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

G•••• C••••••

Former SEC-registered adviserQuincy, MassachusettsCRD 139771SEC 801-67731IAPD
Latest filing Mar 29, 2022
First filing on the tape Feb 21, 2012 · 46 filings
RAUM
$203M
reported, Item 5.F
Discretionary
21%
of RAUM
Private clients
21%
$43.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
46 filings and snapshots on the tape
RAUM$203M as of Mar 29, 2022
Feb 21, 2012$72.3M then
HNW client RAUM$43.0M as of Mar 29, 2022
Feb 8, 2018$184M then
State-registered IARs (5.B.3)1 as of Mar 29, 2022
Mar 18, 20130 then
Employees (5.A)4 as of Mar 29, 2022
Mar 18, 20137 then
Private funds: 1
RAUM +3.9% over the last fiscal year-8.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 29, 2022; every figure names its basis
RAUM per advisor
$203MderivedRAUM 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
$4.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
21%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+3.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
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
  • 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
  • Other investment advisers$160M79%
  • High-net-worth individuals$43.0M21%
Individual clients
n/areported
HNW clients
29reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
49reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    A•• I••••••••• G••••no longer reportedOther Private Fund$7.3M20Feb 21, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • F•••••• C••••••••• V•••••• · Presidentcontrol
      since 02/2006 · owns 50% to 75%
    • N••••• S•••• U•••• · Partner
      since 01/2018 · owns less than 5%
    • R••••••• C•••••••• B••••••••• · Chief Compliance Officer
      since 09/2018 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 68 to 49
      Jun 30, 2021 to Mar 29, 2022
    • HNW clients · 67 to 29
      Jun 30, 2021 to Mar 29, 2022
    • Discretionary RAUM · $30.4M to $43.0M
      Jun 30, 2021 to Mar 29, 2022
    • HNW RAUM · $30.4M to $43.0M
      Jun 30, 2021 to Mar 29, 2022
    • Non-discretionary RAUM · $165M to $160M
      Jun 30, 2021 to Mar 29, 2022
    • RAUM · $195M to $203M
      Jun 30, 2021 to Mar 29, 2022
    • Advisory employees · 3 to 2
      Oct 20, 2020 to Mar 24, 2021
    • Employees · 5 to 4
      Oct 20, 2020 to Mar 24, 2021
    • Discretionary RAUM · $28.7M to $30.4M
      Oct 20, 2020 to Mar 24, 2021
    • HNW RAUM · $28.7M to $30.4M
      Oct 20, 2020 to Mar 24, 2021
    • Non-discretionary RAUM · $120M to $165M
      Oct 20, 2020 to Mar 24, 2021
    • RAUM · $149M to $195M
      Oct 20, 2020 to Mar 24, 2021
    • Advisory employees · 2 to 3
      Jun 24, 2020 to Sep 10, 2020
    • Employees · 4 to 5
      Jun 24, 2020 to Sep 10, 2020
    • RAUM · $266M to $149M
      Jul 1, 2019 to Mar 11, 2020
    • Accounts · 123 to 68
      Jul 1, 2019 to Mar 11, 2020
    • Advisory employees · 5 to 2
      Jul 1, 2019 to Mar 11, 2020
    • HNW clients · 98 to 67
      Jul 1, 2019 to Mar 11, 2020
    • Individual clients · 15.0 to unset
      Jul 1, 2019 to Mar 11, 2020
    • Pension plan clients · 2.0 to unset
      Jul 1, 2019 to Mar 11, 2020
    • Employees · 7 to 4
      Jul 1, 2019 to Mar 11, 2020
    • Discretionary RAUM · $170M to $28.7M
      Jul 1, 2019 to Mar 11, 2020
    • HNW RAUM · $185M to $28.7M
      Jul 1, 2019 to Mar 11, 2020
    • Individual RAUM · 2382813.0 to unset
      Jul 1, 2019 to Mar 11, 2020
    • Non-discretionary RAUM · $96.5M to $120M
      Jul 1, 2019 to Mar 11, 2020
    • Pension RAUM · 1574908.0 to unset
      Jul 1, 2019 to Mar 11, 2020
    • HQ city · BOSTON to QUINCY
      Mar 18, 2019 to Jul 1, 2019
    • Accounts · 238 to 123
      Sep 27, 2018 to Mar 18, 2019
    • Advisory employees · 6 to 5
      Sep 27, 2018 to Mar 18, 2019
    • HNW clients · 195 to 98
      Sep 27, 2018 to Mar 18, 2019
    • Individual clients · unset to 15.0
      Sep 27, 2018 to Mar 18, 2019
    • Pension plan clients · 29 to 2
      Sep 27, 2018 to Mar 18, 2019
    • Discretionary RAUM · $325M to $170M
      Sep 27, 2018 to Mar 18, 2019
    • HNW RAUM · $184M to $185M
      Sep 27, 2018 to Mar 18, 2019
    • Individual RAUM · $499,619 to $2.4M
      Sep 27, 2018 to Mar 18, 2019
    • Non-discretionary RAUM · $0 to $96.5M
      Sep 27, 2018 to Mar 18, 2019
    • Pension RAUM · $30.3M to $1.6M
      Sep 27, 2018 to Mar 18, 2019
    • RAUM · $325M to $266M
      Sep 27, 2018 to Mar 18, 2019
    • Legal name · C• M•••• I•• to G•••• C••••••
      Apr 4, 2018 to Sep 27, 2018
    • Accounts · 234 to 238
      Mar 27, 2017 to Feb 8, 2018
    Signals
    7 dated events
    • C•••••••• V•••••• F••••• left G•••• C•••••• for F••••••• I••••••••• M••••••••• L•• (registered 2022-11-17)
      Oct 20, 2022 · Advisor changed firm · fact
    • Marie Michelle Buckley (Partner) no longer on Schedule A of G•••• C•••••• (listed 2020-10-20, absent 2021-03-24)
      Mar 24, 2021 · Control person left · inference
    • Marie Michelle Buckley (Partner) appeared on Schedule A of G•••• C••••••
      Sep 10, 2020 · Control person joined · fact
    • G•••• C•••••• reported RAUM $149.0M, down 44% from $266.2M (2019-07-01 to 2020-03-11)
      Mar 11, 2020 · RAUM change · derived
    • Liou Jane Li (Partner) no longer on Schedule A of G•••• C•••••• (listed 2019-07-01, absent 2020-03-11)
      Mar 11, 2020 · Control person left · inference
    • Douglas Shawn Mikol (Partner) no longer on Schedule A of G•••• C•••••• (listed 2019-07-01, absent 2020-03-11)
      Mar 11, 2020 · Control person left · inference
    • Brian David Faddis (Partner) no longer on Schedule A of G•••• C•••••• (listed 2018-09-27, absent 2019-03-18)
      Mar 18, 2019 · Control person left · inference
    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