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••••• S•••••• S••••••••• R••••••• C•• I•••

Former SEC-registered adviserNew York, New YorkCRD 174812SEC 801-81197IAPD
Latest filing Mar 2, 2016
First filing on the tape Mar 19, 2015 · 10 filings
RAUM
$6.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$6.9M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$6.9M as of Mar 2, 2016
Mar 19, 2015$4.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 2, 2016
Mar 19, 20151 then
Employees (5.A)2 as of Mar 2, 2016
Mar 19, 20151 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 2, 2016; every figure names its basis
RAUM per advisor
$6.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$1.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J•••••• G• S••New York, NyDec 15, 202129 y0
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
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S••• J••••••• G••••• · President/Ccocontrol
        since 12/1997 · 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
      • Discretionary RAUM · $7.9M to $6.9M
        Feb 3, 2016 to Mar 2, 2016
      • RAUM · $7.9M to $6.9M
        Feb 3, 2016 to Mar 2, 2016
      • Advisory employees · 2 to 1
        Jul 27, 2015 to Jul 27, 2015
      • Advisory employees · 1 to 2
        Mar 19, 2015 to Jul 13, 2015
      • Employees · 1 to 2
        Mar 19, 2015 to Jul 13, 2015
      • Discretionary RAUM · $4.0M to $7.9M
        Mar 19, 2015 to Jul 13, 2015
      • RAUM · $4.0M to $7.9M
        Mar 19, 2015 to Jul 13, 2015
      Signals
      1 dated events
      • G••••• S•••••• S••••••••• R••••••• C•• I••• filed its initial SEC registration (Form ADV)
        Mar 19, 2015 · 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
      $6.9Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026