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•••••• F•••••••• S•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 14, 2025 · 3 filings
SEC status approved since Mar 14, 2025
RAUM
$132M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$132M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$26.4M
derived; firm RAUM over IAPD count
Employees
2
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$132M as of Mar 31, 2026
Mar 14, 2025$103M then
HNW client RAUM$104M as of Mar 31, 2026
Mar 14, 2025$79.4M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 14, 20252 then
Employees (5.A)2 as of Mar 31, 2026
Mar 14, 20252 then
Private funds: no history
RAUM +28% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $26.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $132MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$104M79%
- Individuals$28.4M21%
- Individual clients
- 99reported
- HNW clients
- 31reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 132reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••• V•••••• G•••••• | Edison, Nj | Oct 6, 2025 | 32 y | 3 |
| F•••• V•••••• G•••••• | Edison, Nj | Oct 9, 2025 | 23 y | 3 |
| P•••• A• O••••••• | Edison, Nj | Feb 3, 2026 | 10 y | 0 |
| A•••••• M•••••• U•••• | Edison, Nj | Feb 5, 2026 | 15 y | 0 |
| R•••••• A• S••• | Edison, Nj | Mar 2, 2026 | 18 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
- F•••• V•••••• G•••••• from I• A••••••• S•••••••• I•••Apr 28, 2011 · Other
- F•••• V•••••• G•••••• from I• A••••••• S•••••••• I•••Apr 26, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Edison, Nj · principal | 5 | 5 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 117 to 132Oct 6, 2025 to Mar 31, 2026
- Advisory employees · 2 to 0Oct 6, 2025 to Mar 31, 2026
- HNW clients · 26 to 31Oct 6, 2025 to Mar 31, 2026
- Individual clients · 89 to 99Oct 6, 2025 to Mar 31, 2026
- Discretionary RAUM · $103M to $132MOct 6, 2025 to Mar 31, 2026
- HNW RAUM · $79.4M to $104MOct 6, 2025 to Mar 31, 2026
- Individual RAUM · $24.0M to $28.4MOct 6, 2025 to Mar 31, 2026
- RAUM · $103M to $132MOct 6, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 14, 2025 to Oct 6, 2025
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 phone
- 732-738-5677reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 732-738-5678reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- G••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 732-738-5678reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- g•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- 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
- $26.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026