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
C••••• C•••••• G••••
Legal name G•••••• C••••••
Latest filing Mar 28, 2026
First filing on the tape Jun 28, 2023 · 3 filings
SEC status approved since Jul 28, 2025
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$439M
derived; firm RAUM over IAPD count
Employees
11
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$1.3B as of Mar 28, 2026
Jun 26, 2025$483M then
HNW client RAUM$0 as of Mar 28, 2026
Jun 26, 2025$0 then
State-registered IARs (5.B.3)3 as of Mar 28, 2026
Jun 26, 20253 then
Employees (5.A)11 as of Mar 28, 2026
Jun 26, 20259 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 28, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- RAUM per advisor
- $439MderivedRAUM 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
- $4.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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 assetsreportedItem 5.E
- Advisory activities
- otherreportedItem 5.G
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$1.3B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 285reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• J•••• G•••••Chartered Financial Analyst | Winchester, Ma | Mar 21, 2024 | 21 y | 0 |
| K•••• B••••••• B••• | Woburn, Ma | Apr 18, 2024 | 13 y | 0 |
| T••••• H••••••• D••• | Woburn, Ma | Oct 15, 2024 | 24 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
- T••••• H••••••• D••• from C••••••• M••••••••• I••••••••• A•••••••• L••Oct 15, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• E•••• J•••• · Chief Executive Officer / Chief Compliance Officercontrolsince 04/2022 · owns 50% to 75%
- O••••••••• P••••••• W••••• · Membercontrolsince 07/2002 · owns 75% or more of P••••••• S•• A••••••• L••
Entity owners
- G••• S••••• V••••••• L•• · Limited Partnerindirect · owns 25% to 50% of P••••••• S•• C•••••• L•
- P••••••• S•• A••••••• L•• · General Partnerindirect · owns F of P••••••• S•• C•••••• L•
- P••••••• S•• C•••••• L• · Shareholderdirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Woburn, Ma · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 99 to 285Jun 26, 2025 to Mar 28, 2026
- Advisory employees · 3 to 5Jun 26, 2025 to Mar 28, 2026
- Employees · 9 to 11Jun 26, 2025 to Mar 28, 2026
- HQ city · WINCHESTER to WOBURNJun 26, 2025 to Mar 28, 2026
- Discretionary RAUM · $483M to $1.3BJun 26, 2025 to Mar 28, 2026
- RAUM · $483M to $1.3BJun 26, 2025 to Mar 28, 2026
- Accounts · unset to 99.0Jun 28, 2023 to Jun 26, 2025
- Advisory employees · 4 to 3Jun 28, 2023 to Jun 26, 2025
- Advisory activities · 2 to 1Jun 28, 2023 to Jun 26, 2025
- Employees · 4 to 9Jun 28, 2023 to Jun 26, 2025
- Financial planning clients · unset to Jun 28, 2023 to Jun 26, 2025
- HQ city · WOBURN to WINCHESTERJun 28, 2023 to Jun 26, 2025
- State-registered IARs · 1 to 3Jun 28, 2023 to Jun 26, 2025
- Discretionary RAUM · unset to 482936979.0Jun 28, 2023 to Jun 26, 2025
- Non-discretionary RAUM · unset to 0.0Jun 28, 2023 to Jun 26, 2025
- RAUM · unset to 482936979.0Jun 28, 2023 to Jun 26, 2025
Signals
2 dated events
- C••••• C•••••• G•••• reported RAUM $1.3B, up 173% from $482.9M (2025-06-26 to 2026-03-28)Mar 28, 2026 · RAUM change · derived
- C••••• C•••••• G•••• filed its initial SEC registration (Form ADV)Jun 28, 2023 · 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
- Firm profile
- linkedin.com/company/canopy-capital-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- canopycapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 781-222-3972reportedpublic record, Form ADV, Mar 28, 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
- $439Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026