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•••••••• S••••••••• L••

Former SEC-registered adviserWest Hartford, ConnecticutCRD 284758SEC 801-108230IAPD
Latest filing Oct 11, 2024
First filing on the tape Aug 1, 2016 · 47 filings
RAUM
$6.1B
reported, Item 5.F
Discretionary
72%
of RAUM
Private clients
58%
$3.5B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
69
42 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$6.1B as of Mar 28, 2024
Mar 31, 2017$2.9B then
HNW client RAUM$3.0B as of Mar 28, 2024
Mar 29, 2018$354M then
State-registered IARs (5.B.3)43 as of Mar 28, 2024
Mar 31, 20179 then
Employees (5.A)69 as of Mar 28, 2024
Mar 31, 201715 then
Private funds: no history
RAUM +15% over the last fiscal year+8.6% a year over threeIARs 36 to 43
Practice profile
derived from the filing of Oct 11, 2024; every figure names its basis
RAUM per advisor
$141MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
44derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.8MderivedHNW RAUM over HNW clients
Average account
$1.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
72%derivedof RAUM
Institutional
41%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
6.1derived7 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
+19%derivedItem 5.B.3 between annual amendments
Client growth, one year
+8.4%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminars, otherreportedItem 5.G
Wrap fee program
$978MreportedItem 5.I
Custody
$257M, 965 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • controlled by a public reporting company (10.A)
  • marketing includes testimonials (5.L.1.c)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$3.0B50%
  • State and municipal entities$1.9B32%
  • Pension and profit-sharing plans$506M8.3%
  • Individuals$455M7.5%
  • Corporations and businesses$86.5M1.4%
  • Charitable organizations$59.0M1.0%
Individual clients
1,077reported
HNW clients
804reported
Pension plan clients
19reported
Charitable clients
16reported
Accounts
5,862reported
Financial planning clients
1-10reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$257M for 965 clientsreported
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
Left, latest
Joined, latest
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
    • B••••• J•••••• I• · Coocontrol
      since 08/2022 · owns less than 5%
    • C••••••• M••••••• A• · Managing Director & Senior Wealth Advisorcontrol
      since 07/2021 · owns less than 5%
    • G•••• R•••••• M•••• · Managing Director - Chrocontrol
      since 07/2021 · owns less than 5%
    • G•••••••• G•••••• B•••• · Chief Executive Officer And Co-Foundercontrol
      since 08/2016 · owns less than 5%
    • G•••••••• J•••••• S••••• · Managing Director And Senior Wealth Advisorcontrol
      since 06/2023 · owns less than 5%
    • G••••• M••••••• L••••••• · Managing Director And Senior Wealth Advisorcontrol
      since 07/2022 · owns less than 5%
    • H•••••••• B••••• T• · Managing Director And Co-Foundercontrol
      since 04/2023 · owns less than 5%
    • K••••••••• P••••• A••••••• · Managing Director & Senior Wealth Advisorcontrol
      since 01/2019 · owns less than 5%
    • L•••••• M••••••• J••••• · Managing Director Of Institutional Client Servicescontrol
      since 08/2016 · owns less than 5%
    • M••••••• J•••••• B•••••• · Managing Director & Senior Wealth Advisorcontrol
