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•••••• W•••••
Wealth manager with institutional or fund businessShelton, ConnecticutCRD 285679SEC 801-120943websiteIAPD
Legal name G•• W••••• M••••••••• A•••••••• I•••
Latest filing Apr 15, 2026
First filing on the tape Mar 25, 2021 · 22 filings
SEC status approved since Apr 23, 2021
RAUM
$239M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
21%
$50.6M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$47.7M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$239M as of Apr 15, 2026
Mar 10, 2022$136M then
HNW client RAUM$49.5M as of Apr 15, 2026
Mar 10, 2022$91.9M then
State-registered IARs (5.B.3)4 as of Apr 15, 2026
Mar 10, 20226 then
Employees (5.A)4 as of Apr 15, 2026
Mar 10, 20226 then
Private funds: no history
RAUM -8.9% over the last fiscal year+21% a year over threeIARs 6 to 4
Practice profile
derived from the filing of Apr 15, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $47.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 10derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $24.7MderivedHNW RAUM over HNW clients
- Average account
- $10.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 79%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -36%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- participatesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$188M79%
- High-net-worth individuals$49.5M21%
- Individuals$1.2M0.5%
- Individual clients
- 48reported
- HNW clients
- 2reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 22reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.21 fund_share=0.0 institutional_share=0.79 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• A••• L•••••• | Shelton, Ct | Jul 26, 2017 | 30 y | 5 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months
Left, latest
- C••••••••• L••••••• G•••• to K••••• A••••••• S•••••••• L••Mar 27, 2026 · RIA to affiliated broker-dealer or bank
- J•••• R••• R••••••• to H•• W••••• M•••••••••Sep 5, 2019 · RIA to RIA
Joined, latest
- D•••• J••••• M•••••• from C•••••• S••••• • C••• I•••Apr 8, 2021 · Affiliated broker-dealer or bank to independent RIA
- S••• M•••••• R•••••• from U•• F•••••••• S••••••• I•••Apr 6, 2021 · Wirehouse to independent RIA
- R••••• A••• L•••••• from K••••• A••••••• S•••••••• L••Jul 26, 2017 · Other
- C••••••••• L••••••• G•••• from K••••• A••••••• S•••••••• L••Jun 7, 2017 · Other
- J•••• R••• R••••••• from K••••• A••••••• S•••••••• L••Mar 29, 2017 · Other
- L••••••• J••• G•••• from K••••• A••••••• S•••••••• L••Feb 3, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from K••••• A••••••• S•••••••• L••Mar 24, 2017 · Bridgeport, Ct
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• C••••••••• L••••••• · Presidentcontrolsince 01/2021 · owns less than 5%
- T•••••• G••••••• P•••••• · Chief Compliance Officercontrolsince 01/2021 · owns less than 5%
Entity owners
- C•••••••• H••••••• G••••• L•• · Ownerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- G•••• I•••••••• C••••••••• I•••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Shelton, Ct · principal | 5 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
6 against comparable advisers; where to look, not conclusions
- wealth to institutional shiftCombination · filing Apr 15, 2026private-client share fell 15 points or more while institutional share rose 15 points or more. RAUM $261,980,766 to $238,639,022, advisors 6 to 4, private clients 78 to 50, offices 0 to 0 (2025-03-20 to 2026-04-15)peers: independent wealth managers, $100M to $500M (5,678)
- high institutional concentrationStatic outlier · filing Apr 15, 2026institutional share of RAUM of 79% against a peer median of 0% (5678 comparable advisers, 100.0th percentile, 26.5 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 100% percentile
- institutional asset share shiftChange between filings · filing Apr 15, 2026institutional share of RAUM moved from 7.0% to 79.0% between the annual amendments of 2025-03-20 and 2026-04-15peers: independent wealth managers, $100M to $500M (5,678)
