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
G••• H••••• A•••••••• I•••
Latest filing Jun 26, 2026
First filing on the tape Feb 14, 2018 · 20 filings
SEC status approved since Mar 16, 2018
RAUM
$334M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$332M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$83.4M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$334M as of Jun 26, 2026
Feb 11, 2019$130M then
HNW client RAUM$258M as of Jun 26, 2026
Feb 11, 2019$73.5M then
State-registered IARs (5.B.3)4 as of Jun 26, 2026
Feb 11, 20194 then
Employees (5.A)4 as of Jun 26, 2026
Feb 11, 20194 then
Private funds: no history
RAUM +15% over the last fiscal year+11% a year over threeIARs 4 to 4offices 2 to 1
Practice profile
derived from the filing of Jun 26, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $83.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $517,439derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $57.1M, 42 clientsreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- 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
- High-net-worth individuals$258M77%
- Individuals$74.5M22%
- Corporations and businesses$826,9510.2%
- Charitable organizations$697,8600.2%
- Individual clients
- 157reported
- HNW clients
- 88reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 645reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $57.1M for 42 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• I•••• C•••••• | Gloucester, Ma | Apr 23, 2007 | 40 y | 3 |
| M•••••• M••••• B••••• | Gloucester, Ma | Jun 7, 2010 | 26 y | 0 |
| A••• P•••••• | Gloucester, Ma | Jun 7, 2010 | 19 y | 0 |
| L••••• R••••• M•••• | Gloucester, Ma | Dec 2, 2013 | 13 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
none on the tape
Joined, latest
- L••••• R••••• M•••• from L•• F•••••••• L••Dec 2, 2013 · Other
- D•••• I•••• C•••••• from N••• F•••••••• G••••• I•••Apr 23, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• M••••••• M••••• · Secretary/Directorcontrolsince 02/2007 · owns 50% to 75%
- C••••••• D••••• I•••• · President/Treasurer/Director/Chief Compliance Officercontrolsince 02/2007 · owns 50% to 75%
Related persons
Schedule D 7.A
- B••••• • C••••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Gloucester, Ma · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Gloucester, MA1 employees
- Napa, CA1 employees
What changed
consecutive filings, newest first
- Corporate clients · 4 to 3Mar 17, 2025 to Mar 24, 2026
- HNW clients · 86 to 88Mar 17, 2025 to Mar 24, 2026
- Individual clients · 140 to 157Mar 17, 2025 to Mar 24, 2026
- Pension plan clients · 2 to 0Mar 17, 2025 to Mar 24, 2026
- Assets in custody · $48.8M to $57.1MMar 17, 2025 to Mar 24, 2026
- Financial planning clients · 11-25 to 1-10Mar 17, 2025 to Mar 24, 2026
- Other offices · 2 to 1Mar 17, 2025 to Mar 24, 2026
- Discretionary RAUM · $290M to $334MMar 17, 2025 to Mar 24, 2026
- HNW RAUM · $221M to $258MMar 17, 2025 to Mar 24, 2026
- Individual RAUM · $65.6M to $74.5MMar 17, 2025 to Mar 24, 2026
- RAUM · $290M to $334MMar 17, 2025 to Mar 24, 2026
- Accounts · 641 to 645Dec 13, 2024 to Mar 17, 2025
- HNW clients · 74 to 86Dec 13, 2024 to Mar 17, 2025
- Individual clients · 192 to 140Dec 13, 2024 to Mar 17, 2025
- Pension plan clients · 5 to 2Dec 13, 2024 to Mar 17, 2025
- Assets in custody · $48.8M to $48.8MDec 13, 2024 to Mar 17, 2025
- Financial planning clients · 11-25 to 11-25Dec 13, 2024 to Mar 17, 2025
- Discretionary RAUM · $269M to $290MDec 13, 2024 to Mar 17, 2025
- HNW RAUM · $194M to $221MDec 13, 2024 to Mar 17, 2025
- Individual RAUM · $71.2M to $65.6MDec 13, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $94,394 to $0Dec 13, 2024 to Mar 17, 2025
- RAUM · $269M to $290MDec 13, 2024 to Mar 17, 2025
- Assets in custody · unset to 48787360.0Feb 20, 2024 to Dec 13, 2024
- Custody of client assets · false to trueFeb 20, 2024 to Dec 13, 2024
- Accounts · 634 to 641Feb 17, 2023 to Feb 15, 2024
- Charity clients · 2 to 1Feb 17, 2023 to Feb 15, 2024
- Corporate clients · 3 to 4Feb 17, 2023 to Feb 15, 2024
- HNW clients · 71 to 74Feb 17, 2023 to Feb 15, 2024
- Individual clients · 175 to 192Feb 17, 2023 to Feb 15, 2024
- Financial planning clients · 1-10 to 11-25Feb 17, 2023 to Feb 15, 2024
- Discretionary RAUM · $241M to $269MFeb 17, 2023 to Feb 15, 2024
- HNW RAUM · $176M to $194MFeb 17, 2023 to Feb 15, 2024
- Individual RAUM · $60.9M to $71.2MFeb 17, 2023 to Feb 15, 2024
- Non-discretionary RAUM · $72,611 to $94,394Feb 17, 2023 to Feb 15, 2024
- RAUM · $241M to $269MFeb 17, 2023 to Feb 15, 2024
- Accounts · 588 to 634Feb 23, 2022 to Feb 17, 2023
- Charity clients · 1 to 2Feb 23, 2022 to Feb 17, 2023
- Corporate clients · 1 to 3Feb 23, 2022 to Feb 17, 2023
- Individual clients · 155 to 175Feb 23, 2022 to Feb 17, 2023
- Insurance-licensed employees · 2 to 1Feb 23, 2022 to Feb 17, 2023
Signals
1 dated events
- G••• H••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Feb 14, 2018 · 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
- Business phone
- 978-515-7119reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 978-515-7119reportedpublic record, Form ADV, Jun 26, 2026
- Team page
- goodharboradvisors.com/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
- $83.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026