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••••••• L••

Independent wealth managerCRD 298149SEC 801-114620IAPD
Latest filing Mar 31, 2026
First filing on the tape Dec 21, 2018 · 8 filings
SEC status approved since Feb 11, 2019
RAUM
$663M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$663M 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
8 filings and snapshots on the tape
RAUM$663M as of Mar 31, 2026
May 19, 2020$482M then
HNW client RAUM$663M as of Mar 31, 2026
May 19, 2020$482M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
May 19, 20200 then
Employees (5.A)1 as of Mar 31, 2026
May 19, 20201 then
Private funds: no history
RAUM -3.1% over the last fiscal year+10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
  • UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
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
$166MderivedHNW RAUM over HNW clients
Average account
$166MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%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
-3.1%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$663M100%
Individual clients
n/areported
HNW clients
4reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, performancereported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• J•••••• J••• · Cco & Managing Membercontrol
        since 03/2012 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • low discretionary shareStatic outlier · filing Mar 31, 2026
        discretionary share of RAUM of 0% against a peer median of 99% (1482 comparable advisers, 0.0th percentile, 33.5 robust deviations)
        peers: independent wealth managers, $500M to $1B (1,482) · 0.0% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • HNW RAUM · $685M to $663M
        Mar 31, 2025 to Mar 31, 2026
      • Non-discretionary RAUM · $685M to $663M
        Mar 31, 2025 to Mar 31, 2026
      • RAUM · $685M to $663M
        Mar 31, 2025 to Mar 31, 2026
      • Financial planning clients · 0 to 0
        Apr 1, 2024 to Mar 31, 2025
      • HQ city · unset to
        Apr 1, 2024 to Mar 31, 2025
      • HQ state · unset to
        Apr 1, 2024 to Mar 31, 2025
      • HNW RAUM · $583M to $685M
        Apr 1, 2024 to Mar 31, 2025
      • Non-discretionary RAUM · $583M to $685M
        Apr 1, 2024 to Mar 31, 2025
      • RAUM · $583M to $685M
        Apr 1, 2024 to Mar 31, 2025
      • HNW RAUM · $493M to $583M
        Mar 31, 2023 to Apr 1, 2024
      • Non-discretionary RAUM · $493M to $583M
        Mar 31, 2023 to Apr 1, 2024
      • RAUM · $493M to $583M
        Mar 31, 2023 to Apr 1, 2024
      • HNW RAUM · $612M to $493M
        Mar 30, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · $612M to $493M
        Mar 30, 2022 to Mar 31, 2023
      • RAUM · $612M to $493M
        Mar 30, 2022 to Mar 31, 2023
      • Advisory activities · 1 to 2
        Mar 29, 2021 to Mar 30, 2022
      • HNW RAUM · $500M to $612M
        Mar 29, 2021 to Mar 30, 2022
      • Non-discretionary RAUM · $500M to $612M
        Mar 29, 2021 to Mar 30, 2022
      • RAUM · $500M to $612M
        Mar 29, 2021 to Mar 30, 2022
      • Accounts · 8 to 4
        May 19, 2020 to Mar 29, 2021
      • HNW clients · 2 to 4
        May 19, 2020 to Mar 29, 2021
      • Financial planning clients · unset to 0
        May 19, 2020 to Mar 29, 2021
      • HNW RAUM · $482M to $500M
        May 19, 2020 to Mar 29, 2021
      • Non-discretionary RAUM · $482M to $500M
        May 19, 2020 to Mar 29, 2021
      • RAUM · $482M to $500M
        May 19, 2020 to Mar 29, 2021
      • Accounts · 2 to 8
        Dec 21, 2018 to May 19, 2020
      • HNW RAUM · $342M to $482M
        Dec 21, 2018 to May 19, 2020
      • Non-discretionary RAUM · $342M to $482M
        Dec 21, 2018 to May 19, 2020
      • RAUM · $342M to $482M
        Dec 21, 2018 to May 19, 2020
      Signals
      2 dated events
      • G•• P••••••• L•• reported RAUM $481.8M, up 41% from $342.0M (2018-12-21 to 2020-05-19)
        May 19, 2020 · RAUM change · derived
      • G•• P••••••• L•• filed its initial SEC registration (Form ADV)
        Dec 21, 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
      203-856-6852reportedpublic record, Form ADV, Mar 31, 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