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•••••• C•••••• A•••••••
Legal name G•••••• C•••••• A••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 31, 2017 · 20 filings
SEC status approved since Apr 14, 2017
RAUM
$421M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
78%
$326M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$421M as of Mar 30, 2026
Mar 31, 2018$149M then
HNW client RAUM$286M as of Mar 30, 2026
Mar 31, 2018$59.4M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 31, 20182 then
Employees (5.A)2 as of Mar 30, 2026
Mar 31, 20182 then
Private funds: no history
RAUM +6.6% over the last fiscal year+18% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 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
- 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
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +26%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$286M72%
- Corporations and businesses$67.0M17%
- Individuals$40.1M10%
- Other investment advisers$5.4M1.4%
- Individual clients
- 83reported
- HNW clients
- 96reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 293reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.78 fund_share=0.01 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F••••••• R••••• | Princeton, Nj | Jan 12, 2015 | 27 y | 0 |
| P•••••• J••• L••••Chartered Financial Analyst | Princeton, Nj | Jan 12, 2015 | 20 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
- P•••••• J••• L•••• from S•••••••• C•••••• L••Jan 12, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• P••••••• J••• · Member/Ccocontrolsince 03/2009 · owns 25% to 50%
- R•••••• F••••••• · Shareholdercontrolsince 01/2007 · owns 75% or more of M•••• G•••••• C•••••• I•••
Entity owners
- G•••••• C•••••• M••••••••• I••• · Memberdirect · owns 50% to 75%
- M•••• G•••••• C•••••• I••• · Shareholderindirect · owns 75% or more of G•••••• C•••••• M••••••••• I•••
Related persons
Schedule D 7.A
- G•••••• C•••••• A•••• M•••••••••investment advisernRAUM $599M
- G•••••• C••••••investment advisernRAUM $2.7B
Advisers that list G•••••• C•••••• A••••••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Princeton, Nj · principal | 4 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 262 to 293Mar 27, 2025 to Mar 30, 2026
- Corporate clients · 4 to 7Mar 27, 2025 to Mar 30, 2026
- HNW clients · 69 to 96Mar 27, 2025 to Mar 30, 2026
- Individual clients · 73 to 83Mar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $395M to $421MMar 27, 2025 to Mar 30, 2026
- HNW RAUM · $265M to $286MMar 27, 2025 to Mar 30, 2026
- Individual RAUM · $38.1M to $40.1MMar 27, 2025 to Mar 30, 2026
- RAUM · $395M to $421MMar 27, 2025 to Mar 30, 2026
- HQ state · unset to NJMar 27, 2024 to Mar 27, 2025
- Accounts · 279 to 262Mar 27, 2024 to Mar 27, 2025
- Corporate clients · 5 to 4Mar 27, 2024 to Mar 27, 2025
- HNW clients · 75 to 69Mar 27, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 27, 2025
- HQ city · unset to PRINCETONMar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $329M to $395MMar 27, 2024 to Mar 27, 2025
- HNW RAUM · $211M to $265MMar 27, 2024 to Mar 27, 2025
- Individual RAUM · $33.0M to $38.1MMar 27, 2024 to Mar 27, 2025
- RAUM · $329M to $395MMar 27, 2024 to Mar 27, 2025
- Accounts · 243 to 279Mar 30, 2023 to Mar 27, 2024
- Corporate clients · 7 to 5Mar 30, 2023 to Mar 27, 2024
- HNW clients · 113 to 75Mar 30, 2023 to Mar 27, 2024
- Individual clients · 114 to 73Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $258M to $329MMar 30, 2023 to Mar 27, 2024
- HNW RAUM · $151M to $211MMar 30, 2023 to Mar 27, 2024
- Individual RAUM · $28.9M to $33.0MMar 30, 2023 to Mar 27, 2024
- Pension RAUM · unset to 0.0Mar 30, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · unset to 0.0Mar 30, 2023 to Mar 27, 2024
- RAUM · $258M to $329MMar 30, 2023 to Mar 27, 2024
- Accounts · 242 to 243Mar 29, 2022 to Mar 30, 2023
- Corporate clients · 9 to 7Mar 29, 2022 to Mar 30, 2023
- HNW clients · 40 to 113Mar 29, 2022 to Mar 30, 2023
- Individual clients · 113 to 114Mar 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $342M to $258MMar 29, 2022 to Mar 30, 2023
- HNW RAUM · $169M to $151MMar 29, 2022 to Mar 30, 2023
- Individual RAUM · $74.0M to $28.9MMar 29, 2022 to Mar 30, 2023
- RAUM · $342M to $258MMar 29, 2022 to Mar 30, 2023
- Accounts · 217 to 242Mar 31, 2021 to Mar 29, 2022
- Corporate clients · 1 to 9Mar 31, 2021 to Mar 29, 2022
- HNW clients · 68 to 40Mar 31, 2021 to Mar 29, 2022
- Individual clients · 70 to 113Mar 31, 2021 to Mar 29, 2022
Signals
1 dated events
- G•••••• C•••••• A••••••• filed its initial SEC registration (Form ADV)Mar 31, 2017 · 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
- Principal office phone
- 609-759-1250reportedpublic record, Form ADV, Mar 30, 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
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026