DFX Intelligence
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S•••••• J• G•••• • A••••••••• L••
Independent wealth manager, based in Garden City, New York, reporting $143M of regulatory assets across 3 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $143M
- Advisors
- 3
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +15%
- Private clients
- 100% of RAUM, $143M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Nothing material in the last 180 days. Last change: 24 Mar 2026, RAUM $124M to $143M (+15.4%) on the Form ADV filed 24 Mar 2026, while advisors on the filing rose 3 to 3.
Every filed figure, and the identifiersCRD 295068 · SEC 801-113487 · 16 filingsShowHide
CRD 295068SEC 801-113487First filing on the tape May 24, 2018, latest Mar 24, 2026SEC status approved since Jun 22, 2018IAPD
RAUM
$143M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$143M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$47.5M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$143M as of Mar 24, 2026
Mar 4, 2019$70.0M then
HNW client RAUM$90.8M as of Mar 24, 2026
Mar 4, 2019$25.0M then
State-registered IARs (5.B.3)3 as of Mar 24, 2026
Mar 4, 20191 then
Employees (5.A)4 as of Mar 24, 2026
Mar 4, 20192 then
Private funds: no history
RAUM +15% over the last fiscal year+15% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
The rule behind each archetype, and every derived figure4 rulesShowHide
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $47.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 100derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $323,249derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $143MreportedItem 5.I
- Custody
- $16.2M, 33 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$90.8M64%
- Individuals$51.7M36%
- Charitable organizations$30,6190.0%
- Individual clients
- 230reported
- HNW clients
- 70reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 441reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $16.2M for 33 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Advisors registered through the firm
3 on IAPD today; the 10 longest tenured
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• J••••• G••••Certified Financial Planner, Chartered Financial Consultant | Garden City, Ny | Jun 3, 2021 | 36 y | 0 |
| C••••• G•••• | Garden City, Ny | Sep 14, 2023 | 11 y | 0 |
| J••••• M••••• G•••• | Garden City, Ny | Mar 19, 2024 | 10 y | 0 |
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• S••••••• J••••• · President & Chief Compliance Officercontrolsince 04/2018 · 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 |
|---|---|---|---|---|---|
| Garden City, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 423 to 441Mar 24, 2025 to Mar 24, 2026
- Advisory activities · 3 to 2Mar 24, 2025 to Mar 24, 2026
- HNW clients · 58 to 70Mar 24, 2025 to Mar 24, 2026
- Individual clients · 209 to 230Mar 24, 2025 to Mar 24, 2026
- Assets in custody · $34.0M to $16.2MMar 24, 2025 to Mar 24, 2026
Full history · 80 changesShow fewer
- Financial planning clients · 0 to 11-25Mar 24, 2025 to Mar 24, 2026
- Discretionary RAUM · $124M to $143MMar 24, 2025 to Mar 24, 2026
- HNW RAUM · $73.5M to $90.8MMar 24, 2025 to Mar 24, 2026
- Individual RAUM · $48.8M to $51.7MMar 24, 2025 to Mar 24, 2026
- Pension RAUM · 929139.0 to unsetMar 24, 2025 to Mar 24, 2026
- RAUM · $124M to $143MMar 24, 2025 to Mar 24, 2026
- Accounts · 426 to 423Mar 19, 2024 to Mar 24, 2025
- Advisory employees · 2 to 3Mar 19, 2024 to Mar 24, 2025
- Advisory activities · 2 to 3Mar 19, 2024 to Mar 24, 2025
- HNW clients · 45 to 58Mar 19, 2024 to Mar 24, 2025
- Individual clients · 241 to 209Mar 19, 2024 to Mar 24, 2025
- Assets in custody · $32.7M to $34.0MMar 19, 2024 to Mar 24, 2025
- Financial planning clients · 0 to 0Mar 19, 2024 to Mar 24, 2025
- State-registered IARs · 2 to 3Mar 19, 2024 to Mar 24, 2025
- Discretionary RAUM · $110M to $124MMar 19, 2024 to Mar 24, 2025
- HNW RAUM · $59.1M to $73.5MMar 19, 2024 to Mar 24, 2025
