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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Former SEC-registered adviser

G•••••• F•••••••• P•••••••

Former SEC-registered adviserMilford, New HampshireCRD 172241SEC 801-113236IAPD
Legal name G•••••• F•••••••• P•••••••• L••
Latest filing Nov 22, 2022
First filing on the tape Apr 16, 2018 · 23 filings
RAUM
$250M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
46%
$114M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$250M as of Mar 10, 2022
Feb 19, 2019$112M then
HNW client RAUM$79.4M as of Mar 10, 2022
Feb 19, 2019$25.7M then
State-registered IARs (5.B.3)5 as of Mar 10, 2022
Feb 19, 20193 then
Employees (5.A)9 as of Mar 10, 2022
Feb 19, 20198 then
Private funds: no history
RAUM +25% over the last fiscal year+31% a year over threeIARs 5 to 2
Practice profile
derived from the filing of Nov 22, 2022; every figure names its basis
RAUM per advisor
$125MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
100derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.7MderivedHNW RAUM over HNW clients
Average account
$463,182derivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
54%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+25%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+22%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
Wrap fee program
$201MreportedItem 5.I
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$128M51%
  • High-net-worth individuals$79.4M32%
  • Individuals$34.9M14%
  • Charitable organizations$4.6M1.8%
  • Insurance companies$1.9M0.8%
  • Corporations and businesses$1.5M0.6%
Individual clients
171reported
HNW clients
29reported
Pension plan clients
63reported
Charitable clients
2reported
Accounts
540reported
Financial planning clients
101-250reported
Wrap fee programs
$100M sponsored, $100M managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • E••••••• J•••••••• J•• · Principal & Chief Compliance Officercontrol
      since 07/2017 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Pepperell, MA1 employees
    What changed
    consecutive filings, newest first
    • Advisory employees · 4 to 2
      Aug 9, 2022 to Sep 7, 2022
    • Employees · 8 to 6
      Aug 9, 2022 to Sep 7, 2022
    • State-registered IARs · 4 to 2
      Aug 9, 2022 to Sep 7, 2022
    • Advisory employees · 5 to 4
      Mar 10, 2022 to Aug 9, 2022
    • Employees · 9 to 8
      Mar 10, 2022 to Aug 9, 2022
    • State-registered IARs · 5 to 4
      Mar 10, 2022 to Aug 9, 2022
    • Accounts · 512 to 540
      Jan 21, 2022 to Mar 10, 2022
    • Corporate clients · 6 to 7
      Jan 21, 2022 to Mar 10, 2022
    • HNW clients · 19 to 29
      Jan 21, 2022 to Mar 10, 2022
    • Individual clients · 145 to 171
      Jan 21, 2022 to Mar 10, 2022
    • Pension plan clients · 61 to 63
      Jan 21, 2022 to Mar 10, 2022
    • Discretionary RAUM · $186M to $227M
      Jan 21, 2022 to Mar 10, 2022
    • HNW RAUM · $48.7M to $79.4M
      Jan 21, 2022 to Mar 10, 2022
    • Individual RAUM · $35.9M to $34.9M
      Jan 21, 2022 to Mar 10, 2022
    • Non-discretionary RAUM · $14.5M to $23.4M
      Jan 21, 2022 to Mar 10, 2022
    • Pension RAUM · $108M to $128M
      Jan 21, 2022 to Mar 10, 2022
    • RAUM · $201M to $250M
      Jan 21, 2022 to Mar 10, 2022
    • Wrap assets (manager) · $65.0M to $100M
      Jan 21, 2022 to Mar 10, 2022
    • Wrap assets (sponsor) · $65.0M to $100M
      Jan 21, 2022 to Mar 10, 2022
    • Advisory employees · 4 to 5
      Dec 10, 2021 to Jan 10, 2022
    • Employees · 8 to 9
      Dec 10, 2021 to Jan 10, 2022
    • State-registered IARs · 4 to 5
      Dec 10, 2021 to Jan 10, 2022
    • Advisory employees · 5 to 4
      Oct 14, 2021 to Dec 10, 2021
    • Employees · 9 to 8
      Oct 14, 2021 to Dec 10, 2021
    • State-registered IARs · 5 to 4
      Oct 14, 2021 to Dec 10, 2021
    • Accounts · 432 to 512
      Oct 8, 2020 to Mar 24, 2021
    • Charity clients · 3 to 2
      Oct 8, 2020 to Mar 24, 2021
    • Corporate clients · 1 to 6
      Oct 8, 2020 to Mar 24, 2021
    • HNW clients · 38 to 19
      Oct 8, 2020 to Mar 24, 2021
    • Individual clients · 103 to 145
      Oct 8, 2020 to Mar 24, 2021
    • Pension plan clients · 43 to 61
      Oct 8, 2020 to Mar 24, 2021
    • Discretionary RAUM · $132M to $186M
      Oct 8, 2020 to Mar 24, 2021
    • HNW RAUM · $36.3M to $48.7M
      Oct 8, 2020 to Mar 24, 2021
    • Individual RAUM · $18.9M to $35.9M
      Oct 8, 2020 to Mar 24, 2021
    • Non-discretionary RAUM · $9.7M to $14.5M
      Oct 8, 2020 to Mar 24, 2021
    • Pension RAUM · $78.0M to $108M
      Oct 8, 2020 to Mar 24, 2021
    • RAUM · $142M to $201M
      Oct 8, 2020 to Mar 24, 2021
    • Wrap assets (manager) · $55.0M to $65.0M
      Oct 8, 2020 to Mar 24, 2021
    • Wrap assets (sponsor) · $55.0M to $65.0M
      Oct 8, 2020 to Mar 24, 2021
    • Advisory employees · 4 to 5
      Sep 22, 2020 to Oct 8, 2020
    Signals
    7 dated events
    • J••••••• J•• E•••••• left G•••••• F•••••••• P••••••• for K••• P••••• L•• (registered 2023-01-30)
      May 11, 2023 · a•••••• firm change · fact
    • J•••• R••• S•••••• left G•••••• F•••••••• P••••••• for K••• P••••• L•• (registered 2023-01-23)
      May 11, 2023 · a•••••• firm change · fact
    • 2 advisors left G•••••• F•••••••• P••••••• (Milford, NH) for K••• P••••• L•• on the same day
      May 11, 2023 · Team lift-out · derived
    • J••• M•••••• F••••••• left G•••••• F•••••••• P••••••• for F•••• P••••••• W•••••• L•• (registered 2022-09-27)
      Sep 7, 2022 · a•••••• firm change · fact
    • K••• C••••••••• S•••• left G•••••• F•••••••• P••••••• for T• G•••• (registered 2023-06-05)
      Aug 9, 2022 · a•••••• firm change · fact
    • T••••• M•••••• C••••• (Chief Compliance Officer / Senior Advisor) no longer on Schedule A of G•••••• F•••••••• P••••••• (listed 2020-06-22, absent 2020-08-18)
      Aug 18, 2020 · Control person left · inference
    • G•••••• F•••••••• P••••••• filed its initial SEC registration (Form ADV)
      Apr 16, 2018 · 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.
    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
    Former SEC-registered adviserderiveda 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