      since 01/2019 · owns less than 5%
    • M•••••••• C•••••• F••••• · Managing Director & Senior Institutional Consultantcontrol
      since 08/2016 · owns less than 5%
    • Y•••••• J•••••••• S••••• · President Of Private Client Services & Co-Foundercontrol
      since 08/2016 · owns less than 5%
    • C•••••• R•••• D•••• · Chief Compliance Officer
      since 03/2023 · owns less than 5%
    • C••••• A•••• · Managing Director And Co-Founder
      since 03/2023 · owns less than 5%
    • G•••••••• C••••• M••••••• · Managing Director Of Portfolio Strategies
      since 03/2023 · owns less than 5%
    • M••••••• V••••••• J••• · Managing Director & Senior Wealth Advisor
      since 03/2023 · owns less than 5%
    Entity owners
    • F•••• O••••••••• L•• · Member (Manager)
      direct · owns 75% or more
    • C••• F•••••••• C••••••••• L••• · Partner
      indirect · owns 25% to 50% of C••• F•••••••• H•••••••• L•••
    • C••• F•••••••• H•••••••• L••• · Partner
      indirect · owns 50% to 75% of F•••••••• F•• U••••••• H•••••••• L•
    • C••••••• D••••••• • R••• F••• X••• L••• · Partner
      indirect · owns 50% to 75% of C••• F•••••••• H•••••••• L•••
    • F•••••••• F•• A••••••••• L•• · Shareholder, Class A Common Stock
      indirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
    • F•••••••• F•• I••••••••• H•••••••• L•• · Member
      indirect · owns 75% or more of F•••••••• F•• A••••••••• L••
    • F•••••••• F•• P•••••• I••• · Member
      indirect · owns 75% or more of F•••••••• F•• I••••••••• H•••••••• L••
    • F•••••••• F•• U••••••• H•••••••• L• · Shareholder Class B Common Stock
      indirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
    • F•••••••• F•• U••••••• H•••••••• L• · Shareholder
      indirect · owns 75% or more of F•••••••• F•• P•••••• I•••
    • F•••• F•••••••• P••••••• I••• · Member
      indirect · owns 75% or more of F•••• F•••••••• P•••••••• L••
    • F•••• F•••••••• P•••••••• L•• · Member
      indirect · owns 75% or more of F•••• O••••••••• L••
    Related persons
    Schedule D 7.A
    Advisers that list G•• F•••••••• S••••••••• L•• as a related person
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    West Hartford, Ct · principal000
    Offices
    Schedule D 1.F, the 25 largest
    • Westport, CT15 employees
    • New York, NY6 employees
    • Parsippany, NJ3 employees
    • Wayne, PA3 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Other offices · 7 to 6
      Mar 28, 2024 to Apr 19, 2024
    • Accounts · 5,913 to 5,862
      Dec 21, 2023 to Mar 28, 2024
    • Advisory employees · 37 to 42
      Dec 21, 2023 to Mar 28, 2024
    • Charity clients · 17 to 16
      Dec 21, 2023 to Mar 28, 2024
    • Corporate clients · 23 to 21
      Dec 21, 2023 to Mar 28, 2024
    • HNW clients · 848 to 804
      Dec 21, 2023 to Mar 28, 2024
    • Individual clients · 1,070 to 1,077
      Dec 21, 2023 to Mar 28, 2024
    • Pension plan clients · 21 to 19
      Dec 21, 2023 to Mar 28, 2024
    • Assets in custody · $232M to $257M
      Dec 21, 2023 to Mar 28, 2024
    • Employees · 67 to 69
      Dec 21, 2023 to Mar 28, 2024
    • State-registered IARs · 38 to 43
      Dec 21, 2023 to Mar 28, 2024
    • Discretionary RAUM · $4.0B to $4.4B
      Dec 21, 2023 to Mar 28, 2024
    • HNW RAUM · $2.9B to $3.0B
      Dec 21, 2023 to Mar 28, 2024
