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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
G•••••••• W••••• M••••••••• L••
Latest filing Jul 28, 2026
First filing on the tape Mar 29, 2012 · 48 filings
SEC status approved since Mar 20, 2008
RAUM
$3.5B
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
64%
$2.2B individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$293M
derived; firm RAUM over IAPD count
Employees
13
11 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
48 filings and snapshots on the tape
RAUM$3.5B as of Jul 28, 2026
Mar 29, 2012$1.2B then
HNW client RAUM$2.2B as of Jul 28, 2026
Mar 28, 2018$703M then
State-registered IARs (5.B.3)12 as of Jul 28, 2026
Mar 29, 20120 then
Employees (5.A)13 as of Jul 28, 2026
Mar 26, 20136 then
Private funds: 1
RAUM +30% over the last fiscal year+20% a year over threeIARs 11 to 12
Practice profile
derived from the filing of Jul 28, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $293MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $5.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 4.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +9.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +26%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- $39.2MreportedItem 5.I
- 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$2.2B63%
- Corporations and businesses$1.2B33%
- Charitable organizations$73.3M2.1%
- Pension and profit-sharing plans$35.5M1.0%
- Individuals$16.0M0.5%
- Individual clients
- 98reported
- HNW clients
- 491reported
- Pension plan clients
- 6reported
- Charitable clients
- 10reported
- Accounts
- 625reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $39.2M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.64 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• J•••• S••••••• | G••••••••, Ct | Apr 21, 2009 | 19 y | 0 |
| V•••• J••••••••Chartered Financial Analyst | Wayland, Ma | Aug 16, 2010 | 16 y | 0 |
| M•••••• J•••• F••••••• | West Palm Beach, Fl | Dec 13, 2010 | 24 y | 1 |
| H•••• E••••• F••••• | G••••••••, Ct | Oct 14, 2011 | 16 y | 0 |
| R••••• S•••• L••••••••• | G••••••••, Ct | Apr 18, 2016 | 12 y | 0 |
| P••• J• L••••Chartered Financial Analyst | G••••••••, Ct | May 20, 2019 | 18 y | 0 |
| J•••••• H•••• K••••••• | G••••••••, Ct | Mar 6, 2020 | 13 y | 0 |
| F•••••• J••••• G••••••• | G••••••••, Ct | Feb 6, 2021 | 16 y | 0 |
| C•••••• W• T••••••Certified Financial Planner, Chartered Financial Analyst | G••••••••, Ct | May 28, 2024 | 12 y | 1 |
| C••••••••• J•••••••• A•••• P••••• | G••••••••, Ct | Oct 9, 2024 | 30 y | 5 |
| H•••••• M••••• P••••• | G••••••••, Ct | Oct 9, 2024 | 30 y | 5 |
| D••••• M••••• J•••• | G••••••••, Ct | Aug 1, 2025 | 12 y | 1 |
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
- T••••• J••••• B•••• to B•••••••• W••••• M••••••••• L••Jan 4, 2017 · Other
Joined, latest
- D••••• M••••• J•••• from C••••••••• G••••• S••••••••• L••Aug 1, 2025 · Other
- C••••••••• J•••••••• A•••• P••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 9, 2024 · Affiliated broker-dealer or bank to independent RIA
- H•••••• M••••• P••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 9, 2024 · Affiliated broker-dealer or bank to independent RIA
- C•••••• W• T•••••• from C•••••••• A•••••••May 28, 2024 · RIA to RIA
- T••••• J••••• B•••• from W•••• F•••• A•••••••Feb 2, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Oct 3, 2024 · G••••••••, Ct
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L•••••••• O•••••• S•••••••• L••no longer reported | Hedge Fund | $47,437 | 10 | Dec 12, 2016 |
Owners and control persons
Schedule A and B, latest filing
- F•••••••• M••••••• J•••• · Managing Membercontrolsince 01/2007 · owns 75% or more
- S•••••••• D•••••• J•••• · Chief Compliance Officer, Membercontrolsince 03/2023 · owns 5% to 10%
- F•••••• H••••• E••••• · Membersince 03/2023 · owns 10% to 25%
