DFX Intelligence

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P•••••• A•••• P•••••••

Independent wealth managerSEC-registered· Riverhead, New Yorkwebsite

Independent wealth manager, based in Riverhead, New York, reporting $64.6M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-01-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $64.6M
Advisors: 1
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +35%
Private clients: 93% of RAUM, $60.1M

Advisors (1)Advisor movement Where the RAUM sits

As of 2026-01-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +35% over the last fiscal year, to $64.6M.
2026-01-27
RAUM a year earlier $47.9MRAUM now $64.6M
4 published business contact points are on record, each with its source.
Contact points 4

Every filed figure, and the identifiersCRD 310121 · SEC 801-123475 · 8 filingsShow

CRD 310121SEC 801-123475Legal name P•••••• A•••• P•••••••• I•••First filing on the tape Feb 15, 2022, latest Jan 27, 2026SEC status approved since Mar 17, 2022IAPD

RAUM

$64.6M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

93%

$60.1M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$64.6M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

8 filings and snapshots on the tape

RAUM$64.6M as of Jan 27, 2026

Jan 27, 2023$32.7M then

HNW client RAUM$16.9M as of Jan 27, 2026

Jan 27, 2023$7.9M then

State-registered IARs (5.B.3)1 as of Jan 27, 2026

Jan 27, 20231 then

Employees (5.A)2 as of Jan 27, 2026

Jan 27, 20231 then

Private funds: no history

RAUM +35% over the last fiscal year+25% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Jan 27, 2026; every figure names its basis

Archetypes, each a printed rule

Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $64.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 203derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.1MderivedHNW RAUM over HNW clients
Average account: $313,548derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 5.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +35%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +2.5%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 5.G
Wrap fee program: $64.6MreportedItem 5.I
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)
receives research or other products from a broker-dealer, soft dollars (8.E)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$43.2M67%
High-net-worth individuals$16.9M26%
Charitable organizations$3.6M5.6%
Corporations and businesses$924,9581.4%

Individual clients: 188reported
HNW clients: 15reported
Pension plan clients: 0reported
Charitable clients: 1reported
Accounts: 206reported
Financial planning clients: reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.93 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=1.0derived

Advisors registered through the firm

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
G•••••• A••• C•••••••	Riverhead, Ny	Nov 3, 2020	41 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

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C•••••••• G••••••• A••• · Principal And Chief Compliance Officercontrol
since 07/2020 · 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.

What changed

consecutive filings, newest first

Accounts · 199 to 206
Jan 20, 2025 to Jan 27, 2026
Charity clients · 0 to 1
Jan 20, 2025 to Jan 27, 2026
Corporate clients · unset to 2.0
Jan 20, 2025 to Jan 27, 2026
HNW clients · 11 to 15
Jan 20, 2025 to Jan 27, 2026
Individual clients · 187 to 188
Jan 20, 2025 to Jan 27, 2026
Employees · 1 to 2
Jan 20, 2025 to Jan 27, 2026
Discretionary RAUM · $47.9M to $64.6M
Jan 20, 2025 to Jan 27, 2026
HNW RAUM · $7.6M to $16.9M
Jan 20, 2025 to Jan 27, 2026
Individual RAUM · $39.9M to $43.2M
Jan 20, 2025 to Jan 27, 2026
RAUM · $47.9M to $64.6M
Jan 20, 2025 to Jan 27, 2026
Accounts · 181 to 199
Jan 3, 2024 to Jan 20, 2025
HNW clients · unset to 11.0
Jan 3, 2024 to Jan 20, 2025
Individual clients · 176 to 187
Jan 3, 2024 to Jan 20, 2025
Financial planning clients · 0 to
Jan 3, 2024 to Jan 20, 2025
Discretionary RAUM · $40.6M to $47.9M
Jan 3, 2024 to Jan 20, 2025
HNW RAUM · $4.9M to $7.6M
Jan 3, 2024 to Jan 20, 2025
Individual RAUM · $35.4M to $39.9M
Jan 3, 2024 to Jan 20, 2025
RAUM · $40.6M to $47.9M
Jan 3, 2024 to Jan 20, 2025
Accounts · 147 to 181
Dec 13, 2023 to Jan 3, 2024
HNW clients · 13.0 to unset
Dec 13, 2023 to Jan 3, 2024
Individual clients · 112 to 176
Dec 13, 2023 to Jan 3, 2024
Discretionary RAUM · $32.7M to $40.6M
Dec 13, 2023 to Jan 3, 2024
HNW RAUM · $7.9M to $4.9M
Dec 13, 2023 to Jan 3, 2024
Individual RAUM · $24.6M to $35.4M
Dec 13, 2023 to Jan 3, 2024
RAUM · $32.7M to $40.6M
Dec 13, 2023 to Jan 3, 2024
Accounts · 111 to 147
Jun 8, 2022 to Jan 27, 2023
Corporate clients · 0.0 to unset
Jun 8, 2022 to Jan 27, 2023
HNW clients · 2 to 13
Jun 8, 2022 to Jan 27, 2023
Individual clients · 109 to 112
Jun 8, 2022 to Jan 27, 2023
Employees · 3 to 1
Jun 8, 2022 to Jan 27, 2023
Financial planning clients · unset to 0
Jun 8, 2022 to Jan 27, 2023
Discretionary RAUM · $31.1M to $32.7M
Jun 8, 2022 to Jan 27, 2023
HNW RAUM · $2.6M to $7.9M
Jun 8, 2022 to Jan 27, 2023
Individual RAUM · $28.5M to $24.6M
Jun 8, 2022 to Jan 27, 2023
RAUM · $31.1M to $32.7M
Jun 8, 2022 to Jan 27, 2023

Signals

1 dated events

••• Locked
Feb 15, 2022 · 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

Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Jan 27, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jan 27, 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: $64.6Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026