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
T••••• F•••••••• G••••• I•••
Latest filing Nov 13, 2024
First filing on the tape Mar 28, 2012 · 25 filings
SEC status approved since Mar 9, 2017
RAUM
$237M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$233M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$237M as of Mar 14, 2024
Mar 28, 2012$56.0M then
HNW client RAUM$182M as of Mar 14, 2024
Mar 13, 2018$57.0M then
State-registered IARs (5.B.3)1 as of Mar 14, 2024
Mar 13, 20181 then
Employees (5.A)2 as of Mar 14, 2024
Mar 13, 20181 then
Private funds: no history
RAUM +13% over the last fiscal year+13% a year over threeIARs 1 to 1offices 0 to 1
Practice profile
derived from the filing of Nov 13, 2024; every figure names its basis
- RAUM per advisor
- $237MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 324derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $218,777derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$182M77%
- Individuals$50.7M21%
- Pension and profit-sharing plans$4.5M1.9%
- Corporations and businesses$43,4710.0%
- Individual clients
- 215reported
- HNW clients
- 109reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,084reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- R••••• K••••• G•••••••• to M••••••Feb 18, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- R••••• K••••• G•••••••• from R••• G•••••••• F••••••••Jul 20, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• R•••••• K••••• · President And Chief Compliance Officercontrolsince 02/2008 · owns 75% or more
Related persons
Schedule D 7.A
- A••••••• C••••• I•••••••• A•••••• I•••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Marlborough, Ma · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Nashua, NH1 employees
What changed
consecutive filings, newest first
- Other offices · 0 to 1Sep 9, 2024 to Nov 13, 2024
- Accounts · 1,048 to 1,084Mar 29, 2023 to Mar 14, 2024
- HNW clients · 92 to 109Mar 29, 2023 to Mar 14, 2024
- Individual clients · 218 to 215Mar 29, 2023 to Mar 14, 2024
- Assets in custody · $64.0M to $0Mar 29, 2023 to Mar 14, 2024
- Custody of client assets · true to falseMar 29, 2023 to Mar 14, 2024
- Discretionary RAUM · $206M to $233MMar 29, 2023 to Mar 14, 2024
- HNW RAUM · $152M to $182MMar 29, 2023 to Mar 14, 2024
- Individual RAUM · $53.6M to $50.7MMar 29, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $4.0M to $4.5MMar 29, 2023 to Mar 14, 2024
- Pension RAUM · $4.0M to $4.5MMar 29, 2023 to Mar 14, 2024
- RAUM · $210M to $237MMar 29, 2023 to Mar 14, 2024
- Accounts · 1,000 to 1,048Mar 25, 2022 to Mar 29, 2023
- HNW clients · 95 to 92Mar 25, 2022 to Mar 29, 2023
- Individual clients · 355 to 218Mar 25, 2022 to Mar 29, 2023
- Assets in custody · $64.3M to $64.0MMar 25, 2022 to Mar 29, 2023
- Financial planning clients · 1-10 to 0Mar 25, 2022 to Mar 29, 2023
- Discretionary RAUM · $202M to $206MMar 25, 2022 to Mar 29, 2023
- HNW RAUM · $128M to $152MMar 25, 2022 to Mar 29, 2023
- Individual RAUM · $74.0M to $53.6MMar 25, 2022 to Mar 29, 2023
- RAUM · $206M to $210MMar 25, 2022 to Mar 29, 2023
- Accounts · 930 to 1,000Mar 10, 2021 to Mar 25, 2022
- HNW clients · 76 to 95Mar 10, 2021 to Mar 25, 2022
- Individual clients · 171 to 355Mar 10, 2021 to Mar 25, 2022
- Assets in custody · $70.3M to $64.3MMar 10, 2021 to Mar 25, 2022
- Financial planning clients · 0 to 1-10Mar 10, 2021 to Mar 25, 2022
- Discretionary RAUM · $163M to $202MMar 10, 2021 to Mar 25, 2022
- HNW RAUM · $112M to $128MMar 10, 2021 to Mar 25, 2022
- Individual RAUM · $50.0M to $74.0MMar 10, 2021 to Mar 25, 2022
- Non-discretionary RAUM · $0 to $4.0MMar 10, 2021 to Mar 25, 2022
- Pension RAUM · unset to 4000000.0Mar 10, 2021 to Mar 25, 2022
- RAUM · $163M to $206MMar 10, 2021 to Mar 25, 2022
- Accounts · 890 to 930Sep 22, 2020 to Mar 10, 2021
- HNW clients · 44 to 76Sep 22, 2020 to Mar 10, 2021
- Individual clients · 185 to 171Sep 22, 2020 to Mar 10, 2021
- Discretionary RAUM · $141M to $163MSep 22, 2020 to Mar 10, 2021
- HNW RAUM · $73.2M to $112MSep 22, 2020 to Mar 10, 2021
- Individual RAUM · $67.4M to $50.0MSep 22, 2020 to Mar 10, 2021
- RAUM · $141M to $163MSep 22, 2020 to Mar 10, 2021
- Accounts · 832 to 890Apr 4, 2019 to Mar 16, 2020
Signals
3 dated events
- T••••• F•••••••• G••••• I••• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $237.2M)Mar 6, 2025 · Left the SEC roster · derived
- R••••• K••••• G•••••••• left T••••• F•••••••• G••••• I••• for Mariner (registered 2025-01-13)Feb 18, 2025 · Advisor changed firm · fact
- R•• F••••••••• I••• filed its initial SEC registration (Form ADV)Feb 10, 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.
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026