- client mix shiftChange between filings · filing Apr 15, 2026private-client share of RAUM moved from 93.0% to 21.0% between the annual amendments of 2025-03-20 and 2026-04-15peers: independent wealth managers, $100M to $500M (5,678)
- HNW share shiftChange between filings · filing Apr 15, 2026HNW share of RAUM moved from 87.0% to 21.0% between the annual amendments of 2025-03-20 and 2026-04-15peers: independent wealth managers, $100M to $500M (5,678)
- advisor count dropChange between filings · filing Apr 15, 2026advisory representatives (Item 5.B.3) moved from 6.0 to 4.0 (-33.0%) between the annual amendments of 2025-03-20 and 2026-04-15; the peer median change was 0.0% (965 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 4.1% percentile
What changed
consecutive filings, newest first
- BD registered reps · 5 to 4Mar 18, 2026 to Apr 15, 2026
- Advisory employees · 6 to 4Mar 18, 2026 to Apr 15, 2026
- Employees · 6 to 4Mar 18, 2026 to Apr 15, 2026
- State-registered IARs · 6 to 4Mar 18, 2026 to Apr 15, 2026
- Accounts · 42 to 22Mar 20, 2025 to Mar 18, 2026
- Charity clients · 3 to 0Mar 20, 2025 to Mar 18, 2026
- HNW clients · 54 to 2Mar 20, 2025 to Mar 18, 2026
- Individual clients · 24 to 48Mar 20, 2025 to Mar 18, 2026
- Pension plan clients · 3 to 0Mar 20, 2025 to Mar 18, 2026
- Financial planning clients · 51-100 to 0Mar 20, 2025 to Mar 18, 2026
- Discretionary RAUM · $262M to $239MMar 20, 2025 to Mar 18, 2026
- HNW RAUM · $228M to $49.5MMar 20, 2025 to Mar 18, 2026
- Individual RAUM · $15.3M to $1.2MMar 20, 2025 to Mar 18, 2026
- Pension RAUM · $6.7M to $188MMar 20, 2025 to Mar 18, 2026
- RAUM · $262M to $239MMar 20, 2025 to Mar 18, 2026
- Accounts · 56 to 42Mar 21, 2024 to Mar 20, 2025
- Charity clients · 1 to 3Mar 21, 2024 to Mar 20, 2025
- HNW clients · 25 to 54Mar 21, 2024 to Mar 20, 2025
- Individual clients · 29 to 24Mar 21, 2024 to Mar 20, 2025
- Financial planning clients · 51-100 to 51-100Mar 21, 2024 to Mar 20, 2025
- Discretionary RAUM · $132M to $262MMar 21, 2024 to Mar 20, 2025
- HNW RAUM · $97.8M to $228MMar 21, 2024 to Mar 20, 2025
- Individual RAUM · $17.3M to $15.3MMar 21, 2024 to Mar 20, 2025
- Pension RAUM · $7.1M to $6.7MMar 21, 2024 to Mar 20, 2025
- RAUM · $132M to $262MMar 21, 2024 to Mar 20, 2025
- Accounts · 238 to 56May 22, 2023 to Mar 21, 2024
- HNW clients · 67 to 25May 22, 2023 to Mar 21, 2024
- Individual clients · 93 to 29May 22, 2023 to Mar 21, 2024
- Pension plan clients · 4 to 3May 22, 2023 to Mar 21, 2024
- Financial planning clients · 101-250 to 51-100May 22, 2023 to Mar 21, 2024
- Discretionary RAUM · $135M to $132MMay 22, 2023 to Mar 21, 2024
- HNW RAUM · $105M to $97.8MMay 22, 2023 to Mar 21, 2024
- Individual RAUM · $16.4M to $17.3MMay 22, 2023 to Mar 21, 2024
- Pension RAUM · $6.6M to $7.1MMay 22, 2023 to Mar 21, 2024
- RAUM · $135M to $132MMay 22, 2023 to Mar 21, 2024
- Business name · G•• W••••• M••••••••• A•••••••• I••• D•• G•••• F•••••••• to G•••• P•••••• W•••••May 22, 2023 to May 22, 2023
- Advisory employees · 7 to 6Mar 8, 2023 to Mar 23, 2023
- Employees · 7 to 6Mar 8, 2023 to Mar 23, 2023
- State-registered IARs · 7 to 6Mar 8, 2023 to Mar 23, 2023
- Accounts · 226 to 238Jan 6, 2023 to Mar 8, 2023
Signals
3 dated events
- C••••••••• L••••••• G•••• left G•••• P•••••• W••••• for K••••• A••••••• S•••••••• L•• (registered 2023-05-01)Mar 27, 2026 · Advisor changed firm · fact
- G•••• P•••••• W••••• reported RAUM $262.0M, up 99% from $131.5M (2024-03-21 to 2025-03-20)Mar 20, 2025 · RAUM change · derived
- G•• W••••• M••••••••• A•••••••• I••• D•• G•••• F•••••••• filed its initial SEC registration (Form ADV)Mar 25, 2021 · 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••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (203) 335-0851reportedpublic record, Form ADV, Apr 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $47.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026