- Individual RAUM · $50.3M to $48.8MMar 19, 2024 to Mar 24, 2025
- Pension RAUM · $787,712 to $929,139Mar 19, 2024 to Mar 24, 2025
- RAUM · $110M to $124MMar 19, 2024 to Mar 24, 2025
- Accounts · 425 to 426Mar 27, 2023 to Mar 19, 2024
- Advisory employees · 1 to 2Mar 27, 2023 to Mar 19, 2024
- BD registered reps · 1 to 3Mar 27, 2023 to Mar 19, 2024
- HNW clients · 50 to 45Mar 27, 2023 to Mar 19, 2024
- Individual clients · 235 to 241Mar 27, 2023 to Mar 19, 2024
- Assets in custody · $50.0M to $32.7MMar 27, 2023 to Mar 19, 2024
- Employees · 3 to 4Mar 27, 2023 to Mar 19, 2024
- Financial planning clients · 1-10 to 0Mar 27, 2023 to Mar 19, 2024
- State-registered IARs · 1 to 2Mar 27, 2023 to Mar 19, 2024
- Discretionary RAUM · $0 to $110MMar 27, 2023 to Mar 19, 2024
- HNW RAUM · $54.9M to $59.1MMar 27, 2023 to Mar 19, 2024
- Individual RAUM · $38.4M to $50.3MMar 27, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $93.8M to $0Mar 27, 2023 to Mar 19, 2024
- Pension RAUM · $606,906 to $787,712Mar 27, 2023 to Mar 19, 2024
- RAUM · $93.8M to $110MMar 27, 2023 to Mar 19, 2024
- Accounts · 434 to 425Jan 12, 2023 to Mar 27, 2023
- HNW clients · 35 to 50Jan 12, 2023 to Mar 27, 2023
- Individual clients · 261 to 235Jan 12, 2023 to Mar 27, 2023
- Pension plan clients · 1.0 to unsetJan 12, 2023 to Mar 27, 2023
- Assets in custody · $47.2M to $50.0MJan 12, 2023 to Mar 27, 2023
- HNW RAUM · $60.0M to $54.9MJan 12, 2023 to Mar 27, 2023
- Individual RAUM · $44.9M to $38.4MJan 12, 2023 to Mar 27, 2023
- Non-discretionary RAUM · $106M to $93.8MJan 12, 2023 to Mar 27, 2023
- Pension RAUM · $695,000 to $606,906Jan 12, 2023 to Mar 27, 2023
- RAUM · $106M to $93.8MJan 12, 2023 to Mar 27, 2023
- Accounts · 425 to 434Mar 24, 2021 to Mar 22, 2022
- HNW clients · 20 to 35Mar 24, 2021 to Mar 22, 2022
- Individual clients · 180 to 261Mar 24, 2021 to Mar 22, 2022
- Pension plan clients · unset to 1.0Mar 24, 2021 to Mar 22, 2022
- Assets in custody · $40.0M to $47.2MMar 24, 2021 to Mar 22, 2022
- Financial planning clients · 0 to 1-10Mar 24, 2021 to Mar 22, 2022
- HNW RAUM · $35.0M to $60.0MMar 24, 2021 to Mar 22, 2022
- Individual RAUM · $57.0M to $44.9MMar 24, 2021 to Mar 22, 2022
- Non-discretionary RAUM · $93.0M to $106MMar 24, 2021 to Mar 22, 2022
- Pension RAUM · $1.0M to $695,000Mar 24, 2021 to Mar 22, 2022
- RAUM · $93.0M to $106MMar 24, 2021 to Mar 22, 2022
- Accounts · 420 to 425Oct 27, 2020 to Mar 24, 2021
- HNW clients · 150 to 20Oct 27, 2020 to Mar 24, 2021
- Individual clients · 210 to 180Oct 27, 2020 to Mar 24, 2021
- Assets in custody · $15.6M to $40.0MOct 27, 2020 to Mar 24, 2021
- Employees · 2 to 3Oct 27, 2020 to Mar 24, 2021
- HNW RAUM · $40.0M to $35.0MOct 27, 2020 to Mar 24, 2021
- Individual RAUM · $45.0M to $57.0MOct 27, 2020 to Mar 24, 2021
- Non-discretionary RAUM · $85.0M to $93.0MOct 27, 2020 to Mar 24, 2021
- Pension RAUM · unset to 1000000.0Oct 27, 2020 to Mar 24, 2021
- RAUM · $85.0M to $93.0MOct 27, 2020 to Mar 24, 2021
- Assets in custody · unset to 15614036.0Jun 30, 2020 to Jul 27, 2020
- Custody of client assets · false to trueJun 30, 2020 to Jul 27, 2020
- Accounts · 390 to 420Mar 4, 2019 to Mar 9, 2020
- HNW clients · 60 to 150Mar 4, 2019 to Mar 9, 2020
- Individual clients · 150 to 210Mar 4, 2019 to Mar 9, 2020
- HNW RAUM · $25.0M to $40.0MMar 4, 2019 to Mar 9, 2020
- Non-discretionary RAUM · $70.0M to $85.0MMar 4, 2019 to Mar 9, 2020
- RAUM · $70.0M to $85.0MMar 4, 2019 to Mar 9, 2020
- Accounts · 386 to 390Oct 31, 2018 to Mar 4, 2019
- Advisory activities · 3 to 2Oct 31, 2018 to Mar 4, 2019
Signals
1 dated events
- ••• LockedMay 24, 2018 · 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
- Business email
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 24, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 24, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 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
- $47.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026