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G••••• G••••

Independent wealth managerSEC-registered· Buffalo, New Yorkwebsite

Independent wealth manager, based in Buffalo, New York, reporting $34.7M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$34.7M
Form ADV
Advisors
0
IAPD
Net advisor flow, 12 months
Not established
RAUM change, last fiscal year
+2.9%
Form ADV, consecutive annual filings
Private clients
98% of RAUM, $34.0M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 170241 · SEC 801-79075 · 17 filingsShow
CRD 170241SEC 801-79075Legal name G••••• G•••• L••First filing on the tape Jan 8, 2014, latest Nov 12, 2021SEC status approved since Jan 1, 2014IAPD
RAUM
$34.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$34.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$34.7M as of Mar 31, 2021
Mar 30, 2015$39.7M then
HNW client RAUM$5.1M as of Mar 31, 2021
Mar 30, 2018$6.1M then
State-registered IARs (5.B.3)2 as of Mar 31, 2021
Mar 30, 20151 then
Employees (5.A)3 as of Mar 31, 2021
Mar 30, 20151 then
Private funds: no history
RAUM +2.9% over the last fiscal year+2.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Nov 12, 2021; every figure names its basis
Archetypes, each a printed rule
  • 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
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$17.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
88derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.0MderivedHNW RAUM over HNW clients
Average account
$136,459derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+2.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-11%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
  • is an insurance broker or agent (6.A.6)
  • 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
  • Individuals$28.8M83%
  • High-net-worth individuals$5.1M15%
  • Pooled investment vehicles$708,0002.0%
Individual clients
170reported
HNW clients
5reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
254reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.98 fund_share=0.02 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••• G••••••• M•••••• · President And Chief Compliance Officercontrol
        since 01/2014 · owns 75% or more
      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
      • Accounts · 274 to 254
        Jun 30, 2020 to Mar 31, 2021
      • HNW clients · 2 to 5
        Jun 30, 2020 to Mar 31, 2021
      • Individual clients · 194 to 170
        Jun 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $33.7M to $34.7M
        Jun 30, 2020 to Mar 31, 2021
      • HNW RAUM · $2.4M to $5.1M
        Jun 30, 2020 to Mar 31, 2021
      • Individual RAUM · $30.6M to $28.8M
        Jun 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $706,411 to $708,000
        Jun 30, 2020 to Mar 31, 2021
      • RAUM · $33.7M to $34.7M
        Jun 30, 2020 to Mar 31, 2021
      • Accounts · 182 to 274
        Mar 31, 2019 to Apr 1, 2020
      • HNW clients · 5 to 2
        Mar 31, 2019 to Apr 1, 2020
      • Individual clients · 176 to 194
        Mar 31, 2019 to Apr 1, 2020
      • Employees · 2 to 3
        Mar 31, 2019 to Apr 1, 2020
      • Discretionary RAUM · $28.9M to $33.7M
        Mar 31, 2019 to Apr 1, 2020
      • HNW RAUM · $4.9M to $2.4M
        Mar 31, 2019 to Apr 1, 2020
      • Individual RAUM · $23.3M to $30.6M
        Mar 31, 2019 to Apr 1, 2020
      • Pooled vehicle RAUM · $634,121 to $706,411
        Mar 31, 2019 to Apr 1, 2020
      • RAUM · $28.9M to $33.7M
        Mar 31, 2019 to Apr 1, 2020
      • Accounts · 301 to 182
        Mar 31, 2018 to Mar 31, 2019
      • Individual clients · 145 to 176
        Mar 31, 2018 to Mar 31, 2019
      • Discretionary RAUM · $32.4M to $28.9M
        Mar 31, 2018 to Mar 31, 2019
      • HNW RAUM · $6.1M to $4.9M
        Mar 31, 2018 to Mar 31, 2019
      • Individual RAUM · $25.7M to $23.3M
        Mar 31, 2018 to Mar 31, 2019
      • Pooled vehicle RAUM · $640,892 to $634,121
        Mar 31, 2018 to Mar 31, 2019
      • RAUM · $32.4M to $28.9M
        Mar 31, 2018 to Mar 31, 2019
      • Accounts · 408 to 301
        May 5, 2017 to Mar 30, 2018
      • Advisory employees · 1 to 2
        May 5, 2017 to Mar 30, 2018
      • HNW clients · unset to 5.0
        May 5, 2017 to Mar 30, 2018
      • Individual clients · unset to 145.0
        May 5, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 1.0
        May 5, 2017 to Mar 30, 2018
      • Employees · 1 to 2
        May 5, 2017 to Mar 30, 2018
      • State-registered IARs · 1 to 2
        May 5, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        May 5, 2017 to Mar 30, 2018
      • Discretionary RAUM · $31.0M to $32.4M
        May 5, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 6059741.0
        May 5, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 25710875.0
        May 5, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $10.0M to $0
        May 5, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 640892.0
        May 5, 2017 to Mar 30, 2018
      • RAUM · $41.0M to $32.4M
        May 5, 2017 to Mar 30, 2018
      • Accounts · 454 to 408
        Jun 14, 2016 to May 5, 2017
      • Discretionary RAUM · $33.0M to $31.0M
        Jun 14, 2016 to May 5, 2017
      Signals
      2 dated events
      • ••• Locked
        Jan 8, 2014 · First SEC registration · fact
      • ••• Locked
        Jan 8, 2014 · Succession (Item 4) · 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
      Website
      ••• Lockedreportedpublic record, Form ADV, Nov 12, 2021
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Nov 12, 2021
      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