DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

G•• C•••••• A•••••••• L••

Former SEC-registered adviserRed Bank, New JerseyCRD 163579SEC 801-76098IAPD
Latest filing Mar 31, 2016
First filing on the tape Mar 30, 2012 · 6 filings
RAUM
$127M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 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
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$127M as of Mar 31, 2016
Mar 27, 2013$155M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2016
Mar 27, 20131 then
Employees (5.A)2 as of Mar 31, 2016
Mar 27, 20132 then
Private funds: no history
RAUM -43% over the last fiscal year-6.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2016; every figure names its basis
RAUM per advisor
$127MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$63.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-43%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, subscriptionreportedItem 5.E
Advisory activities
portfolio management for individuals, publications, educational seminarsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••• G••••• · Membercontrol
        since 03/2012 · owns 50% to 75%
      • S•••••• P••••••••• A•••• · Chief Compliance Officercontrol
        since 03/2012 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Non-discretionary RAUM · $222M to $127M
        Mar 31, 2015 to Mar 31, 2016
      • RAUM · $222M to $127M
        Mar 31, 2015 to Mar 31, 2016
      • Non-discretionary RAUM · $211M to $222M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $211M to $222M
        Mar 31, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $155M to $211M
        Mar 27, 2013 to Mar 31, 2014
      • RAUM · $155M to $211M
        Mar 27, 2013 to Mar 31, 2014
      • Advisory employees · unset to 1.0
        Aug 22, 2012 to Mar 27, 2013
      • BD registered reps · unset to 0.0
        Aug 22, 2012 to Mar 27, 2013
      • Employees · unset to 2.0
        Aug 22, 2012 to Mar 27, 2013
      • State-registered IARs · unset to 1.0
        Aug 22, 2012 to Mar 27, 2013
      • Non-discretionary RAUM · $151M to $155M
        Aug 22, 2012 to Mar 27, 2013
      • RAUM · $151M to $155M
        Aug 22, 2012 to Mar 27, 2013
      • Accounts · 0 to 2
        Mar 30, 2012 to Aug 22, 2012
      • Financial planning clients · unset to 0
        Mar 30, 2012 to Aug 22, 2012
      • Non-discretionary RAUM · $0 to $151M
        Mar 30, 2012 to Aug 22, 2012
      • RAUM · $0 to $151M
        Mar 30, 2012 to Aug 22, 2012
      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.
      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