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•••• W••••• M••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape May 15, 2012 · 36 filings
SEC status approved since Mar 22, 2011
RAUM
$414M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
84%
$349M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$207M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$414M as of Mar 24, 2026
May 15, 2012$130M then
HNW client RAUM$333M as of Mar 24, 2026
Feb 7, 2018$238M then
State-registered IARs (5.B.3)2 as of Mar 24, 2026
May 15, 20120 then
Employees (5.A)3 as of Mar 24, 2026
Mar 12, 20131 then
Private funds1 as of Mar 24, 2026
May 15, 20121 then
RAUM -0.3% over the last fiscal year+2.7% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 24, 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $207MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.1MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +18%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$333M80%
- Pooled investment vehicles$59.3M14%
- Individuals$16.5M4.0%
- Pension and profit-sharing plans$5.4M1.3%
- Individual clients
- 89reported
- HNW clients
- 65reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 324reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.84 fund_share=0.14 institutional_share=0.01 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••••• J••• O•••••• | Jericho, Ny | Aug 16, 2021 | 16 y | 0 |
| B•••• L•••• K•••••• | Red Bank, Nj | Jan 1, 2026 | 28 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
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G••• C•••• M••••••••• F•••• L• | Hedge Fund | $91.6M | 60 | May 15, 2012 |
Owners and control persons
Schedule A and B, latest filing
- O•••••• B••••••• J••• · Managing Member And Chief Compliance Officercontrolsince 01/2011 · owns 75% or more
Related persons
Schedule D 7.A
- G••• C•••• M••••••••• F••• G•pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Lexington, KY2 employees
- Red Bank, NJ1 employees
What changed
consecutive filings, newest first
- Accounts · 277 to 324Mar 19, 2025 to Mar 24, 2026
- HNW clients · 57 to 65Mar 19, 2025 to Mar 24, 2026
- Individual clients · 74 to 89Mar 19, 2025 to Mar 24, 2026
- Discretionary RAUM · $405M to $407MMar 19, 2025 to Mar 24, 2026
- HNW RAUM · $308M to $333MMar 19, 2025 to Mar 24, 2026
- Individual RAUM · $12.4M to $16.5MMar 19, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $10.3M to $6.5MMar 19, 2025 to Mar 24, 2026
- Pension RAUM · $4.6M to $5.4MMar 19, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $89.8M to $59.3MMar 19, 2025 to Mar 24, 2026
- RAUM · $415M to $414MMar 19, 2025 to Mar 24, 2026
- Accounts · 224 to 277Nov 23, 2024 to Mar 19, 2025
- HNW clients · 52 to 57Nov 23, 2024 to Mar 19, 2025
- Individual clients · 67 to 74Nov 23, 2024 to Mar 19, 2025
- Financial planning clients · unset to Nov 23, 2024 to Mar 19, 2025
- Discretionary RAUM · $379M to $405MNov 23, 2024 to Mar 19, 2025
- HNW RAUM · $263M to $308MNov 23, 2024 to Mar 19, 2025
- Individual RAUM · $27.5M to $12.4MNov 23, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $7.7M to $10.3MNov 23, 2024 to Mar 19, 2025
- Pension RAUM · $3.9M to $4.6MNov 23, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $91.6M to $89.8MNov 23, 2024 to Mar 19, 2025
- RAUM · $386M to $415MNov 23, 2024 to Mar 19, 2025
- Accounts · 216 to 224Mar 29, 2023 to Mar 22, 2024
- HNW clients · 46 to 52Mar 29, 2023 to Mar 22, 2024
- Individual clients · 57 to 67Mar 29, 2023 to Mar 22, 2024
- Employees · 4 to 3Mar 29, 2023 to Mar 22, 2024
- Discretionary RAUM · $376M to $379MMar 29, 2023 to Mar 22, 2024
- HNW RAUM · $275M to $263MMar 29, 2023 to Mar 22, 2024
- Individual RAUM · $29.3M to $27.5MMar 29, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $6.7M to $7.7MMar 29, 2023 to Mar 22, 2024
- Pension RAUM · $3.2M to $3.9MMar 29, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $75.0M to $91.6MMar 29, 2023 to Mar 22, 2024
- RAUM · $382M to $386MMar 29, 2023 to Mar 22, 2024
- Accounts · 203 to 216Nov 30, 2022 to Mar 29, 2023
- HNW clients · 67 to 46Nov 30, 2022 to Mar 29, 2023
- Individual clients · 31 to 57Nov 30, 2022 to Mar 29, 2023
- Pension plan clients · 0 to 1Nov 30, 2022 to Mar 29, 2023
- Pooled vehicle clients · 1 to 2Nov 30, 2022 to Mar 29, 2023
- Employees · 3 to 4Nov 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $367M to $376MNov 30, 2022 to Mar 29, 2023
- HNW RAUM · $279M to $275MNov 30, 2022 to Mar 29, 2023
Signals
No event on the tape.
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
- Business email
- i••••••••@g•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 516-274-9870reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- G•••C••••WM.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 516-274-9870reportedpublic record, Form ADV, Mar 24, 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
- $207Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026