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.
Former SEC-registered adviser
Gassman Financial Group
Legal name G&G Planning Concepts, Inc.
Latest filing Jun 11, 2024
First filing on the tape Jun 19, 2013 · 17 filings
SEC status approved since Jul 5, 2013
RAUM
$50.1M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
99%
$49.5M 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
17 filings and snapshots on the tape
RAUM$50.1M as of Mar 29, 2024
Mar 28, 2014$44.8M then
HNW client RAUM$47.0M as of Mar 29, 2024
Mar 30, 2018$32.3M then
State-registered IARs (5.B.3)0 as of Mar 29, 2024
Mar 28, 20140 then
Employees (5.A)1 as of Mar 29, 2024
Mar 28, 20143 then
Private funds: no history
RAUM -5.5% over the last fiscal year-7.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 11, 2024; every figure names its basis
- 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
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $659,257derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 1.2%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
- -5.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -34%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminars, 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$47.0M94%
- Individuals$2.5M5.0%
- Pension and profit-sharing plans$596,5531.2%
- Individual clients
- 8reported
- HNW clients
- 31reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 76reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
- Jonathan Lee Gassman to Newedge AdvisorsJan 2, 2025 · RIA to affiliated broker-dealer or bank
- Michael Harris Fliegelman to American Portfolios Advisors, IncNov 7, 2024 · RIA to affiliated broker-dealer or bank
- John Male to Citigroup Global Markets Inc.Nov 18, 2022 · RIA to affiliated broker-dealer or bank
- Jonathan Lee Gassman to American Portfolios Advisors, IncMar 27, 2013 · Other
Joined, latest
- Jonathan Lee Gassman from American Portfolios Advisors, IncJul 9, 2021 · Affiliated broker-dealer or bank to independent RIA
- Michael Harris Fliegelman from American Portfolios Advisors, IncOct 22, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lee Jonathan Gassman · President, Member And Chief Compliance Officercontrolsince 02/2006 · owns 75% or more
Related persons
Schedule D 7.A
- Gassman & Gassman Cpa Pcinsurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boca Raton, Fl | 0 | 0 | 0 | ||
| Delray Beach, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 91 to 76Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 2 to 1Mar 31, 2023 to Mar 29, 2024
- BD registered reps · 1 to 0Mar 31, 2023 to Mar 29, 2024
- HNW clients · 36 to 31Mar 31, 2023 to Mar 29, 2024
- Individual clients · 23 to 8Mar 31, 2023 to Mar 29, 2024
- Pension plan clients · 2 to 1Mar 31, 2023 to Mar 29, 2024
- Employees · 2 to 1Mar 31, 2023 to Mar 29, 2024
- Insurance-licensed employees · 1 to 0Mar 31, 2023 to Mar 29, 2024
- Financial planning clients · 11-25 to 1-10Mar 31, 2023 to Mar 29, 2024
- HQ city · NEW YORK to JERICHOMar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $44.9M to $42.8MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $48.4M to $47.0MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $3.6M to $2.5MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $8.1M to $7.3MMar 31, 2023 to Mar 29, 2024
- Pension RAUM · $1.0M to $596,553Mar 31, 2023 to Mar 29, 2024
- RAUM · $53.0M to $50.1MMar 31, 2023 to Mar 29, 2024
- Accounts · 106 to 91Nov 15, 2022 to Mar 31, 2023
- Advisory employees · 3 to 2Nov 15, 2022 to Mar 31, 2023
- BD registered reps · 2 to 1Nov 15, 2022 to Mar 31, 2023
- HNW clients · 44 to 36Nov 15, 2022 to Mar 31, 2023
- Individual clients · 21 to 23Nov 15, 2022 to Mar 31, 2023
- Employees · 3 to 2Nov 15, 2022 to Mar 31, 2023
- HQ city · unset to NEW YORKNov 15, 2022 to Mar 31, 2023
- HQ state · unset to NYNov 15, 2022 to Mar 31, 2023
- Discretionary RAUM · $59.6M to $44.9MNov 15, 2022 to Mar 31, 2023
- HNW RAUM · $63.5M to $48.4MNov 15, 2022 to Mar 31, 2023
- Individual RAUM · $6.5M to $3.6MNov 15, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $11.4M to $8.1MNov 15, 2022 to Mar 31, 2023
- Pension RAUM · $938,465 to $1.0MNov 15, 2022 to Mar 31, 2023
- RAUM · $71.0M to $53.0MNov 15, 2022 to Mar 31, 2023
- HQ city · NEW YORK to unsetMar 23, 2022 to Nov 15, 2022
- HQ state · NY to unsetMar 23, 2022 to Nov 15, 2022
- Accounts · 95 to 106Mar 15, 2021 to Mar 23, 2022
- HNW clients · 32 to 44Mar 15, 2021 to Mar 23, 2022
- Individual clients · 33 to 21Mar 15, 2021 to Mar 23, 2022
- Pension plan clients · unset to 2.0Mar 15, 2021 to Mar 23, 2022
- Discretionary RAUM · $38.6M to $59.6MMar 15, 2021 to Mar 23, 2022
- HNW RAUM · $54.4M to $63.5MMar 15, 2021 to Mar 23, 2022
- Individual RAUM · $8.7M to $6.5MMar 15, 2021 to Mar 23, 2022
- Non-discretionary RAUM · $25.1M to $11.4MMar 15, 2021 to Mar 23, 2022
Signals
5 dated events
- Gassman Financial Group no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $50.1M)Feb 3, 2025 · Left the SEC roster · derived
- Jonathan Lee Gassman left Gassman Financial Group for Newedge Advisors (registered 2024-08-19)Jan 2, 2025 · Advisor changed firm · fact
- Michael Harris Fliegelman left Gassman Financial Group for American Portfolios Advisors, Inc (registered 2023-06-01)Nov 7, 2024 · Advisor changed firm · fact
- John Male left Gassman Financial Group for Citigroup Global Markets Inc. (registered 2022-05-26)Nov 18, 2022 · Advisor changed firm · fact
- Gassman Financial Group filed its initial SEC registration (Form ADV)Jun 19, 2013 · 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