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••••• W••••• M••••••••• L••
Latest filing Feb 27, 2026
First filing on the tape Dec 1, 2011 · 50 filings
SEC status approved since Apr 23, 2010
RAUM
$246M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
73%
$180M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$81.9M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$246M as of Feb 27, 2026
Feb 10, 2012$152M then
HNW client RAUM$160M as of Feb 27, 2026
Mar 29, 2018$496M then
State-registered IARs (5.B.3)3 as of Feb 27, 2026
Feb 10, 20120 then
Employees (5.A)3 as of Feb 27, 2026
Feb 5, 20134 then
Private funds: no history
RAUM +6.3% over the last fiscal year-0.3% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 27, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $81.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.2MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -12%derived
- Compensation
- percentage of assetsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$160M65%
- Pension and profit-sharing plans$27.3M11%
- Individuals$20.2M8.2%
- Charitable organizations$16.5M6.7%
- Insurance companies$13.8M5.6%
- Other investment advisers$7.6M3.1%
- Corporations and businesses$152,7760.1%
- Individual clients
- 30reported
- HNW clients
- 31reported
- Pension plan clients
- 5reported
- Charitable clients
- 4reported
- Accounts
- 204reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.73 fund_share=0.03 institutional_share=0.23 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• P••••• | Princeton, Nj | Apr 3, 2018 | 13 y | 0 |
| R••••• S•••• | Princeton, Nj | Oct 26, 2021 | 10 y | 0 |
| E••••• A• G••••• | Kingston, Nj | Jan 1, 2026 | 29 y | 0 |
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
- R•• K•••••• to E••••••••• W••••• M••••••••• L••May 19, 2023 · RIA to a state-registered adviser
- L••• D•••••••• to A••••••• W••••• M••••••••• G••••• L••Mar 22, 2021 · RIA to RIA
- D••••• J••• H••••• to S•••• B•••••• C••••••• • Y•••• S••••••••• C•••Jan 17, 2020 · RIA to RIA
- K••• R••• to N•••••• W••••• C••••••••• L•••••• L•••••••• C••••••Jun 22, 2015 · Other
Joined, latest
- D••••• J••• H••••• from W•••• F•••• A•••••••Aug 14, 2017 · Other
- K••• R••• from I•••• I••••••••• A•••••••Jun 9, 2010 · Other
- L••• D•••••••• from I•••• I••••••••• A•••••••May 25, 2010 · Other
- R•• K•••••• from I•••• I••••••••• A•••••••Apr 23, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• E•••••• A• · Ccocontrolsince 05/2021 · owns less than 5%
- P•••••• S••••• · Member/ Presidentcontrolsince 10/2017 · owns 5% to 10%
- K••••••• R••• •••• · Membersince 01/2017 · owns 10% to 25%
- G••••••• W••••••• A••••• · Trustee - M••••• T•••••• R•••••••• T••••since 10/2017 · owns F of M••••• T•••••• R•••••••• T••••
- G••••• R••••••• W••••• · Trustee - M••••• T•••••• R•••••••• T••••since 10/2017 · owns F of M••••• T•••••• R•••••••• T••••
- T••••••• M••••• · Trustee - M••••• T•••••• R•••••••• T••••since 10/2017 · owns F of M••••• T•••••• R•••••••• T••••
Entity owners
- M••••• T•••••• R•••••••• T•••• · Memberdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Kingston, Nj · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 215 to 204May 7, 2025 to Feb 27, 2026
