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••••••• A••••••• L••
Latest filing Aug 12, 2026
First filing on the tape May 15, 2019 · 41 filings
SEC status approved since Jun 21, 2019
RAUM
$778M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
83%
$645M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$130M
derived; firm RAUM over IAPD count
Employees
10
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$778M as of Aug 12, 2026
Mar 27, 2020$95.7M then
HNW client RAUM$544M as of Aug 12, 2026
Mar 27, 2020$67.5M then
State-registered IARs (5.B.3)7 as of Aug 12, 2026
Mar 27, 20201 then
Employees (5.A)10 as of Aug 12, 2026
Mar 27, 20201 then
Private funds4 as of Aug 12, 2026
Mar 7, 20233 then
RAUM +24% over the last fiscal year+39% a year over threeIARs 5 to 7
Practice profile
derived from the filing of Aug 12, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $130MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $565,094derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +40%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$544M70%
- Individuals$101M13%
- Corporations and businesses$96.9M12%
- Pooled investment vehicles$27.0M3.5%
- Charitable organizations$8.9M1.1%
- Individual clients
- 236reported
- HNW clients
- 207reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 1,376reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.83 fund_share=0.03 institutional_share=0.01 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• B••••••Chartered Financial Analyst | New York, Ny | Feb 7, 2017 | 18 y | 4 |
| A•••••• P•••• | New York, Ny | Sep 1, 2021 | 10 y | 0 |
| H•••• J••• M••••• | Dallas, Tx | May 22, 2023 | 31 y | 1 |
| C••• L•Chartered Financial Analyst | New York, Ny | Mar 22, 2024 | 12 y | 1 |
| B••••• A••••• D•••••• | New York, Ny | Mar 22, 2024 | 13 y | 1 |
| B•••• D••••• C•••• | New York, Ny | May 24, 2024 | 10 y | 0 |
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 headcount1 left over 36 months
Left, latest
- M•••••• B••••• to B••••• P••••• A•••••••• L••Oct 12, 2023 · RIA to RIA
- A••••• M•••••• A•••••• to G• C••Nov 8, 2019 · Other
Joined, latest
- B••••• A••••• D•••••• from P••••• M•••• F•••••••• A•••••••Mar 22, 2024 · Other
- C••• L• from G•••••• S•••• W••••• S•••••••• L•••Mar 22, 2024 · Other
- H•••• J••• M••••• from R•• R•••••••• L••May 22, 2023 · Other
- A••••• M•••••• A•••••• from R•• R•••••••• L••Oct 4, 2019 · Other
- S•••••• B•••••• from R•• R•••••••• L••Feb 7, 2017 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G••••••• P•••••• G••••• F••• L• | Private Equity Fund | $5.4M | 89 | Sep 22, 2022 |
| D••••••• S••• A• S••••• O• G••••••• M••••• 2•••• L•• | Other Private Fund | $538,804 | 56 | Oct 19, 2022 |
| K••••• S••• A• S••••• O• G••••••• M••••• 2•••• L•• | Other Private Fund | $164,791 | 55 | Oct 19, 2022 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• S•••••• · Ceocontrolsince 03/2016 · owns 75% or more
- P••••••• K••••••••• A•••••••• · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,139 to 1,376Oct 15, 2025 to Mar 31, 2026
- Advisory employees · 5 to 7Oct 15, 2025 to Mar 31, 2026
- Corporate clients · 34 to 39Oct 15, 2025 to Mar 31, 2026
- HNW clients · 172 to 207Oct 15, 2025 to Mar 31, 2026
- Individual clients · 240 to 236Oct 15, 2025 to Mar 31, 2026
- Pooled vehicle clients · 3 to 4Oct 15, 2025 to Mar 31, 2026
- Employees · 9 to 10Oct 15, 2025 to Mar 31, 2026
- Financial planning clients · 26-50 to 51-100Oct 15, 2025 to Mar 31, 2026
- State-registered IARs · 5 to 7Oct 15, 2025 to Mar 31, 2026
- Private funds · 3 to 4Oct 15, 2025 to Mar 31, 2026
- Discretionary RAUM · $623M to $759MOct 15, 2025 to Mar 31, 2026
- HNW RAUM · $428M to $544MOct 15, 2025 to Mar 31, 2026
- Individual RAUM · $116M to $101MOct 15, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $5.1M to $18.7MOct 15, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $12.6M to $27.0MOct 15, 2025 to Mar 31, 2026
- RAUM · $628M to $778MOct 15, 2025 to Mar 31, 2026
- BD registered reps · 0 to 2Mar 31, 2025 to Oct 15, 2025
- Accounts · 1,292 to 1,139Jan 21, 2025 to Mar 31, 2025
- Advisory activities · 2 to 3Jan 21, 2025 to Mar 31, 2025
- Corporate clients · 25 to 34Jan 21, 2025 to Mar 31, 2025
- HNW clients · 390 to 172Jan 21, 2025 to Mar 31, 2025
- Individual clients · 547 to 240Jan 21, 2025 to Mar 31, 2025
- Pooled vehicle clients · 0 to 3Jan 21, 2025 to Mar 31, 2025
- Assets in custody · $6.2M to $0Jan 21, 2025 to Mar 31, 2025
- Custody of client assets · true to falseJan 21, 2025 to Mar 31, 2025
- Employees · 7 to 9Jan 21, 2025 to Mar 31, 2025
- Financial planning clients · 26-50 to 26-50Jan 21, 2025 to Mar 31, 2025
- Discretionary RAUM · $675M to $623MJan 21, 2025 to Mar 31, 2025
- HNW RAUM · $276M to $428MJan 21, 2025 to Mar 31, 2025
- Individual RAUM · $356M to $116MJan 21, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $0 to $5.1MJan 21, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $0 to $12.6MJan 21, 2025 to Mar 31, 2025
- RAUM · $675M to $628MJan 21, 2025 to Mar 31, 2025
- Accounts · 1,039 to 1,292Jun 14, 2024 to Jan 21, 2025
- Charity clients · 0 to 1Jun 14, 2024 to Jan 21, 2025
- Corporate clients · 11 to 25Jun 14, 2024 to Jan 21, 2025
- HNW clients · 24 to 390Jun 14, 2024 to Jan 21, 2025
- Individual clients · 17 to 547Jun 14, 2024 to Jan 21, 2025
- Pooled vehicle clients · 3 to 0Jun 14, 2024 to Jan 21, 2025
- Discretionary RAUM · $463M to $675MJun 14, 2024 to Jan 21, 2025
Signals
5 dated events
- G••••••• A••••••• L•• reported RAUM $675.1M, up 46% from $463.4M (2024-06-14 to 2025-01-21)Jan 21, 2025 · RAUM change · derived
- Anastasia Katharine Pritsos (Chief Compliance Officer) appeared on Schedule A of G••••••• A••••••• L••Mar 16, 2024 · Control person joined · fact
- M•••••• B••••• left G••••••• A••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2025-07-25)Oct 12, 2023 · Advisor changed firm · fact
- G••••••• A••••••• L•• reported RAUM $393.7M, up 37% from $286.7M (2023-08-04 to 2023-09-18)Sep 18, 2023 · RAUM change · derived
- G••••••• A••••••• L•• filed its initial SEC registration (Form ADV)May 15, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- G••••••• A••••••• L•• · Independent Sponsorsshared crd · capital_provider
- G••••••• A••••••• L•• · Private Equityshared crd · organization
- G••••••• A••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 678-920-3981reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- goalvestvc.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (646) 941-8458reportedpublic record, Form ADV, Aug 12, 2026
- Team page
- goalvestvc.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $130Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026