DFX Intelligence

RIA Intelligence

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SEC-registered adviser

G•••••••• A•••••••• L••

Independent wealth managerG••••••••, ConnecticutCRD 165892SEC 801-130738website IAPD

Latest filing Jul 9, 2026

First filing on the tape Jun 24, 2024 · 7 filings

SEC status approved since Jul 25, 2024

RAUM

$293M

reported, Item 5.F

Discretionary

87%

of RAUM

Private clients

63%

$185M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$58.6M

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

7 filings and snapshots on the tape

RAUM$293M as of Jul 9, 2026

Mar 3, 2025$163M then

HNW client RAUM$170M as of Jul 9, 2026

Mar 3, 2025$54.7M then

State-registered IARs (5.B.3)4 as of Jul 9, 2026

Mar 3, 20252 then

Employees (5.A)4 as of Jul 9, 2026

Mar 3, 20252 then

Private funds: no history

RAUM +80% over the last fiscal yearIARs 2 to 4offices 2 to 4

Practice profile

derived from the filing of Jul 9, 2026; every figure names its basis

RAUM per advisor: $58.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 14derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.6MderivedHNW RAUM over HNW clients
Average account: $1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary: 87%derivedof RAUM
Institutional: 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 0.8derivedItem 5.A over advisors
Advisors per office: 1.0derived5 offices incl. principal (1.F.5)
RAUM growth, one year: +80%derivedbetween the last two annual amendments
Advisor growth, one year: +100%derivedItem 5.B.3 between annual amendments
Client growth, one year: -18%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody: $45.9M, 45 clientsreportedItem 9.A
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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$170M58%
Corporations and businesses$105M36%
Individuals$15.4M5.3%
Charitable organizations$3.0M1.0%

Individual clients: 35reported
HNW clients: 37reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 211reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: $45.9M for 45 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.63 fund_share=0.0 institutional_share=0.01 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
D••••• C••••••••• T•••••Chartered Financial Analyst	G••••••••, Ct	Jun 6, 2016	31 y	1
J•••••• D••••• E••••	G••••••••, Ct	Feb 7, 2018	40 y	0
C••••••••• K•••••Certified Financial Planner	G••••••••, Ct	Dec 15, 2025	31 y	1
D••••• J•• P••••••	New Rochelle, Ny	Jan 7, 2026	23 y	1
A•••••••• T•••••	G••••••••, Ct	Mar 19, 2026	10 y	0

Advisor movement

0 left, 1 joined in 12 months

net +1 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

C••••••••• K••••• from I••••••••• F•••••••• A•••••••
Dec 15, 2025 · RIA to RIA

Every departure Every arrival

Private funds

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
C••••••••• G••••• O••••••••• M••••• F•••• L•••no longer reported	Hedge Fund	$0	0	Jan 24, 2013
C••••••••• G••••• O••••••••• F•••• L•no longer reported	Hedge Fund	$0	0	Oct 26, 2012

Owners and control persons

Schedule A and B, latest filing

E••••• J••••••• D••••• · Principalcontrol
since 12/2017 · owns 5% to 10%
T•••••• D•••••• C••••••••• · Managing Partner & Chief Compliance Officercontrol
since 01/2019 · owns 75% or more
P••••••• D•••••• J•• · Principal
since 01/2014 · owns 10% to 25%

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
G••••••••, Ct · principal	5	3	0

