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•••••• C•••••• A•••• M•••••••••
Legal name G•••••• C•••••• A•••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Feb 11, 2020 · 12 filings
SEC status approved since Mar 13, 2020
RAUM
$599M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$579M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$599M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$599M as of Mar 30, 2026
Mar 24, 2021$119M then
HNW client RAUM$507M as of Mar 30, 2026
Mar 24, 2021$105M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 24, 20210 then
Employees (5.A)3 as of Mar 30, 2026
Mar 24, 20211 then
Private funds: no history
RAUM +19% over the last fiscal year+39% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $599MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 337derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +28%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- High-net-worth individuals$507M85%
- Individuals$71.7M12%
- Charitable organizations$14.1M2.4%
- Corporations and businesses$6.1M1.0%
- Individual clients
- 116reported
- HNW clients
- 221reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 346reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• M••••• P•••• | New York, Ny | Aug 18, 2025 | 23 y | 1 |
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••• D••••• M••••• · President And Chief Compliance Officercontrolsince 01/2020 · owns less than 5%
- P••••• D••••• M••••• · Membercontrolsince 11/2019 · owns 75% or more of P•••• H••••••••• L••
- R•••••• F••••••• · Shareholdercontrolsince 01/2007 · owns 75% or more of M•••• G•••••• C•••••• I•••
Entity owners
- G•••••• C•••••• M••••••••• I••• · Memberdirect · owns 50% to 75%
- P•••• H••••••••• L•• · Memberdirect · owns 50% to 75%
- M•••• G•••••• C•••••• I••• · Shareholderindirect · owns 75% or more of G•••••• C•••••• M••••••••• I•••
Related persons
Schedule D 7.A
- G•••••• C•••••• A•••••••investment advisernRAUM $421M
- G•••••• C••••••investment advisernRAUM $2.7B
Advisers that list G•••••• C•••••• A•••• M••••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 272 to 346Apr 3, 2025 to Mar 30, 2026
- Corporate clients · 7 to 8Apr 3, 2025 to Mar 30, 2026
- HNW clients · 164 to 221Apr 3, 2025 to Mar 30, 2026
- Individual clients · 100 to 116Apr 3, 2025 to Mar 30, 2026
- Discretionary RAUM · $503M to $599MApr 3, 2025 to Mar 30, 2026
- HNW RAUM · $425M to $507MApr 3, 2025 to Mar 30, 2026
- Individual RAUM · $57.2M to $71.7MApr 3, 2025 to Mar 30, 2026
- RAUM · $503M to $599MApr 3, 2025 to Mar 30, 2026
- Accounts · 191 to 272Mar 27, 2024 to Apr 3, 2025
- Corporate clients · 8 to 7Mar 27, 2024 to Apr 3, 2025
- HNW clients · 113 to 164Mar 27, 2024 to Apr 3, 2025
- Individual clients · 69 to 100Mar 27, 2024 to Apr 3, 2025
- Financial planning clients · unset to Mar 27, 2024 to Apr 3, 2025
- Discretionary RAUM · $369M to $503MMar 27, 2024 to Apr 3, 2025
- HNW RAUM · $313M to $425MMar 27, 2024 to Apr 3, 2025
- Individual RAUM · $38.4M to $57.2MMar 27, 2024 to Apr 3, 2025
- RAUM · $369M to $503MMar 27, 2024 to Apr 3, 2025
- Accounts · 99 to 191Apr 13, 2023 to Mar 27, 2024
- Advisory employees · 1 to 2Apr 13, 2023 to Mar 27, 2024
- Corporate clients · unset to 8.0Apr 13, 2023 to Mar 27, 2024
- HNW clients · 76 to 113Apr 13, 2023 to Mar 27, 2024
- Individual clients · 22 to 69Apr 13, 2023 to Mar 27, 2024
- Employees · 1 to 3Apr 13, 2023 to Mar 27, 2024
- Discretionary RAUM · $222M to $369MApr 13, 2023 to Mar 27, 2024
- HNW RAUM · $203M to $313MApr 13, 2023 to Mar 27, 2024
- Individual RAUM · $6.5M to $38.4MApr 13, 2023 to Mar 27, 2024
- RAUM · $222M to $369MApr 13, 2023 to Mar 27, 2024
- Accounts · 50 to 99Jan 5, 2023 to Mar 30, 2023
- HNW clients · 42 to 76Jan 5, 2023 to Mar 30, 2023
- Individual clients · 7 to 22Jan 5, 2023 to Mar 30, 2023
- Discretionary RAUM · $197M to $222MJan 5, 2023 to Mar 30, 2023
- HNW RAUM · $181M to $203MJan 5, 2023 to Mar 30, 2023
- Individual RAUM · $3.3M to $6.5MJan 5, 2023 to Mar 30, 2023
- RAUM · $197M to $222MJan 5, 2023 to Mar 30, 2023
- Accounts · 30 to 50Mar 24, 2021 to Mar 31, 2022
- HNW clients · 17 to 42Mar 24, 2021 to Mar 31, 2022
- Individual clients · 6 to 7Mar 24, 2021 to Mar 31, 2022
- Discretionary RAUM · $119M to $197MMar 24, 2021 to Mar 31, 2022
- HNW RAUM · $105M to $181MMar 24, 2021 to Mar 31, 2022
- Individual RAUM · $2.6M to $3.3MMar 24, 2021 to Mar 31, 2022
Signals
3 dated events
- G•••••• C•••••• A•••• M••••••••• reported RAUM $502.6M, up 36% from $368.8M (2024-03-27 to 2025-04-03)Apr 3, 2025 · RAUM change · derived
- G•••••• C•••••• A•••• M••••••••• reported RAUM $368.8M, up 66% from $221.8M (2023-04-13 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- G•••••• C•••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)Feb 11, 2020 · 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
- 646-669-8950reportedpublic record, Form ADV, Mar 30, 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
- $599Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026