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•• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 26, 2013 · 28 filings
SEC status approved since Mar 20, 2013
RAUM
$244M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
21%
$50.1M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$61.1M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$244M as of Mar 31, 2026
Mar 31, 2014$458M then
HNW client RAUM$50.1M as of Mar 31, 2026
Mar 30, 2018$40.9M then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Mar 31, 20140 then
Employees (5.A)8 as of Mar 31, 2026
Mar 31, 20146 then
Private funds2 as of Mar 31, 2026
Mar 31, 20141 then
RAUM +7.3% over the last fiscal year-19% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $61.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 6derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $9.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$194M79%
- High-net-worth individuals$50.1M21%
- Individual clients
- 0reported
- HNW clients
- 23reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 25reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.21 fund_share=0.79 institutional_share=0.0 related_bd=true related_bank=true bd_reps=3.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• M•••••• B••••• | Summit, Nj | Jul 23, 2015 | 41 y | 1 |
| A••••• B••••• S•••••• | Summit, Nj | May 10, 2018 | 14 y | 1 |
| D••••• L••••• A•••••••• | Summit, Nj | Jan 3, 2020 | 45 y | 5 |
| A••• L••••••• T•••• | Summit, Nj | Feb 12, 2025 | 42 y | 1 |
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
- D••••• L••••• A•••••••• from B• R•••• W••••• M•••••••••Nov 20, 2019 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G••••••••• O••••••••• F•••• L• | Hedge Fund | $144M | 46 | Mar 26, 2012 |
| G••••••••• V•••• F•••• L• | Hedge Fund | $60.2M | 27 | Mar 25, 2015 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• S••••••• M•••••• · Membercontrolsince 02/2011 · owns 25% to 50%
- P•••••• R•••• K•••• · Membercontrolsince 09/2005 · owns 50% to 75%
- L•••••• K••••••• E•••••••• · Chief Compliance Officersince 12/2017 · owns less than 5%
Related persons
Schedule D 7.A
- G••••••••• G•• L••bankpooled vehicle sponsorn
- M••••••••• S••••••••• L••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Summit, Nj · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 22 to 25Oct 2, 2025 to Mar 31, 2026
- Advisory employees · 5 to 4Oct 2, 2025 to Mar 31, 2026
- HNW clients · 20 to 23Oct 2, 2025 to Mar 31, 2026
- Employees · 9 to 8Oct 2, 2025 to Mar 31, 2026
- Discretionary RAUM · $228M to $244MOct 2, 2025 to Mar 31, 2026
- HNW RAUM · $47.3M to $50.1MOct 2, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $180M to $194MOct 2, 2025 to Mar 31, 2026
- RAUM · $228M to $244MOct 2, 2025 to Mar 31, 2026
- Accounts · 21 to 22Jan 21, 2025 to Mar 31, 2025
- BD registered reps · 2 to 3Jan 21, 2025 to Mar 31, 2025
- Charity clients · unset to 0.0Jan 21, 2025 to Mar 31, 2025
- Corporate clients · unset to 0.0Jan 21, 2025 to Mar 31, 2025
- HNW clients · 19 to 20Jan 21, 2025 to Mar 31, 2025
- Individual clients · unset to 0.0Jan 21, 2025 to Mar 31, 2025
- Pension plan clients · unset to 0.0Jan 21, 2025 to Mar 31, 2025
- Employees · 8 to 9Jan 21, 2025 to Mar 31, 2025
- Financial planning clients · unset to Jan 21, 2025 to Mar 31, 2025
- Discretionary RAUM · $244M to $228MJan 21, 2025 to Mar 31, 2025
- HNW RAUM · $39.8M to $47.3MJan 21, 2025 to Mar 31, 2025
- Individual RAUM · unset to 0.0Jan 21, 2025 to Mar 31, 2025
- Pension RAUM · unset to 0.0Jan 21, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $204M to $180MJan 21, 2025 to Mar 31, 2025
- RAUM · $244M to $228MJan 21, 2025 to Mar 31, 2025
- Accounts · 20 to 21Sep 5, 2023 to Mar 29, 2024
- BD registered reps · 3 to 2Sep 5, 2023 to Mar 29, 2024
- HNW clients · 18 to 19Sep 5, 2023 to Mar 29, 2024
- Employees · 9 to 8Sep 5, 2023 to Mar 29, 2024
- Discretionary RAUM · $454M to $244MSep 5, 2023 to Mar 29, 2024
- HNW RAUM · $35.4M to $39.8MSep 5, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $418M to $204MSep 5, 2023 to Mar 29, 2024
- RAUM · $454M to $244MSep 5, 2023 to Mar 29, 2024
- Accounts · 21 to 20Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 4 to 5Mar 31, 2022 to Mar 31, 2023
- HNW clients · 19 to 18Mar 31, 2022 to Mar 31, 2023
- Employees · 8 to 9Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $576M to $454MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $43.3M to $35.4MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $533M to $418MMar 31, 2022 to Mar 31, 2023
- RAUM · $576M to $454MMar 31, 2022 to Mar 31, 2023
- Accounts · 18 to 21Nov 2, 2021 to Mar 31, 2022
Signals
2 dated events
- G••••••••• C•• L•• reported RAUM $244.0M, down 46% from $453.7M (2023-09-05 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- G••••••••• C•• L•• filed its initial SEC registration (Form ADV)Feb 26, 2013 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 908-918-1600reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- g•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 908-918-1600reportedpublic record, Form ADV, Mar 31, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $61.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026