- K•••••••• J••••••• H•••• · Membersince 03/2023 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| G••••••••, Ct · principal | 10 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- West Palm Beach, FL1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 495 to 625Mar 26, 2025 to Mar 25, 2026
- Advisory activities · 6 to 5Mar 26, 2025 to Mar 25, 2026
- Charity clients · 9 to 10Mar 26, 2025 to Mar 25, 2026
- Corporate clients · 13 to 20Mar 26, 2025 to Mar 25, 2026
- HNW clients · 395 to 491Mar 26, 2025 to Mar 25, 2026
- Individual clients · 74 to 98Mar 26, 2025 to Mar 25, 2026
- Pension plan clients · unset to 6.0Mar 26, 2025 to Mar 25, 2026
- Insurance-licensed employees · 0 to 12Mar 26, 2025 to Mar 25, 2026
- Financial planning clients · 51-100 to 101-250Mar 26, 2025 to Mar 25, 2026
- State-registered IARs · 11 to 12Mar 26, 2025 to Mar 25, 2026
- Discretionary RAUM · $2.3B to $2.9BMar 26, 2025 to Mar 25, 2026
- HNW RAUM · $1.4B to $2.2BMar 26, 2025 to Mar 25, 2026
- Individual RAUM · $10.4M to $16.0MMar 26, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $391M to $634MMar 26, 2025 to Mar 25, 2026
- Pension RAUM · $8.7M to $35.5MMar 26, 2025 to Mar 25, 2026
- RAUM · $2.7B to $3.5BMar 26, 2025 to Mar 25, 2026
- Wrap assets (sponsor) · $29.6M to $39.2MMar 26, 2025 to Mar 25, 2026
- Accounts · 393 to 495Mar 27, 2024 to Mar 26, 2025
- Advisory employees · 8 to 11Mar 27, 2024 to Mar 26, 2025
- Corporate clients · 11 to 13Mar 27, 2024 to Mar 26, 2025
- HNW clients · 316 to 395Mar 27, 2024 to Mar 26, 2025
- Individual clients · 52 to 74Mar 27, 2024 to Mar 26, 2025
- Pension plan clients · 5.0 to unsetMar 27, 2024 to Mar 26, 2025
- Employees · 11 to 13Mar 27, 2024 to Mar 26, 2025
- Financial planning clients · 51-100 to 51-100Mar 27, 2024 to Mar 26, 2025
- State-registered IARs · 8 to 11Mar 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.9B to $2.3BMar 27, 2024 to Mar 26, 2025
- HNW RAUM · $1.2B to $1.4BMar 27, 2024 to Mar 26, 2025
- Individual RAUM · $6.9M to $10.4MMar 27, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $238M to $391MMar 27, 2024 to Mar 26, 2025
- Pension RAUM · $7.8M to $8.7MMar 27, 2024 to Mar 26, 2025
- RAUM · $2.2B to $2.7BMar 27, 2024 to Mar 26, 2025
- Wrap assets (manager) · unset to 0.0Mar 27, 2024 to Mar 26, 2025
- Wrap assets (sponsor) · unset to 29604144.0Mar 27, 2024 to Mar 26, 2025
- Accounts · 397 to 393Jan 3, 2024 to Mar 27, 2024
- HNW clients · 332 to 316Jan 3, 2024 to Mar 27, 2024
- Individual clients · 39 to 52Jan 3, 2024 to Mar 27, 2024
- Pension plan clients · 6 to 5Jan 3, 2024 to Mar 27, 2024
- Discretionary RAUM · $1.8B to $1.9BJan 3, 2024 to Mar 27, 2024
- HNW RAUM · $1.2B to $1.2BJan 3, 2024 to Mar 27, 2024
Signals
3 dated events
- G•••••••• W••••• M••••••••• L•• reported RAUM $3.5B, up 30% from $2.7B (2025-03-26 to 2026-03-25)Mar 25, 2026 · RAUM change · derived
- 2 advisors left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (G••••••••, CT) for G•••••••• W••••• M••••••••• L•• on the same dayOct 3, 2024 · Team lift-out · derived
- G•••••••• W••••• M••••••••• L•• reported RAUM $2.2B, up 55% from $1.4B (2020-12-08 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
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
- Business email
- information@greenwichwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- rob@greenwichwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- skip@greenwichwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 203-273-0801reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 203-349-2700reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 203-552-2125reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-618-0100reportedpublic record, Form ADV, Jul 28, 2026
- Team page
- greenwichwealth.com/meet-our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $293Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026