    • Individual RAUM · $423M to $455M
      Dec 21, 2023 to Mar 28, 2024
    • Non-discretionary RAUM · $1.7B to $1.7B
      Dec 21, 2023 to Mar 28, 2024
    • Pension RAUM · $478M to $506M
      Dec 21, 2023 to Mar 28, 2024
    • RAUM · $5.8B to $6.1B
      Dec 21, 2023 to Mar 28, 2024
    • Accounts · 5,394 to 5,913
      Mar 29, 2023 to Apr 28, 2023
    • Advisory employees · 36 to 37
      Mar 29, 2023 to Apr 28, 2023
    • Charity clients · 16 to 17
      Mar 29, 2023 to Apr 28, 2023
    • Corporate clients · 20 to 23
      Mar 29, 2023 to Apr 28, 2023
    • HNW clients · 748 to 848
      Mar 29, 2023 to Apr 28, 2023
    • Individual clients · 988 to 1,070
      Mar 29, 2023 to Apr 28, 2023
    • Assets in custody · $148M to $232M
      Mar 29, 2023 to Apr 28, 2023
    • Employees · 61 to 67
      Mar 29, 2023 to Apr 28, 2023
    • State-registered IARs · 36 to 38
      Mar 29, 2023 to Apr 28, 2023
    • Other offices · 6 to 7
      Mar 29, 2023 to Apr 28, 2023
    • Discretionary RAUM · $3.6B to $4.0B
      Mar 29, 2023 to Apr 28, 2023
    • HNW RAUM · $2.5B to $2.9B
      Mar 29, 2023 to Apr 28, 2023
    • Individual RAUM · $372M to $423M
      Mar 29, 2023 to Apr 28, 2023
    • Non-discretionary RAUM · $1.7B to $1.7B
      Mar 29, 2023 to Apr 28, 2023
    • Pension RAUM · $472M to $478M
      Mar 29, 2023 to Apr 28, 2023
    • RAUM · $5.3B to $5.8B
      Mar 29, 2023 to Apr 28, 2023
    • Accounts · 4,693 to 5,394
      Nov 4, 2022 to Mar 29, 2023
    • Advisory employees · 31 to 36
      Nov 4, 2022 to Mar 29, 2023
    • Charity clients · 12 to 16
      Nov 4, 2022 to Mar 29, 2023
    • Corporate clients · 17 to 20
      Nov 4, 2022 to Mar 29, 2023
    • HNW clients · 659 to 748
      Nov 4, 2022 to Mar 29, 2023
    • Individual clients · 834 to 988
      Nov 4, 2022 to Mar 29, 2023
    • Pension plan clients · 22 to 21
      Nov 4, 2022 to Mar 29, 2023
    Signals
    28 dated events
    • A••• M••••• L••••• G••••• left G•• F•••••••• S••••••••• L•• for J••• M••••• S••••••••• L•• (registered 2024-09-26)
      Apr 2, 2024 · Advisor changed firm · fact
    • Samuel Joshua Goldberg (Managing Director And Senior Wealth Advisor) appeared on Schedule A of G•• F•••••••• S••••••••• L••
      Aug 25, 2023 · Control person joined · fact
    • A••••••••• D•••••• left G•• F•••••••• S••••••••• L•• for Mariner (registered 2023-07-07)
      Jul 25, 2023 · Advisor changed firm · fact
    • 2 advisors left H••••••• I••••••••• M••••••••• L•• (Wayne, PA) for G•• F•••••••• S••••••••• L•• on the same day
      Apr 28, 2023 · Team lift-out · derived
    • T Bruce H••••••• (Managing Director And Co-Founder) appeared on Schedule A of G•• F•••••••• S••••••••• L••
      Apr 28, 2023 · Control person joined · fact
    • C•••••• Lee Batten (Director Of Performance Reporting) no longer on Schedule A of G•• F•••••••• S••••••••• L•• (listed 2022-11-04, absent 2023-03-29)
      Mar 29, 2023 · Control person left · inference
    • Elizabeth Wendy Duncan (Director Of Client Services) no longer on Schedule A of G•• F•••••••• S••••••••• L•• (listed 2022-11-04, absent 2023-03-29)
      Mar 29, 2023 · Control person left · inference
    • S•••• R••••• (Director Of Investment Research) no longer on Schedule A of G•• F•••••••• S••••••••• L•• (listed 2022-11-04, absent 2023-03-29)
      Mar 29, 2023 · Control person left · inference
