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•••• P••• P•••••••
Legal name S•••••• B•••• L••
Latest filing Mar 20, 2026
First filing on the tape Aug 3, 2020 · 14 filings
SEC status approved since Sep 2, 2020
RAUM
$167M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
98%
$164M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$83.6M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$167M as of Mar 20, 2026
Jan 6, 2021$45.7M then
HNW client RAUM$160M as of Mar 20, 2026
Jan 6, 2021$43.4M then
State-registered IARs (5.B.3)2 as of Mar 20, 2026
Jan 6, 20211 then
Employees (5.A)3 as of Mar 20, 2026
Jan 6, 20212 then
Private funds: no history
RAUM +25% over the last fiscal year+24% a year over threeIARs 1 to 2offices 1 to 3
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
- RAUM per advisor
- $83.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $590,909derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%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
- 0.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.1%derived
- Compensation
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client cash (9.B.1.a)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$160M96%
- Individuals$4.1M2.5%
- Corporations and businesses$3.0M1.8%
- Individual clients
- 11reported
- HNW clients
- 55reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 283reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| C••••••••• C•••• P••••••Certified Financial Planner | Goshen, Ny | Oct 7, 2016 | 17 y | 3 |
| B•••••• R••• K•••••Certified Financial Planner | Goshen, Ny | Jul 29, 2025 | 11 y | 1 |
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
- B•••••• R••• K••••• from V••••••• A•••••••• I•••Jul 29, 2025 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• C•••• P•••••• from U••• F•••••••• P••••••• S•••••••Oct 7, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• C••••••••• C•••• · President And Chief Compliance Officercontrolsince 06/2016 · owns 75% or more
Related persons
Schedule D 7.A
- C••••••••• C• P••••••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Goshen, Ny · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Suffern, NY1 employees
What changed
consecutive filings, newest first
- Other offices · 2 to 3Feb 23, 2026 to Mar 20, 2026
- Accounts · 278 to 283Jul 29, 2025 to Feb 23, 2026
- Charity clients · unset to 0.0Jul 29, 2025 to Feb 23, 2026
- HNW clients · 50 to 55Jul 29, 2025 to Feb 23, 2026
- Individual clients · 13 to 11Jul 29, 2025 to Feb 23, 2026
- Pension plan clients · unset to 0.0Jul 29, 2025 to Feb 23, 2026
- Pooled vehicle clients · unset to 0.0Jul 29, 2025 to Feb 23, 2026
- Assets in custody · 1016442.0 to unsetJul 29, 2025 to Feb 23, 2026
- Custody of client assets · true to falseJul 29, 2025 to Feb 23, 2026
- Discretionary RAUM · $140M to $163MJul 29, 2025 to Feb 23, 2026
- HNW RAUM · $136M to $160MJul 29, 2025 to Feb 23, 2026
- Individual RAUM · $5.0M to $4.1MJul 29, 2025 to Feb 23, 2026
- Non-discretionary RAUM · $4.3M to $4.7MJul 29, 2025 to Feb 23, 2026
- Pension RAUM · unset to 0.0Jul 29, 2025 to Feb 23, 2026
- Pooled vehicle RAUM · unset to 0.0Jul 29, 2025 to Feb 23, 2026
- RAUM · $144M to $167MJul 29, 2025 to Feb 23, 2026
- Advisory employees · 1 to 2Jun 16, 2025 to Jul 29, 2025
- Employees · 2 to 3Jun 16, 2025 to Jul 29, 2025
- Financial planning clients · 51-100 to 51-100Jun 16, 2025 to Jul 29, 2025
- State-registered IARs · 1 to 2Jun 16, 2025 to Jul 29, 2025
- Other offices · 1 to 2Jun 16, 2025 to Jul 29, 2025
- Accounts · 265 to 278Mar 25, 2025 to Jun 16, 2025
- HNW clients · 51 to 50Mar 25, 2025 to Jun 16, 2025
- Discretionary RAUM · $130M to $140MMar 25, 2025 to Jun 16, 2025
- HNW RAUM · $126M to $136MMar 25, 2025 to Jun 16, 2025
- Individual RAUM · $4.6M to $5.0MMar 25, 2025 to Jun 16, 2025
- Non-discretionary RAUM · $4.3M to $4.3MMar 25, 2025 to Jun 16, 2025
- RAUM · $134M to $144MMar 25, 2025 to Jun 16, 2025
- Accounts · 240 to 265Feb 5, 2024 to Mar 25, 2025
- HNW clients · 41 to 51Feb 5, 2024 to Mar 25, 2025
- Individual clients · 14 to 13Feb 5, 2024 to Mar 25, 2025
- Assets in custody · $992,013 to $1.0MFeb 5, 2024 to Mar 25, 2025
- Discretionary RAUM · $110M to $130MFeb 5, 2024 to Mar 25, 2025
- HNW RAUM · $106M to $126MFeb 5, 2024 to Mar 25, 2025
- Individual RAUM · $5.3M to $4.6MFeb 5, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $4.1M to $4.3MFeb 5, 2024 to Mar 25, 2025
- RAUM · $114M to $134MFeb 5, 2024 to Mar 25, 2025
- Accounts · 214 to 240Sep 27, 2023 to Feb 5, 2024
- Corporate clients · 3.0 to unsetSep 27, 2023 to Feb 5, 2024
- HNW clients · 36 to 41Sep 27, 2023 to Feb 5, 2024
Signals
1 dated events
- G•••• P••• P••••••• filed its initial SEC registration (Form ADV)Aug 3, 2020 · 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
- Website
- g••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 845-397-7284reportedpublic record, Form ADV, Mar 20, 2026
- Contact form
- g••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $83.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026