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Independent wealth managerSEC-registered· New York, New Yorkwebsite

Independent wealth manager, based in New York, New York, reporting $71.9M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$71.9M
Advisors
1
Net advisor flow, 12 months
0
0 joined, 0 left
RAUM change, 1 year
+28%
Private clients
100%
of RAUM, $71.9M
See where advisers wentSee teams that moved
More
Advisors (1)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

  1. +28.1%
    RAUM, one year

    RAUM $56.1M to $71.9M (+28.1%) on the Form ADV filed 7 Aug 2026, while advisors on the filing held at 1.

    The one filed measure of whether clients are staying.

    FactForm ADV Item 5History →
Every filed figure, and the identifiersCRD 291109 · SEC 801-120941 · 10 filingsShow
CRD 291109SEC 801-120941First filing on the tape Mar 25, 2021, latest Aug 7, 2026SEC status approved since Apr 26, 2021IAPD
RAUM
$71.9M
reported, Item 5.F
Discretionary
24%
of RAUM
Private clients
100%
$71.9M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$71.9M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape

RAUM +19% a year over three years · the tape starts Mar 25, 2021

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$71.9M as of Aug 7, 2026
Feb 16, 2022$88.2M then
HNW client RAUM$70.2M as of Aug 7, 2026
Feb 16, 2022$81.5M then
State-registered IARs (5.B.3)1 as of Aug 7, 2026
Feb 16, 20221 then
Employees (5.A)1 as of Aug 7, 2026
Feb 16, 20221 then
Private funds: no history
RAUM +28% over the last fiscal year+19% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Aug 7, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)
RAUM per advisor
$71.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
13derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$7.8MderivedHNW RAUM over HNW clients
Average account
$1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
24%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year
+28%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+18%derived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, otherreportedItem 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)
  • 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

98% high-net-worth individuals, 2.3% individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow
  • High-net-worth individuals$70.2M98%
  • Individuals$1.7M2.3%
  • Corporations and businesses$39,7600.1%
Individual clients
4reported
HNW clients
9reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
47reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
Class basis
RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
0 left over 36 months
0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      1 on IAPD today; the longest tenured first
      NameBranchHere sinceIn industryPrior firms
      G•••••• M••• S•••••Chartered Financial AnalystNew York, NyJun 4, 202116 y0
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••• G•••••• · Managing Member & Chief Compliance Officercontrol
        since 10/2017 · owns 75% or more
      Who runs the funds
      related persons named most often on the Form D filings of the firm's funds
      No Form D related person is on record for this firm's funds.
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 39 to 47
        Oct 13, 2025 to Jan 22, 2026
      • HNW clients · 8 to 9
        Oct 13, 2025 to Jan 22, 2026
      • Individual clients · 3 to 4
        Oct 13, 2025 to Jan 22, 2026
      • Discretionary RAUM · $7.9M to $17.1M
        Oct 13, 2025 to Jan 22, 2026
      • HNW RAUM · $46.5M to $70.2M
        Oct 13, 2025 to Jan 22, 2026
      Full history · 37 changes
      • Individual RAUM · $1.3M to $1.7M
        Oct 13, 2025 to Jan 22, 2026
      • Non-discretionary RAUM · $48.3M to $54.8M
        Oct 13, 2025 to Jan 22, 2026
      • RAUM · $56.1M to $71.9M
        Oct 13, 2025 to Jan 22, 2026
      • HNW clients · 10 to 8
        Feb 9, 2024 to Feb 15, 2025
      • Individual clients · 4 to 3
        Feb 9, 2024 to Feb 15, 2025
      • Financial planning clients · 1-10 to 1-10
        Feb 9, 2024 to Feb 15, 2025
      • Discretionary RAUM · $6.4M to $7.9M
        Feb 9, 2024 to Feb 15, 2025
      • HNW RAUM · $51.1M to $46.5M
        Feb 9, 2024 to Feb 15, 2025
      • Individual RAUM · $769,509 to $1.3M
        Feb 9, 2024 to Feb 15, 2025
      • Non-discretionary RAUM · $61.6M to $48.3M
        Feb 9, 2024 to Feb 15, 2025
      • RAUM · $68.1M to $56.1M
        Feb 9, 2024 to Feb 15, 2025
      • Discretionary RAUM · $11.2M to $6.4M
        Feb 27, 2023 to Feb 9, 2024
      • HNW RAUM · $37.0M to $51.1M
        Feb 27, 2023 to Feb 9, 2024
      • Individual RAUM · $584,130 to $769,509
        Feb 27, 2023 to Feb 9, 2024
      • Non-discretionary RAUM · $31.3M to $61.6M
        Feb 27, 2023 to Feb 9, 2024
      • RAUM · $42.5M to $68.1M
        Feb 27, 2023 to Feb 9, 2024
      • Accounts · 47 to 39
        Apr 8, 2022 to Feb 27, 2023
      • HNW clients · 12 to 10
        Apr 8, 2022 to Feb 27, 2023
      • Discretionary RAUM · $35.5M to $11.2M
        Apr 8, 2022 to Feb 27, 2023
      • HNW RAUM · $81.5M to $37.0M
        Apr 8, 2022 to Feb 27, 2023
      • Individual RAUM · $1.7M to $584,130
        Apr 8, 2022 to Feb 27, 2023
      • Non-discretionary RAUM · $52.7M to $31.3M
        Apr 8, 2022 to Feb 27, 2023
      • RAUM · $88.2M to $42.5M
        Apr 8, 2022 to Feb 27, 2023
      • Accounts · 15 to 47
        May 28, 2021 to Feb 16, 2022
      • Corporate clients · 0 to 1
        May 28, 2021 to Feb 16, 2022
      • HNW clients · 10 to 12
        May 28, 2021 to Feb 16, 2022
      • Individual clients · 3 to 4
        May 28, 2021 to Feb 16, 2022
      • Discretionary RAUM · $34.4M to $35.5M
        May 28, 2021 to Feb 16, 2022
      • HNW RAUM · $33.2M to $81.5M
        May 28, 2021 to Feb 16, 2022
      • Individual RAUM · $1.2M to $1.7M
        May 28, 2021 to Feb 16, 2022
      • Non-discretionary RAUM · $0 to $52.7M
        May 28, 2021 to Feb 16, 2022
      • RAUM · $34.4M to $88.2M
        May 28, 2021 to Feb 16, 2022
      Signals
      1 dated events
      • ••• Locked
        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
      Business email
      ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Aug 7, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Aug 7, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      $71.9Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026