    • Yvette Brenda Delmore (Director Of Client Services) no longer on Schedule A of G•• F•••••••• S••••••••• L•• (listed 2022-11-04, absent 2023-03-29)
      Mar 29, 2023 · Control person left · inference
    • 2 advisors left F•••••••• P••••••• C•••••• M••••••••• L•• (New York, NY) for G•• F•••••••• S••••••••• L•• on the same day
      Mar 28, 2023 · Team lift-out · derived
    • F•••••••• P••••••• C•••••• M••••••••• L••'s advisors moved to G•• F•••••••• S••••••••• L•• (Aventura, FL): 3 of 5 registered, on the same day
      Mar 28, 2023 · Firm absorbed (people side) · derived
    • I Joshua Brier (Coo) appeared on Schedule A of G•• F•••••••• S••••••••• L••
      Oct 6, 2022 · Control person joined · fact
    • S•••• R••••• (Director Of Investment Research) appeared on Schedule A of G•• F•••••••• S••••••••• L••
      Aug 8, 2022 · Control person joined · fact
    • C•••••• Lee Batten (Director Of Performance Reporting) appeared on Schedule A of G•• F•••••••• S••••••••• L••
      Aug 8, 2022 · Control person joined · fact
    • Yvette Brenda Delmore (Director Of Client Services) appeared on Schedule A of G•• F•••••••• S••••••••• L••
      Aug 8, 2022 · Control person joined · fact
    • Elizabeth Wendy Duncan (Director Of Client Services) appeared on Schedule A of G•• F•••••••• S••••••••• L••
      Aug 8, 2022 · Control person joined · fact
    • Lawrence Michael Green (Managing Director And Senior Wealth Advisor) appeared on Schedule A of G•• F•••••••• S••••••••• L••
      Jul 15, 2022 · Control person joined · fact
    • J•••••••• A•••••• left G•• F•••••••• S••••••••• L•• for R•• A••••••• L•• (registered 2022-07-11)
      Jul 15, 2022 · Advisor changed firm · fact
    • J•••••••• A•••••• (Chief Compliance Officer) no longer on Schedule A of G•• F•••••••• S••••••••• L•• (listed 2022-03-25, absent 2022-06-17)
      Jun 17, 2022 · Control person left · inference
    • K••• A•••• J•••••• left G•• F•••••••• S••••••••• L•• for R• C•••••• M••••••••• L•• (registered 2023-06-15)
      May 11, 2022 · Advisor changed firm · fact
    • A Melissa Ciotoli (Senior Managing Director) appeared on Schedule A of G•• F•••••••• S••••••••• L••
      Jul 12, 2021 · Control person joined · fact
    • Maryn Rachel Gelb (Managing Director - Chro) appeared on Schedule A of G•• F•••••••• S••••••••• L••
      Jul 12, 2021 · Control person joined · fact
    • G•• F•••••••• S••••••••• L•• reported RAUM $3.8B, up 31% from $2.9B (2019-01-02 to 2019-02-05)
      Feb 5, 2019 · RAUM change · derived
    • G•• F•••••••• S••••••••• L•• reported 26 state-registered advisory representatives, up from 10 (2018-12-21 to 2019-01-02)
      Jan 2, 2019 · Advisor headcount change · derived
    • B•••••• Joseph Mcbride (Senior Vice President, Wealth Advisory) appeared on Schedule A of G•• F•••••••• S••••••••• L••
      Jan 2, 2019 · Control person joined · fact
    • Augustus Peter Karadimas (Senior Vice President, Wealth Advisory) appeared on Schedule A of G•• F•••••••• S••••••••• L••
      Jan 2, 2019 · Control person joined · fact
    • G•• F•••••••• S••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Aug 1, 2016 · Succession (Item 4) · fact
    • G•• F•••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)
      Aug 1, 2016 · ria f•••• adv filing · 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