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•••••••• W••••• M••••••••• L••
Latest filing Apr 10, 2026
First filing on the tape Feb 19, 2020 · 14 filings
SEC status approved since Mar 20, 2020
RAUM
$83.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$80.0M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$41.9M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$83.8M as of Apr 10, 2026
Mar 31, 2021$53.0M then
HNW client RAUM$59.5M as of Apr 10, 2026
Mar 31, 2021$27.3M then
State-registered IARs (5.B.3)2 as of Apr 10, 2026
Mar 31, 20211 then
Employees (5.A)4 as of Apr 10, 2026
Mar 31, 20214 then
Private funds: no history
RAUM -13% over the last fiscal year+26% a year over threeIARs 2 to 2offices 1 to 2
Practice profile
derived from the filing of Apr 10, 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
- 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
- RAUM per advisor
- $41.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $377,370derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, 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
- is an insurance broker or agent (6.A.6)
- 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$59.5M71%
- Individuals$20.5M25%
- Corporations and businesses$3.7M4.5%
- Individual clients
- 88reported
- HNW clients
- 58reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 222reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• H••••• G••• | New York, Ny | Jul 14, 2021 | 20 y | 3 |
| B•••• J• T•••• | Jupiter, Fl | May 7, 2026 | 17 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- B•••• J• T•••• from B•• S••••••••• I•••May 7, 2026 · Affiliated broker-dealer or bank to independent RIA
- J•••• H••••• G••• from B•• S••••••••• I•••Jul 14, 2021 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• I•• · Membercontrolsince 08/2021 · owns 50% to 75%
- G•••• J•••• · Membercontrolsince 04/2020 · owns 25% to 50%
- T••••• B••••• J• · Member, Chief Compliance Officercontrolsince 04/2020 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| New York, Ny · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Other offices · 1 to 2Mar 30, 2026 to Apr 10, 2026
- Accounts · 207 to 222Mar 31, 2025 to Mar 30, 2026
- HNW clients · 69 to 58Mar 31, 2025 to Mar 30, 2026
- Individual clients · 71 to 88Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $96.8M to $83.8MMar 31, 2025 to Mar 30, 2026
- HNW RAUM · $64.4M to $59.5MMar 31, 2025 to Mar 30, 2026
- Individual RAUM · $32.3M to $20.5MMar 31, 2025 to Mar 30, 2026
- RAUM · $96.8M to $83.8MMar 31, 2025 to Mar 30, 2026
- Accounts · 221 to 207Mar 29, 2024 to Mar 31, 2025
- HNW clients · 46 to 69Mar 29, 2024 to Mar 31, 2025
- Individual clients · 60 to 71Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $75.0M to $96.8MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $63.6M to $64.4MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $11.4M to $32.3MMar 29, 2024 to Mar 31, 2025
- RAUM · $75.0M to $96.8MMar 29, 2024 to Mar 31, 2025
- Accounts · 212 to 221Mar 30, 2023 to Mar 29, 2024
- HNW clients · 13 to 46Mar 30, 2023 to Mar 29, 2024
- Individual clients · 98 to 60Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $41.9M to $75.0MMar 30, 2023 to Mar 29, 2024
- HNW RAUM · $19.0M to $63.6MMar 30, 2023 to Mar 29, 2024
- Individual RAUM · $20.8M to $11.4MMar 30, 2023 to Mar 29, 2024
- RAUM · $41.9M to $75.0MMar 30, 2023 to Mar 29, 2024
- Accounts · 218 to 212Mar 30, 2022 to Mar 30, 2023
- BD registered reps · 1 to 0Mar 30, 2022 to Mar 30, 2023
- HNW clients · 22 to 13Mar 30, 2022 to Mar 30, 2023
- Individual clients · 94 to 98Mar 30, 2022 to Mar 30, 2023
- State-registered IARs · 1 to 2Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $53.2M to $41.9MMar 30, 2022 to Mar 30, 2023
- HNW RAUM · $29.9M to $19.0MMar 30, 2022 to Mar 30, 2023
- Individual RAUM · $23.3M to $20.8MMar 30, 2022 to Mar 30, 2023
- RAUM · $53.2M to $41.9MMar 30, 2022 to Mar 30, 2023
- Accounts · 189 to 218Sep 23, 2021 to Mar 30, 2022
- HNW clients · 16 to 22Sep 23, 2021 to Mar 30, 2022
- Individual clients · 86 to 94Sep 23, 2021 to Mar 30, 2022
- Discretionary RAUM · $53.0M to $53.2MSep 23, 2021 to Mar 30, 2022
- HNW RAUM · $27.3M to $29.9MSep 23, 2021 to Mar 30, 2022
- Individual RAUM · $25.4M to $23.3MSep 23, 2021 to Mar 30, 2022
- RAUM · $53.0M to $53.2MSep 23, 2021 to Mar 30, 2022
- Accounts · 170 to 189Feb 22, 2021 to Mar 31, 2021
Signals
7 dated events
- Ina C•••• (Member) appeared on Schedule A of G•••••••• W••••• M••••••••• L••Sep 23, 2021 · Control person joined · fact
- K Harvey C•••• (Chief Compliance Officer, Managing Member) no longer on Schedule A of G•••••••• W••••• M••••••••• L•• (listed 2021-06-28, absent 2021-09-23)Sep 23, 2021 · Control person left · inference
- K Harvey C•••• (Chief Compliance Officer, Managing Member) appeared on Schedule A of G•••••••• W••••• M••••••••• L••Apr 27, 2020 · Control person joined · fact
- J Brian Tirri (Member) appeared on Schedule A of G•••••••• W••••• M••••••••• L••Apr 27, 2020 · Control person joined · fact
- Jason Gold (Member) appeared on Schedule A of G•••••••• W••••• M••••••••• L••Apr 27, 2020 · Control person joined · fact
- J•••••• J••••• G•••• (Chief Compliance Officer) no longer on Schedule A of G•••••••• W••••• M••••••••• L•• (listed 2020-02-19, absent 2020-04-27)Apr 27, 2020 · Control person left · inference
- G• W••••• M••••••••• filed its initial SEC registration (Form ADV)Feb 19, 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
- 201-738-2818reportedpublic record, Form ADV, Apr 10, 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
- $41.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026