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

G••••• F•••••••• P•••••••

Former SEC-registered adviserFalmouth, MaineCRD 164542SEC 801-118146websiteIAPD
Legal name G•••••• F•••••••• P•••••••• L••
Latest filing Dec 10, 2024
First filing on the tape Jan 30, 2020 · 18 filings
SEC status approved since Mar 2, 2020
RAUM
$148M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$134M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$148M as of Feb 23, 2024
Mar 6, 2020$108M then
HNW client RAUM$104M as of Feb 23, 2024
Mar 6, 2020$83.4M then
State-registered IARs (5.B.3)5 as of Feb 23, 2024
Mar 6, 20206 then
Employees (5.A)7 as of Feb 23, 2024
Mar 6, 20208 then
Private funds: no history
RAUM +25% over the last fiscal year+12% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Dec 10, 2024; every figure names its basis
RAUM per advisor
$37.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
22derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$371,066derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
9.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+25%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+14%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
Wrap fee program
$148MreportedItem 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$104M70%
  • Individuals$30.5M21%
  • Charitable organizations$14.1M9.5%
Individual clients
43reported
HNW clients
44reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
400reported
Financial planning clients
26-50reported
Wrap fee programs
$0 sponsored, $0 managedreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G••••••• M••••••• C•••• · Executive Director/Majority Shareholdercontrol
      since 05/2012 · owns 75% or more
    • M•••••• A••••••• T••••• · Chief Compliance Officer/Partnercontrol
      since 07/2018 · owns 5% to 10%
    • W•••••••• E••••••••• A•••• · Partner
      since 01/2020 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Advisers that list G••••• F•••••••• P••••••• as a related person
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Bangor, Me000
    Falmouth, Me · principal000
    Offices
    Schedule D 1.F, the 25 largest
    • Bangor, ME1 employees
    What changed
    consecutive filings, newest first
    • Advisory employees · 5 to 4
      Jul 9, 2024 to Dec 10, 2024
    • Employees · 7 to 6
      Jul 9, 2024 to Dec 10, 2024
    • State-registered IARs · 5 to 4
      Jul 9, 2024 to Dec 10, 2024
    • Accounts · 357 to 400
      Mar 30, 2023 to Feb 23, 2024
    • HNW clients · 38 to 44
      Mar 30, 2023 to Feb 23, 2024
    • Individual clients · 38 to 43
      Mar 30, 2023 to Feb 23, 2024
    • Discretionary RAUM · $119M to $148M
      Mar 30, 2023 to Feb 23, 2024
    • HNW RAUM · $81.0M to $104M
      Mar 30, 2023 to Feb 23, 2024
    • Individual RAUM · $24.9M to $30.5M
      Mar 30, 2023 to Feb 23, 2024
    • RAUM · $119M to $148M
      Mar 30, 2023 to Feb 23, 2024
    • Accounts · 334 to 357
      Mar 3, 2022 to Mar 30, 2023
    • HNW clients · 40 to 38
      Mar 3, 2022 to Mar 30, 2023
    • Individual clients · 35 to 38
      Mar 3, 2022 to Mar 30, 2023
    • Financial planning clients · 51-100 to 26-50
      Mar 3, 2022 to Mar 30, 2023
    • Discretionary RAUM · $135M to $119M
      Mar 3, 2022 to Mar 30, 2023
    • HNW RAUM · $87.9M to $81.0M
      Mar 3, 2022 to Mar 30, 2023
    • Individual RAUM · $31.7M to $24.9M
      Mar 3, 2022 to Mar 30, 2023
    • RAUM · $135M to $119M
      Mar 3, 2022 to Mar 30, 2023
    • Accounts · 273 to 334
      Jul 9, 2021 to Feb 28, 2022
    • HNW clients · 39 to 40
      Jul 9, 2021 to Feb 28, 2022
    • Individual clients · 31 to 35
      Jul 9, 2021 to Feb 28, 2022
    • Financial planning clients · 101-250 to 51-100
      Jul 9, 2021 to Feb 28, 2022
    • Discretionary RAUM · $105M to $135M
      Jul 9, 2021 to Feb 28, 2022
    • HNW RAUM · $73.6M to $87.9M
      Jul 9, 2021 to Feb 28, 2022
    • Individual RAUM · $17.9M to $31.7M
      Jul 9, 2021 to Feb 28, 2022
    • RAUM · $105M to $135M
      Jul 9, 2021 to Feb 28, 2022
    • Accounts · 231 to 273
      Sep 4, 2020 to Mar 18, 2021
    • Advisory employees · 6 to 5
      Sep 4, 2020 to Mar 18, 2021
    • HNW clients · 62 to 39
      Sep 4, 2020 to Mar 18, 2021
    • Individual clients · 173 to 31
      Sep 4, 2020 to Mar 18, 2021
    • Employees · 8 to 7
      Sep 4, 2020 to Mar 18, 2021
    • State-registered IARs · 6 to 5
      Sep 4, 2020 to Mar 18, 2021
    • Discretionary RAUM · $108M to $105M
      Sep 4, 2020 to Mar 18, 2021
    • HNW RAUM · $83.4M to $73.6M
      Sep 4, 2020 to Mar 18, 2021
    • Individual RAUM · $11.6M to $17.9M
      Sep 4, 2020 to Mar 18, 2021
    • RAUM · $108M to $105M
      Sep 4, 2020 to Mar 18, 2021
    • Business name · G••••• F•••••••• P•••••••• L•• to G••••• F•••••••• P•••••••
      Jul 23, 2020 to Sep 4, 2020
    • Business name · G•••••• F•••••••• P•••••••• L•• to G••••• F•••••••• P•••••••• L••
      Jul 23, 2020 to Jul 23, 2020
    • Legal name · G•••••• F•••••••• P•••••••• L•• to G••••• F•••••••• P•••••••• L••
      Jul 23, 2020 to Jul 23, 2020
    • Legal name · G••••• F•••••••• P•••••••• L•• to G•••••• F•••••••• P•••••••• L••
      Jul 23, 2020 to Jul 23, 2020
    Signals
    7 dated events
    • M•••••• C•••• G•••••• left G••••• F•••••••• P••••••• for E• W••••• A••••••• (registered 2024-12-06)
      Feb 7, 2025 · Advisor changed firm · fact
    • G••••• F•••••••• P••••••• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $148.4M)
      Feb 3, 2025 · Left the SEC roster · derived
    • E•••••••• A•••• W••••••• left G••••• F•••••••• P••••••• for E• W••••• A••••••• (registered 2024-11-26)
      Jan 22, 2025 · Advisor changed firm · fact
    • G••••• F•••••••• P•••••••'s advisors moved to E• W••••• A••••••• (Falmouth, ME): 3 of 4 registered, on the same day
      Jan 22, 2025 · Firm absorbed (people side) · derived
    • M••• A••••• R••• left G••••• F•••••••• P••••••• for E• W••••• A••••••• (registered 2025-02-06)
      Jan 22, 2025 · Advisor changed firm · fact
    • A•••••• T••••• M••••• left G••••• F•••••••• P••••••• for E• W••••• A••••••• (registered 2024-11-26)
      Jan 22, 2025 · Advisor changed firm · fact
    • G•••••• F•••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
      Jan 30, 2020 · 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