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
G•••••• C•••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 28, 2020 · 9 filings
SEC status approved since Apr 27, 2020
RAUM
$94.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
42%
$39.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$94.0M as of Mar 30, 2026
Mar 31, 2021$53.5M then
HNW client RAUM$37.0M as of Mar 30, 2026
Mar 31, 2021$14.0M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 31, 20210 then
Employees (5.A)2 as of Mar 30, 2026
Mar 31, 20211 then
Private funds1 as of Mar 27, 2025
Mar 31, 20211 then
RAUM +6.9% over the last fiscal year+24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $2.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 48%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$37.0M43%
- Insurance companies$34.1M40%
- Charitable organizations$6.5M7.7%
- Pension and profit-sharing plans$4.7M5.5%
- Individuals$2.8M3.3%
- Individual clients
- 12reported
- HNW clients
- 16reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 36reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.42 fund_share=0.0 institutional_share=0.48 related_bd=false related_bank=false bd_reps=0.0derived
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••• O•••• to S•••••••• F••••••••• I•••Apr 28, 2011 · Other
Joined, latest
- J••• M••• O•••• from A••••••• G•••••• S••••••••• I•••••••••Feb 6, 2006 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•••••• L••••••••• F•••• L• | Hedge Fund | $9.5M | 6 | Mar 28, 2020 |
Owners and control persons
Schedule A and B, latest filing
- S••••••• A•••• H•••••••• · Managing Member & Ccocontrolsince 12/2002 · owns 75% or more
Related persons
Schedule D 7.A
- G•••••• G•••••• P••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 30, 2026institutional share of RAUM of 48% against a peer median of 0% (311 comparable advisers, 99.0th percentile, 16.2 robust deviations)peers: independent wealth managers, under $100M (311) · 99% percentile
- business activity changedChange between filings · filing Mar 30, 2026advises private funds (Item 7.B): yes on the filing of 2025-03-27, no on the filing of 2026-03-30peers: independent wealth managers, under $100M (707)
- business activity changedChange between filings · filing Mar 30, 2026portfolio management for pooled vehicles (Item 5.G.4): yes on the filing of 2025-03-27, no on the filing of 2026-03-30peers: independent wealth managers, under $100M (707)
What changed
consecutive filings, newest first
- Advisory activities · 3 to 2Mar 27, 2025 to Mar 30, 2026
- HNW clients · 12 to 16Mar 27, 2025 to Mar 30, 2026
- Individual clients · 16 to 12Mar 27, 2025 to Mar 30, 2026
- Pension plan clients · 0.0 to unsetMar 27, 2025 to Mar 30, 2026
- Pooled vehicle clients · 1.0 to unsetMar 27, 2025 to Mar 30, 2026
- Assets in custody · unset to 0.0Mar 27, 2025 to Mar 30, 2026
- Private funds · 1 to unsetMar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $84.9M to $94.0MMar 27, 2025 to Mar 30, 2026
- HNW RAUM · $25.5M to $37.0MMar 27, 2025 to Mar 30, 2026
- Individual RAUM · $5.4M to $2.8MMar 27, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $3.1M to $0Mar 27, 2025 to Mar 30, 2026
- Pension RAUM · unset to 4654931.0Mar 27, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · 12533763.0 to unsetMar 27, 2025 to Mar 30, 2026
- RAUM · $88.0M to $94.0MMar 27, 2025 to Mar 30, 2026
- Accounts · 48 to 36Mar 1, 2024 to Mar 27, 2025
- Individual clients · 13 to 16Mar 1, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Mar 1, 2024 to Mar 27, 2025
- Discretionary RAUM · $65.2M to $84.9MMar 1, 2024 to Mar 27, 2025
- HNW RAUM · $19.7M to $25.5MMar 1, 2024 to Mar 27, 2025
- Individual RAUM · $4.1M to $5.4MMar 1, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $2.6M to $3.1MMar 1, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $9.5M to $12.5MMar 1, 2024 to Mar 27, 2025
- RAUM · $67.9M to $88.0MMar 1, 2024 to Mar 27, 2025
- Accounts · 32 to 48Mar 28, 2023 to Mar 1, 2024
- HNW clients · 8 to 12Mar 28, 2023 to Mar 1, 2024
- Individual clients · 17 to 13Mar 28, 2023 to Mar 1, 2024
- Discretionary RAUM · $47.4M to $65.2MMar 28, 2023 to Mar 1, 2024
- HNW RAUM · $10.6M to $19.7MMar 28, 2023 to Mar 1, 2024
- Individual RAUM · $6.3M to $4.1MMar 28, 2023 to Mar 1, 2024
- Non-discretionary RAUM · $2.0M to $2.6MMar 28, 2023 to Mar 1, 2024
- Pooled vehicle RAUM · $7.4M to $9.5MMar 28, 2023 to Mar 1, 2024
- RAUM · $49.5M to $67.9MMar 28, 2023 to Mar 1, 2024
- Accounts · 38 to 32Mar 31, 2022 to Mar 27, 2023
- Advisory employees · 1 to 2Mar 31, 2022 to Mar 27, 2023
- Charity clients · 1.0 to unsetMar 31, 2022 to Mar 27, 2023
- HNW clients · 22 to 8Mar 31, 2022 to Mar 27, 2023
- Individual clients · 11 to 17Mar 31, 2022 to Mar 27, 2023
- Assets in custody · 16418662.0 to unsetMar 31, 2022 to Mar 27, 2023
- Custody of client assets · true to falseMar 31, 2022 to Mar 27, 2023
- Employees · 1 to 2Mar 31, 2022 to Mar 27, 2023
Signals
1 dated events
- G•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 28, 2020 · 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 917-558-4968reportedpublic record, Form ADV, Mar 30, 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
- Wealth manager with institutional or fund businessderiveda 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