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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Latest filing Jan 22, 2026
First filing on the tape Nov 1, 2018 · 18 filings
SEC status approved since Dec 3, 2018
RAUM
$118M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$107M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
18 filings and snapshots on the tape
RAUM$118M as of Jan 22, 2026
Jan 30, 2019$1.2M then
HNW client RAUM$106M as of Jan 22, 2026
Jan 22, 2020$113M then
State-registered IARs (5.B.3)0 as of Jan 22, 2026
Jan 30, 20190 then
Employees (5.A)1 as of Jan 22, 2026
Jan 30, 20192 then
Private funds: no history
RAUM -24% over the last fiscal year-4.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 22, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.8MderivedHNW RAUM over HNW clients
- Average account
- $8.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -24%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.1%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$106M90%
- Charitable organizations$10.9M9.3%
- Individuals$718,5970.6%
- Individual clients
- 1reported
- HNW clients
- 12reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 14reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• S••••• · Chief Compliance Officercontrolsince 11/2018 · owns 50% to 75%
- W••••••••• C•••••• · Managing Directorcontrolsince 11/2018 · owns 50% to 75%
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 · 30 to 14Jun 10, 2025 to Jan 22, 2026
- Advisory employees · 2 to 1Jun 10, 2025 to Jan 22, 2026
- HNW clients · 13 to 12Jun 10, 2025 to Jan 22, 2026
- Employees · 2 to 1Jun 10, 2025 to Jan 22, 2026
- Discretionary RAUM · $153M to $118MJun 10, 2025 to Jan 22, 2026
- HNW RAUM · $143M to $106MJun 10, 2025 to Jan 22, 2026
- Individual RAUM · $653,303 to $718,597Jun 10, 2025 to Jan 22, 2026
- RAUM · $153M to $118MJun 10, 2025 to Jan 22, 2026
- HNW clients · 11 to 13Mar 30, 2025 to Jun 10, 2025
- Individual clients · 3 to 1Mar 30, 2025 to Jun 10, 2025
- Financial planning clients · 0 to 0Mar 30, 2025 to Jun 10, 2025
- Discretionary RAUM · $155M to $153MMar 30, 2025 to Jun 10, 2025
- HNW RAUM · $140M to $143MMar 30, 2025 to Jun 10, 2025
- Individual RAUM · $4.5M to $653,303Mar 30, 2025 to Jun 10, 2025
- RAUM · $155M to $153MMar 30, 2025 to Jun 10, 2025
- Accounts · 31 to 30Jan 8, 2025 to Mar 30, 2025
- HNW clients · 13 to 11Jan 8, 2025 to Mar 30, 2025
- Individual clients · 2 to 3Jan 8, 2025 to Mar 30, 2025
- Discretionary RAUM · $156M to $155MJan 8, 2025 to Mar 30, 2025
- HNW RAUM · $144M to $140MJan 8, 2025 to Mar 30, 2025
- Individual RAUM · $1.3M to $4.5MJan 8, 2025 to Mar 30, 2025
- RAUM · $156M to $155MJan 8, 2025 to Mar 30, 2025
- Accounts · 25 to 31Jan 11, 2024 to Jan 8, 2025
- HNW clients · 22 to 13Jan 11, 2024 to Jan 8, 2025
- HQ city · unset to Jan 11, 2024 to Jan 8, 2025
- HQ state · unset to Jan 11, 2024 to Jan 8, 2025
- Discretionary RAUM · $151M to $156MJan 11, 2024 to Jan 8, 2025
- HNW RAUM · $140M to $144MJan 11, 2024 to Jan 8, 2025
- Individual RAUM · $1.2M to $1.3MJan 11, 2024 to Jan 8, 2025
- RAUM · $151M to $156MJan 11, 2024 to Jan 8, 2025
- HNW clients · 21 to 22Jan 21, 2023 to Jan 11, 2024
- Individual clients · 3 to 2Jan 21, 2023 to Jan 11, 2024
- Discretionary RAUM · $135M to $151MJan 21, 2023 to Jan 11, 2024
- HNW RAUM · $123M to $140MJan 21, 2023 to Jan 11, 2024
- Individual RAUM · $2.7M to $1.2MJan 21, 2023 to Jan 11, 2024
- RAUM · $135M to $151MJan 21, 2023 to Jan 11, 2024
- Accounts · 26 to 25Jan 13, 2022 to Jan 21, 2023
- HNW clients · 22 to 21Jan 13, 2022 to Jan 21, 2023
- Discretionary RAUM · $157M to $135MJan 13, 2022 to Jan 21, 2023
- HNW RAUM · $143M to $123MJan 13, 2022 to Jan 21, 2023
Signals
1 dated events
- C•••• G••••• L•• filed its initial SEC registration (Form ADV)Nov 1, 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
- Principal office phone
- 603 306-1230reportedpublic record, Form ADV, Jan 22, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026