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••••• B•• A••••••• L••
Latest filing Jul 8, 2026
First filing on the tape May 13, 2013 · 33 filings
SEC status approved since May 31, 2013
RAUM
$296M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
86%
$255M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$148M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$296M as of Jul 8, 2026
Mar 25, 2014$40.8M then
HNW client RAUM$170M as of Jul 8, 2026
Jan 31, 2018$89.0M then
State-registered IARs (5.B.3)1 as of Jul 8, 2026
Mar 25, 20141 then
Employees (5.A)1 as of Jul 8, 2026
Mar 25, 20141 then
Private funds: no history
RAUM +89% over the last fiscal year+29% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jul 8, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $148MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.4MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +186%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$170M57%
- Individuals$85.0M29%
- Pension and profit-sharing plans$33.2M11%
- Corporations and businesses$7.5M2.5%
- Individual clients
- 124reported
- HNW clients
- 23reported
- Pension plan clients
- 6reported
- Charitable clients
- 0reported
- Accounts
- 153reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• Z• K•••••Certified Financial Planner | Chappaqua, Ny | Feb 13, 2019 | 19 y | 2 |
| L••••• C•••••••• G••••••••• | Chappaqua, Ny | Apr 1, 2025 | 15 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
- M•••••• Z• K••••• from J••• M••••• P•••••• W••••• A••••••• L••Feb 13, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• M••••••• Z• · Ceo/Chief Compliance Officercontrolsince 05/2013 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Chappaqua, Ny | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 3, 2026HNW share of RAUM moved from 76.0% to 40.0% between the annual amendments of 2025-02-26 and 2026-03-03peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 312 to 153Mar 3, 2026 to Jul 8, 2026
- Corporate clients · 2 to 1Mar 3, 2026 to Jul 8, 2026
- HNW clients · 22 to 23Mar 3, 2026 to Jul 8, 2026
- Discretionary RAUM · $157M to $262MMar 3, 2026 to Jul 8, 2026
- HNW RAUM · $71.9M to $170MMar 3, 2026 to Jul 8, 2026
- Individual RAUM · $76.8M to $85.0MMar 3, 2026 to Jul 8, 2026
- Non-discretionary RAUM · $23.3M to $33.2MMar 3, 2026 to Jul 8, 2026
- Pension RAUM · $25.4M to $33.2MMar 3, 2026 to Jul 8, 2026
- RAUM · $180M to $296MMar 3, 2026 to Jul 8, 2026
- Accounts · 174 to 312Feb 26, 2025 to Mar 3, 2026
- Advisory activities · 3 to 2Feb 26, 2025 to Mar 3, 2026
- Corporate clients · 3 to 2Feb 26, 2025 to Mar 3, 2026
- HNW clients · 31 to 22Feb 26, 2025 to Mar 3, 2026
- Individual clients · 20 to 124Feb 26, 2025 to Mar 3, 2026
- Pension plan clients · 5 to 6Feb 26, 2025 to Mar 3, 2026
- Pooled vehicle clients · 1 to 0Feb 26, 2025 to Mar 3, 2026
- Financial planning clients · 0 to 1-10Feb 26, 2025 to Mar 3, 2026
- Discretionary RAUM · $156M to $157MFeb 26, 2025 to Mar 3, 2026
- HNW RAUM · $118M to $71.9MFeb 26, 2025 to Mar 3, 2026
- Individual RAUM · $7.7M to $76.8MFeb 26, 2025 to Mar 3, 2026
- Non-discretionary RAUM · $0 to $23.3MFeb 26, 2025 to Mar 3, 2026
- Pension RAUM · $20.8M to $25.4MFeb 26, 2025 to Mar 3, 2026
- Pooled vehicle RAUM · $2.0M to $0Feb 26, 2025 to Mar 3, 2026
- RAUM · $156M to $180MFeb 26, 2025 to Mar 3, 2026
- Accounts · 173 to 174Apr 12, 2024 to Feb 26, 2025
- Advisory activities · 2 to 3Apr 12, 2024 to Feb 26, 2025
- Corporate clients · unset to 3.0Apr 12, 2024 to Feb 26, 2025
- Individual clients · 25 to 20Apr 12, 2024 to Feb 26, 2025
- Pension plan clients · 6 to 5Apr 12, 2024 to Feb 26, 2025
- Pooled vehicle clients · 0 to 1Apr 12, 2024 to Feb 26, 2025
- Financial planning clients · 1-10 to 0Apr 12, 2024 to Feb 26, 2025
- HQ city · CHAPPAQUA to Apr 12, 2024 to Feb 26, 2025
- HQ state · NY to Apr 12, 2024 to Feb 26, 2025
- Discretionary RAUM · $140M to $156MApr 12, 2024 to Feb 26, 2025
- HNW RAUM · $107M to $118MApr 12, 2024 to Feb 26, 2025
- Individual RAUM · $5.5M to $7.7MApr 12, 2024 to Feb 26, 2025
- Pension RAUM · $19.8M to $20.8MApr 12, 2024 to Feb 26, 2025
- Pooled vehicle RAUM · $0 to $2.0MApr 12, 2024 to Feb 26, 2025
- RAUM · $140M to $156MApr 12, 2024 to Feb 26, 2025
- Wrap assets (manager) · 0.0 to unsetApr 12, 2024 to Feb 26, 2025
Signals
2 dated events
- G••••• B•• A••••••• L•• reported RAUM $295.7M, up 64% from $179.8M (2026-03-03 to 2026-07-08)Jul 8, 2026 · RAUM change · derived
- G••••• B•• A••••••• L•• filed its initial SEC registration (Form ADV)May 13, 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 email
- c•••••••••@g•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/golden-bay-advisors/?viewAsMember=truereportedpublic record, Form ADV, Sep 19, 2026
- Website
- G•••••BAYADVISORS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 914-215-0194reportedpublic record, Form ADV, Jul 8, 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
- $148Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026