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
N•• F••••••••• L••
Latest filing Aug 26, 2026
First filing on the tape Oct 16, 2023 · 7 filings
SEC status approved since Nov 15, 2023
RAUM
$71.9M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$71.9M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$71.9M
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
7 filings and snapshots on the tape
RAUM$71.9M as of Aug 26, 2026
Sep 6, 2024$39.1M then
HNW client RAUM: $53.7M
State-registered IARs (5.B.3)1 as of Aug 26, 2026
Sep 6, 20241 then
Employees (5.A)1 as of Aug 26, 2026
Sep 6, 20241 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $71.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 112derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $594,080derivedRAUM 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
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- 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$53.7M75%
- Individuals$18.2M25%
- Individual clients
- 88reported
- HNW clients
- 24reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 121reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••• G••••• C•••••••Certified Financial Planner | Bayside, Ny | Oct 5, 2021 | 32 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• N•••• G••••• · Managing Member/Chief Compliance Officercontrolsince 03/2000 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Aug 26, 2026discretionary share of RAUM of 0% against a peer median of 100% (310 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, under $100M (310) · 0.0% percentile
- compensation changedChange between filings · filing Aug 26, 2026commissions (Item 5.E.5): yes on the filing of 2026-06-02, no on the filing of 2026-08-26peers: independent wealth managers, under $100M (704)
- compensation changedChange between filings · filing Aug 26, 2026hourly charges (Item 5.E.2): yes on the filing of 2026-06-02, no on the filing of 2026-08-26peers: independent wealth managers, under $100M (704)
What changed
consecutive filings, newest first
- Accounts · 108 to 121Jun 2, 2026 to Aug 26, 2026
- Advisory activities · 3 to 2Jun 2, 2026 to Aug 26, 2026
- HNW clients · unset to 24.0Jun 2, 2026 to Aug 26, 2026
- Individual clients · 78 to 88Jun 2, 2026 to Aug 26, 2026
- Commission compensation · true to falseJun 2, 2026 to Aug 26, 2026
- HNW RAUM · unset to 53659527.0Jun 2, 2026 to Aug 26, 2026
- Individual RAUM · $57.1M to $18.2MJun 2, 2026 to Aug 26, 2026
- Non-discretionary RAUM · $57.1M to $71.9MJun 2, 2026 to Aug 26, 2026
- RAUM · $57.1M to $71.9MJun 2, 2026 to Aug 26, 2026
- Accounts · 76 to 108Nov 12, 2024 to Sep 2, 2025
- Individual clients · 61 to 78Nov 12, 2024 to Sep 2, 2025
- Financial planning clients · 26-50 to 51-100Nov 12, 2024 to Sep 2, 2025
- Individual RAUM · $39.1M to $57.1MNov 12, 2024 to Sep 2, 2025
- Non-discretionary RAUM · $39.1M to $57.1MNov 12, 2024 to Sep 2, 2025
- RAUM · $39.1M to $57.1MNov 12, 2024 to Sep 2, 2025
- Accounts · 56 to 76Nov 22, 2023 to Sep 6, 2024
- Individual clients · 48 to 61Nov 22, 2023 to Sep 6, 2024
- Individual RAUM · $25.9M to $39.1MNov 22, 2023 to Sep 6, 2024
- Non-discretionary RAUM · $25.9M to $39.1MNov 22, 2023 to Sep 6, 2024
- RAUM · $25.9M to $39.1MNov 22, 2023 to Sep 6, 2024
Signals
1 dated events
- N•• F••••••••• L•• filed its initial SEC registration (Form ADV)Oct 16, 2023 · 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
- Website
- H•••://WWW.C•••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 718-423-1100reportedpublic record, Form ADV, Aug 26, 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
- $71.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026