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••••••••• A•••• M••••••••• L••
Latest filing Jun 17, 2026
First filing on the tape Jul 20, 2020 · 17 filings
SEC status approved since May 19, 2022
RAUM
$593M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$593M
derived; firm RAUM over IAPD count
Employees
11
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
1
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$593M as of Jun 17, 2026
Mar 29, 2023$561M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jun 17, 2026
Mar 29, 20231 then
Employees (5.A)11 as of Jun 17, 2026
Mar 29, 202311 then
Private funds1 as of Jun 17, 2026
Mar 29, 20232 then
RAUM n/a over the last fiscal year+1.9% a year over three
Practice profile
derived from the filing of Jun 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $593MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $148MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 11.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $369M, 1 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$512M93%
- Other investment advisers$40.3M7.3%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $369M for 1 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.93 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• P• N•••••••••Chartered Financial Analyst | Glastonbury, Ct | Dec 14, 2020 | 31 y | 0 |
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••• U• C•• F••• U••• T•••• | Other Private Fund | $521M | 1 | Mar 29, 2023 |
| G••••••••• M••••••• H••••••• L• | Other Private Fund | $21.1M | 7 | Dec 9, 2020 |
Owners and control persons
Schedule A and B, latest filing
- K•••• J••••• B••••••• · Managing Directorcontrolsince 04/2022 · owns less than 5%
- M••••• M•••••••• C•• · Chief Operating Officercontrolsince 10/2022 · owns less than 5%
- N••••••••• M••••••• P••• · Co-Founder/Managing Directorcontrolsince 09/2019 · owns less than 5%
- Y•••••••• D••••• J•••• · Co-Founder & Managing Directorcontrolsince 09/2019 · owns less than 5%
- G••••••••• S•••••• J••• · Chief Compliance Officersince 04/2021 · owns less than 5%
Entity owners
- G••••••••• G•••• L•• · Memberdirect · owns 75% or more
- G••••••••• H••••••• L•• · Memberindirect · owns 75% or more of G••••••••• G•••• L••
Related persons
Schedule D 7.A
- G••••••••• A••••••• L••investment advisernRAUM $2.3B
- G••••••••• A••• L••••••broker-dealern
- G••••••••• C•••••• M•••••• E••••• L••broker-dealern
- G••••••••• C•••••• M•••••• L••broker-dealern
- G••••••••• M••••••• G• L••pooled vehicle sponsorn
Advisers that list G••••••••• A•••• M••••••••• L•• as a related person
- 305341 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $419M to $369MOct 14, 2025 to Mar 31, 2026
- Discretionary RAUM · $570M to $553MOct 14, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $36.0M to $40.3MOct 14, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $531M to $512MOct 14, 2025 to Mar 31, 2026
- RAUM · $606M to $593MOct 14, 2025 to Mar 31, 2026
- HQ city · SIMSBURY to GLASTONBURYAug 11, 2025 to Oct 14, 2025
- Advisory employees · 4 to 3Mar 21, 2024 to May 1, 2025
- BD registered reps · 4 to 3Mar 21, 2024 to May 1, 2025
- Pooled vehicle clients · 2 to 1Mar 21, 2024 to May 1, 2025
- Assets in custody · $517M to $419MMar 21, 2024 to May 1, 2025
- Employees · 12 to 11Mar 21, 2024 to May 1, 2025
- Financial planning clients · unset to Mar 21, 2024 to May 1, 2025
- HQ city · HARTFORD to SIMSBURYMar 21, 2024 to May 1, 2025
- Other offices · 0 to 3Mar 21, 2024 to May 1, 2025
- Private funds · 2 to 1Mar 21, 2024 to May 1, 2025
- Discretionary RAUM · $580M to $570MMar 21, 2024 to May 1, 2025
- Non-discretionary RAUM · $9.9M to $36.0MMar 21, 2024 to May 1, 2025
- Pooled vehicle RAUM · $542M to $531MMar 21, 2024 to May 1, 2025
- RAUM · $590M to $606MMar 21, 2024 to May 1, 2025
- Assets in custody · $517M to $517MMar 20, 2024 to Mar 21, 2024
- Discretionary RAUM · $580M to $580MMar 20, 2024 to Mar 21, 2024
- Non-discretionary RAUM · $10.0M to $9.9MMar 20, 2024 to Mar 21, 2024
- Pooled vehicle RAUM · $542M to $542MMar 20, 2024 to Mar 21, 2024
- RAUM · $590M to $590MMar 20, 2024 to Mar 21, 2024
- Accounts · 3 to 4May 1, 2023 to Mar 12, 2024
- BD registered reps · 3 to 4May 1, 2023 to Mar 12, 2024
- Assets in custody · $25.5M to $517MMay 1, 2023 to Mar 12, 2024
- Employees · 11 to 12May 1, 2023 to Mar 12, 2024
- Discretionary RAUM · $561M to $580MMay 1, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $0 to $10.0MMay 1, 2023 to Mar 12, 2024
- Pooled vehicle RAUM · $531M to $542MMay 1, 2023 to Mar 12, 2024
- RAUM · $561M to $590MMay 1, 2023 to Mar 12, 2024
- Accounts · 2 to 3Oct 12, 2022 to Mar 29, 2023
- BD registered reps · 1 to 3Oct 12, 2022 to Mar 29, 2023
- Assets in custody · $27.1M to $25.5MOct 12, 2022 to Mar 29, 2023
- Employees · 5 to 11Oct 12, 2022 to Mar 29, 2023
- Private funds · 1 to 2Oct 12, 2022 to Mar 29, 2023
- Discretionary RAUM · $150M to $561MOct 12, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $150M to $531MOct 12, 2022 to Mar 29, 2023
- RAUM · $150M to $561MOct 12, 2022 to Mar 29, 2023
Signals
9 dated events
- Mark Kenneth Wormser (Managing Director) no longer on Schedule A of G••••••••• A•••• M••••••••• L•• (listed 2022-10-12, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Dana Lesley Goldwasser Plutzik (Managing Director) no longer on Schedule A of G••••••••• A•••• M••••••••• L•• (listed 2022-10-12, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Scott Brian Zeitlin (Managing Director) no longer on Schedule A of G••••••••• A•••• M••••••••• L•• (listed 2022-10-12, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- G••••••••• A•••• M••••••••• L•• reported RAUM $561.0M, up 274% from $150.0M (2022-10-12 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- Cao Michelle Moore (Chief Operating Officer) appeared on Schedule A of G••••••••• A•••• M••••••••• L••Mar 29, 2023 · Control person joined · fact
- Dana Lesley Goldwasser Plutzik (Managing Director) appeared on Schedule A of G••••••••• A•••• M••••••••• L••Apr 19, 2022 · Control person joined · fact
- Scott Brian Zeitlin (Managing Director) appeared on Schedule A of G••••••••• A•••• M••••••••• L••Apr 19, 2022 · Control person joined · fact
- Brassler J•••• Kane (Managing Director) appeared on Schedule A of G••••••••• A•••• M••••••••• L••Apr 19, 2022 · Control person joined · fact
- G••••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 20, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- G••••••••• A•••• M••••••••• L•• · Family Officesshared crd · office
- G••••••••• A•••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- g•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 860-256-4952reportedpublic record, Form ADV, Jun 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $593Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026