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
B•••••• I••••••••• G••••• I•••
Latest filing Aug 31, 2018
First filing on the tape Dec 20, 2017 · 7 filings
RAUM
$75.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$75.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$75.4M as of Aug 31, 2018
Dec 20, 2017$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Aug 31, 2018
Dec 20, 20171 then
Employees (5.A)2 as of Aug 31, 2018
Dec 20, 20172 then
Private funds: no history
Practice profile
derived from the filing of Aug 31, 2018; every figure names its basis
- RAUM per advisor
- $75.4MderivedRAUM 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
- $150,740derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%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 assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $75.4MreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$75.0M100%
- Corporations and businesses$300,0000.4%
- State and municipal entities$50,0000.1%
- Individual clients
- 298reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 500reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- G•••••• S•••• N••••• to A••• I••••••••• G••••Aug 5, 2025 · RIA to RIA
Joined, latest
- G•••••• S•••• N••••• from A••••••••• F•••••••• S•••••••• L••Apr 17, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••••• G••••••• S• · Managing Member, President, Chief Executive Officer And Chief Compliance Officercontrolsince 10/2017 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Georges Mills, Nh | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 500Aug 7, 2018 to Aug 22, 2018
- Individual clients · unset to 298.0Aug 7, 2018 to Aug 22, 2018
- Discretionary RAUM · $0 to $75.4MAug 7, 2018 to Aug 22, 2018
- Individual RAUM · unset to 75000000.0Aug 7, 2018 to Aug 22, 2018
- RAUM · $0 to $75.4MAug 7, 2018 to Aug 22, 2018
- BD registered reps · 0 to 1Jun 13, 2018 to Aug 7, 2018
Signals
2 dated events
- Gregory Scott Norris left Barrell Investment Group, Inc. for Apex Investment Group (registered 2025-05-13)Aug 5, 2025 · Advisor changed firm · fact
- Barrell Investment Group, Inc. filed its initial SEC registration (Form ADV)Dec 20, 2017 · 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026