 7.A
    • R••••• M•••••
      insurancey
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 48 to 43
      Apr 1, 2022 to Aug 7, 2023
    • HNW clients · 38 to 31
      Apr 1, 2022 to Aug 7, 2023
    • Individual clients · 10 to 12
      Apr 1, 2022 to Aug 7, 2023
    • Discretionary RAUM · $120M to $100M
      Apr 1, 2022 to Aug 7, 2023
    • HNW RAUM · $116M to $96.3M
      Apr 1, 2022 to Aug 7, 2023
    • Individual RAUM · $4.5M to $3.9M
      Apr 1, 2022 to Aug 7, 2023
    • RAUM · $120M to $100M
      Apr 1, 2022 to Aug 7, 2023
    • Accounts · 52 to 48
      Oct 21, 2021 to Apr 1, 2022
    • HNW clients · 41 to 38
      Oct 21, 2021 to Apr 1, 2022
    • Individual clients · 11 to 10
      Oct 21, 2021 to Apr 1, 2022
    • Discretionary RAUM · $118M to $120M
      Oct 21, 2021 to Apr 1, 2022
    • HNW RAUM · $113M to $116M
      Oct 21, 2021 to Apr 1, 2022
    • Individual RAUM · $4.6M to $4.5M
      Oct 21, 2021 to Apr 1, 2022
    • RAUM · $118M to $120M
      Oct 21, 2021 to Apr 1, 2022
    • Accounts · 60 to 52
      Apr 20, 2012 to Mar 19, 2021
    • Advisory employees · unset to 1.0
      Apr 20, 2012 to Mar 19, 2021
    • BD registered reps · unset to 0.0
      Apr 20, 2012 to Mar 19, 2021
    • HNW clients · unset to 41.0
      Apr 20, 2012 to Mar 19, 2021
    • Individual clients · unset to 11.0
      Apr 20, 2012 to Mar 19, 2021
    • Commission compensation · true to false
      Apr 20, 2012 to Mar 19, 2021
    • Employees · unset to 2.0
      Apr 20, 2012 to Mar 19, 2021
    • State-registered IARs · 0 to 1
      Apr 20, 2012 to Mar 19, 2021
    • Other offices · unset to 0.0
      Apr 20, 2012 to Mar 19, 2021
    • Discretionary RAUM · $0 to $118M
      Apr 20, 2012 to Mar 19, 2021
    • HNW RAUM · unset to 113269541.0
      Apr 20, 2012 to Mar 19, 2021
    • Individual RAUM · unset to 4587069.0
      Apr 20, 2012 to Mar 19, 2021
    • Non-discretionary RAUM · $73.0M to $0
      Apr 20, 2012 to Mar 19, 2021
    • RAUM · $73.0M to $118M
      Apr 20, 2012 to Mar 19, 2021
    • Related insurance company · false to true
      Apr 20, 2012 to Mar 19, 2021
    Signals
    2 dated events
    • R••••• G• M••••• left T•••••••• F•••••••• G•••• I•• for B• R•••• W••••• A•••••••• I••• (registered 2023-01-20)
      Aug 7, 2023 · Advisor changed firm · fact
    • T•••••••• F•••••••• G•••• I•• filed its initial SEC registration (Form ADV)
      Mar 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.
    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