- Charity clients · 3 to 4May 7, 2025 to Feb 27, 2026
- HNW clients · 34 to 31May 7, 2025 to Feb 27, 2026
- Individual clients · 35 to 30May 7, 2025 to Feb 27, 2026
- Discretionary RAUM · $212M to $219MMay 7, 2025 to Feb 27, 2026
- HNW RAUM · $157M to $160MMay 7, 2025 to Feb 27, 2026
- Individual RAUM · $17.5M to $20.2MMay 7, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $19.4M to $26.4MMay 7, 2025 to Feb 27, 2026
- Pension RAUM · $22.5M to $27.3MMay 7, 2025 to Feb 27, 2026
- RAUM · $231M to $246MMay 7, 2025 to Feb 27, 2026
- Financial planning clients · 51-100 to 51-100Feb 24, 2025 to May 7, 2025
- Accounts · 249 to 215Mar 11, 2024 to Feb 24, 2025
- Charity clients · 1 to 3Mar 11, 2024 to Feb 24, 2025
- Corporate clients · unset to 1.0Mar 11, 2024 to Feb 24, 2025
- HNW clients · 52 to 34Mar 11, 2024 to Feb 24, 2025
- Individual clients · 32 to 35Mar 11, 2024 to Feb 24, 2025
- Pension plan clients · 4 to 5Mar 11, 2024 to Feb 24, 2025
- Discretionary RAUM · $212M to $212MMar 11, 2024 to Feb 24, 2025
- HNW RAUM · $194M to $157MMar 11, 2024 to Feb 24, 2025
- Individual RAUM · $8.4M to $17.5MMar 11, 2024 to Feb 24, 2025
- Non-discretionary RAUM · $22.9M to $19.4MMar 11, 2024 to Feb 24, 2025
- Pension RAUM · $16.9M to $22.5MMar 11, 2024 to Feb 24, 2025
- RAUM · $235M to $231MMar 11, 2024 to Feb 24, 2025
- Accounts · 303 to 249Jan 12, 2024 to Mar 11, 2024
- Charity clients · 2 to 1Jan 12, 2024 to Mar 11, 2024
- HNW clients · 56 to 52Jan 12, 2024 to Mar 11, 2024
- Individual clients · 49 to 32Jan 12, 2024 to Mar 11, 2024
- Discretionary RAUM · $218M to $212MJan 12, 2024 to Mar 11, 2024
- HNW RAUM · $201M to $194MJan 12, 2024 to Mar 11, 2024
- Individual RAUM · $8.7M to $8.4MJan 12, 2024 to Mar 11, 2024
- Non-discretionary RAUM · $30.3M to $22.9MJan 12, 2024 to Mar 11, 2024
- Pension RAUM · $13.8M to $16.9MJan 12, 2024 to Mar 11, 2024
- RAUM · $248M to $235MJan 12, 2024 to Mar 11, 2024
- Advisory employees · 4 to 3May 11, 2023 to May 19, 2023
- Employees · 4 to 3May 11, 2023 to May 19, 2023
- State-registered IARs · 4 to 3May 11, 2023 to May 19, 2023
- Other offices · 1 to 0May 11, 2023 to May 19, 2023
- Accounts · 301 to 303Nov 21, 2022 to Mar 6, 2023
- Charity clients · 9 to 2Nov 21, 2022 to Mar 6, 2023
- HNW clients · 45 to 56Nov 21, 2022 to Mar 6, 2023
Signals
4 dated events
- R•• K•••••• left G••••• W••••• M••••••••• L•• for E••••••••• W••••• M••••••••• L•• (registered 2023-12-18)May 19, 2023 · Advisor changed firm · fact
- A Edward Graham (Cco) appeared on Schedule A of G••••• W••••• M••••••••• L••May 18, 2021 · Control person joined · fact
- G••••• W••••• M••••••••• L•• reported RAUM $285.7M, down 53% from $605.1M (2020-06-19 to 2021-03-19)Mar 19, 2021 · RAUM change · derived
- G••••• W••••• M••••••••• L•• reported RAUM $521.9M, up 180% from $186.4M (2018-01-26 to 2018-03-29)Mar 29, 2018 · 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
- i•••••@g•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.g•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 609-452-2929reportedpublic record, Form ADV, Feb 27, 2026
- Contact form
- g•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $81.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026