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••••••• W••••• M••••••••• L••
Latest filing Jan 3, 2026
First filing on the tape Apr 23, 2013 · 21 filings
SEC status approved since May 6, 2013
RAUM
$46.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$46.5M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$46.5M as of Jan 3, 2026
Feb 11, 2014$29.0M then
HNW client RAUM$39.9M as of Jan 3, 2026
Jan 27, 2018$32.2M then
State-registered IARs (5.B.3)0 as of Jan 3, 2026
Feb 11, 20140 then
Employees (5.A)2 as of Jan 3, 2026
Feb 11, 20142 then
Private funds: no history
RAUM +3.9% over the last fiscal year-5.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 3, 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
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $845,182derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- hourlyreportedItem 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$39.9M86%
- Individuals$6.6M14%
- Individual clients
- 12reported
- HNW clients
- 13reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 55reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••••• J••• T••• · President And Chief Compliance Officercontrolsince 11/2011 · owns 50% to 75%
- G•••••••• J•••• B•••• · Vice Presidentcontrolsince 11/2011 · 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
- HNW clients · 11 to 13Jan 7, 2025 to Jan 3, 2026
- Individual clients · 14 to 12Jan 7, 2025 to Jan 3, 2026
- Discretionary RAUM · $44.7M to $46.5MJan 7, 2025 to Jan 3, 2026
- HNW RAUM · $35.6M to $39.9MJan 7, 2025 to Jan 3, 2026
- Individual RAUM · $9.2M to $6.6MJan 7, 2025 to Jan 3, 2026
- RAUM · $44.7M to $46.5MJan 7, 2025 to Jan 3, 2026
- HNW clients · 13 to 11Jan 8, 2024 to Jan 7, 2025
- Individual clients · 12 to 14Jan 8, 2024 to Jan 7, 2025
- Financial planning clients · 1-10 to 1-10Jan 8, 2024 to Jan 7, 2025
- HQ city · unset to Jan 8, 2024 to Jan 7, 2025
- HQ state · unset to Jan 8, 2024 to Jan 7, 2025
- Discretionary RAUM · $40.7M to $44.7MJan 8, 2024 to Jan 7, 2025
- HNW RAUM · $34.5M to $35.6MJan 8, 2024 to Jan 7, 2025
- Individual RAUM · $6.2M to $9.2MJan 8, 2024 to Jan 7, 2025
- RAUM · $40.7M to $44.7MJan 8, 2024 to Jan 7, 2025
- Accounts · 56 to 55Jan 9, 2023 to Jan 8, 2024
- Individual clients · 13 to 12Jan 9, 2023 to Jan 8, 2024
- Discretionary RAUM · $55.2M to $40.7MJan 9, 2023 to Jan 8, 2024
- HNW RAUM · $48.6M to $34.5MJan 9, 2023 to Jan 8, 2024
- Individual RAUM · $6.6M to $6.2MJan 9, 2023 to Jan 8, 2024
- RAUM · $55.2M to $40.7MJan 9, 2023 to Jan 8, 2024
- HNW clients · 16 to 13Jan 25, 2022 to Jan 9, 2023
- Individual clients · 9 to 13Jan 25, 2022 to Jan 9, 2023
- Financial planning clients · 11-25 to 1-10Jan 25, 2022 to Jan 9, 2023
- Discretionary RAUM · $53.8M to $55.2MJan 25, 2022 to Jan 9, 2023
- HNW RAUM · $50.0M to $48.6MJan 25, 2022 to Jan 9, 2023
- Individual RAUM · $3.8M to $6.6MJan 25, 2022 to Jan 9, 2023
- RAUM · $53.8M to $55.2MJan 25, 2022 to Jan 9, 2023
- Accounts · 19 to 56Jan 15, 2021 to Jan 25, 2022
- HNW clients · 13 to 16Jan 15, 2021 to Jan 25, 2022
- Individual clients · 6 to 9Jan 15, 2021 to Jan 25, 2022
- Discretionary RAUM · $49.2M to $53.8MJan 15, 2021 to Jan 25, 2022
- HNW RAUM · $47.0M to $50.0MJan 15, 2021 to Jan 25, 2022
- Individual RAUM · $2.2M to $3.8MJan 15, 2021 to Jan 25, 2022
- RAUM · $49.2M to $53.8MJan 15, 2021 to Jan 25, 2022
- Accounts · 13 to 19Jun 9, 2020 to Jan 15, 2021
- HNW clients · 11 to 13Jun 9, 2020 to Jan 15, 2021
- Individual clients · 2 to 6Jun 9, 2020 to Jan 15, 2021
- Discretionary RAUM · $45.7M to $49.2MJun 9, 2020 to Jan 15, 2021
- HNW RAUM · $44.3M to $47.0MJun 9, 2020 to Jan 15, 2021
Signals
1 dated events
- G••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 23, 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
- Principal office phone
- 914-629-3694reportedpublic record, Form ADV, Jan 3, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026