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

O••••••• G•••• L••

Former SEC-registered adviserPrinceton, New JerseyCRD 141057SEC 801-66936IAPD
Latest filing Mar 14, 2013
First filing on the tape Jan 19, 2012 · 3 filings
RAUM
$108M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$108M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$108M as of Mar 14, 2013
Jan 19, 2012$108M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 14, 2013
Jan 19, 20120 then
Employees (5.A): 6
Private funds: no history
RAUM +0.4% over the last fiscal yearIARs 0 to 1
Practice profile
derived from the filing of Mar 14, 2013; every figure names its basis
RAUM per advisor
$108MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$6.8MderivedRAUM 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
6.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.4%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications, 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
16reported
Financial planning clients
0reported
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
G••••• F••••••• B••••••••Princeton, NjMay 12, 202617 y2
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• G•••••• F• · Co-Presidentcontrol
        since 09/2009 · owns 10% to 25%
      • M•••••• C••••••• W•••••• · Chief Compliance Officer & Director Of Operationscontrol
        since 06/2006 · owns 10% to 25%
      • S•••••••• T•••••• J••• · Co-President & Chief Investment Officercontrol
        since 07/2008 · owns 25% to 50%
      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 · 17 to 16
        Jan 4, 2013 to Mar 14, 2013
      • Employees · 8 to 6
        Jan 4, 2013 to Mar 14, 2013
      • Non-discretionary RAUM · $108M to $108M
        Jan 4, 2013 to Mar 14, 2013
      • RAUM · $108M to $108M
        Jan 4, 2013 to Mar 14, 2013
      • Advisory employees · unset to 3.0
        Jan 19, 2012 to Jan 4, 2013
      • Employees · unset to 8.0
        Jan 19, 2012 to Jan 4, 2013
      • State-registered IARs · 0 to 1
        Jan 19, 2012 to Jan 4, 2013
      Signals
      No event on the tape.
      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
      O•••••••GRP.COMreportedpublic record, Form ADV, Sep 19, 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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $108Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026