Offices

Schedule D 1.F, the 25 largest

Irvine, CA1 employees
New York, NY1 employees

ADV anomalies

5 against comparable advisers; where to look, not conclusions

institutional to wealth shiftCombination · filing Mar 10, 2026
institutional share fell 15 points or more while private-client share rose 15 points or more. RAUM $162,827,506 to $293,191,795, advisors 2 to 4, private clients 88 to 72, offices 2 to 4 (2025-03-03 to 2026-03-10)
peers: WEALTH_I•••••••••, $100M to $500M (5,678)
RAUM up 50 %Change between filings · filing Mar 10, 2026
RAUM (Item 5.F) moved from $162,827,506 to $293,191,795 (+80.0%) between the annual amendments of 2025-03-03 and 2026-03-10; the peer median change was +15.0% (4548 comparable advisers, 98.0th percentile of changes)
peers: WEALTH_I•••••••••, $100M to $500M (4,548) · 98% percentile
client mix shiftChange between filings · filing Mar 10, 2026
private-client share of RAUM moved from 38.0% to 63.0% between the annual amendments of 2025-03-03 and 2026-03-10
peers: WEALTH_I•••••••••, $100M to $500M (5,678)
institutional asset share shiftChange between filings · filing Mar 10, 2026
institutional share of RAUM moved from 62.0% to 37.0% between the annual amendments of 2025-03-03 and 2026-03-10
peers: WEALTH_I•••••••••, $100M to $500M (5,678)
HNW share shiftChange between filings · filing Mar 10, 2026
HNW share of RAUM moved from 34.0% to 58.0% between the annual amendments of 2025-03-03 and 2026-03-10
peers: WEALTH_I•••••••••, $100M to $500M (5,678)

How anomalies are measured

What changed

consecutive filings, newest first

HQ city · to G••••••••
Mar 10, 2026 to Jun 30, 2026
HQ state · to CT
Mar 10, 2026 to Jun 30, 2026
Accounts · 92 to 211
Jan 20, 2026 to Mar 10, 2026
Advisory employees · 2 to 4
Jan 20, 2026 to Mar 10, 2026
Corporate clients · 1.0 to unset
Jan 20, 2026 to Mar 10, 2026
HNW clients · 59 to 37
Jan 20, 2026 to Mar 10, 2026
Individual clients · 29 to 35
Jan 20, 2026 to Mar 10, 2026
Assets in custody · $5.2M to $45.9M
Jan 20, 2026 to Mar 10, 2026
Employees · 2 to 4
Jan 20, 2026 to Mar 10, 2026
State-registered IARs · 2 to 4
Jan 20, 2026 to Mar 10, 2026
Other offices · 1 to 4
Jan 20, 2026 to Mar 10, 2026
Discretionary RAUM · $162M to $256M
Jan 20, 2026 to Mar 10, 2026
HNW RAUM · $54.7M to $170M
Jan 20, 2026 to Mar 10, 2026
Individual RAUM · $7.0M to $15.4M
Jan 20, 2026 to Mar 10, 2026
Non-discretionary RAUM · $758,230 to $37.6M
Jan 20, 2026 to Mar 10, 2026
RAUM · $163M to $293M
Jan 20, 2026 to Mar 10, 2026
Financial planning clients · 1-10 to 1-10
Mar 3, 2025 to Jun 2, 2025
Other offices · 2 to 1
Mar 3, 2025 to Jun 2, 2025
Accounts · 39 to 92
Jun 24, 2024 to Mar 3, 2025
HNW clients · 21 to 59
Jun 24, 2024 to Mar 3, 2025
Individual clients · 16 to 29
Jun 24, 2024 to Mar 3, 2025
Assets in custody · $5.1M to $5.2M
Jun 24, 2024 to Mar 3, 2025
HQ city · unset to
Jun 24, 2024 to Mar 3, 2025
HQ state · unset to
Jun 24, 2024 to Mar 3, 2025
Discretionary RAUM · $161M to $162M
Jun 24, 2024 to Mar 3, 2025
HNW RAUM · $59.6M to $54.7M
Jun 24, 2024 to Mar 3, 2025
Individual RAUM · $5.3M to $7.0M
Jun 24, 2024 to Mar 3, 2025
Non-discretionary RAUM · $423,180 to $758,230
Jun 24, 2024 to Mar 3, 2025
RAUM · $161M to $163M
Jun 24, 2024 to Mar 3, 2025

Signals

2 dated events

G•••••••• A•••••••• L•• reported RAUM $293.2M, up 80% from $162.8M (2026-01-20 to 2026-03-10)
Mar 10, 2026 · RAUM change · derived
G•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
Jun 24, 2024 · 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: 203-489-0700reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: linkedin.com/company/greenwich-advisors.reportedpublic record, Form ADV, Sep 21, 2026
Website: g•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 203-489-0700reportedpublic record, Form ADV, Jul 9, 2026
Team page: g•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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: $58.6Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026