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•••••• F•••••••• G••••• L••
Latest filing Mar 11, 2026
First filing on the tape Sep 8, 2023 · 8 filings
SEC status approved since Jan 10, 2025
RAUM
$171M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$151M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$171M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$171M as of Mar 11, 2026
May 9, 2025$102M then
HNW client RAUM$48.0M as of Mar 11, 2026
May 9, 2025$75.0M then
State-registered IARs (5.B.3)1 as of Mar 11, 2026
May 9, 20251 then
Employees (5.A)2 as of Mar 11, 2026
May 9, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 11, 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
- $171MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $764,777derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%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
- 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
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $20.0M, 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$103M60%
- High-net-worth individuals$48.0M28%
- Pooled investment vehicles$18.0M11%
- Pension and profit-sharing plans$1.5M0.9%
- Corporations and businesses$1.1M0.6%
- Individual clients
- 45reported
- HNW clients
- 25reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 224reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $20.0M for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.88 fund_share=0.11 institutional_share=0.01 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 |
|---|---|---|---|---|
| R••••• R•••• B••••••• | Paramus, Nj | Mar 26, 2025 | 28 y | 6 |
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
- R••••• R•••• B••••••• from S•••••• F•••••••• G••••• L••Feb 14, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• R•••••• R•••• · Executive Officer/Ccocontrolsince 01/2020 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 11, 2026custody of client assets (Item 9.A): no on the filing of 2025-10-24, yes on the filing of 2026-03-11peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Individual clients · 60 to 45Oct 24, 2025 to Mar 11, 2026
- Accounts · 244 to 224Oct 24, 2025 to Mar 11, 2026
- Corporate clients · unset to 1.0Oct 24, 2025 to Mar 11, 2026
- HNW clients · 33 to 25Oct 24, 2025 to Mar 11, 2026
- Pension plan clients · unset to 1.0Oct 24, 2025 to Mar 11, 2026
- Pooled vehicle clients · unset to 1.0Oct 24, 2025 to Mar 11, 2026
- Assets in custody · unset to 20000000.0Oct 24, 2025 to Mar 11, 2026
- Custody of client assets · false to trueOct 24, 2025 to Mar 11, 2026
- Financial planning clients · 1-10 to 0Oct 24, 2025 to Mar 11, 2026
- Discretionary RAUM · $102M to $171MOct 24, 2025 to Mar 11, 2026
- HNW RAUM · $75.0M to $48.0MOct 24, 2025 to Mar 11, 2026
- Individual RAUM · $25.0M to $103MOct 24, 2025 to Mar 11, 2026
- Pension RAUM · $1.0M to $1.5MOct 24, 2025 to Mar 11, 2026
- Pooled vehicle RAUM · unset to 18000000.0Oct 24, 2025 to Mar 11, 2026
- RAUM · $102M to $171MOct 24, 2025 to Mar 11, 2026
- Accounts · unset to 244.0Dec 13, 2024 to May 9, 2025
- HNW clients · 0 to 33Dec 13, 2024 to May 9, 2025
- Individual clients · 0 to 60Dec 13, 2024 to May 9, 2025
- Financial planning clients · 0 to 1-10Dec 13, 2024 to May 9, 2025
- HQ city · MAHWAH to PARAMUSDec 13, 2024 to May 9, 2025
- Discretionary RAUM · unset to 102000000.0Dec 13, 2024 to May 9, 2025
- HNW RAUM · $0 to $75.0MDec 13, 2024 to May 9, 2025
- Individual RAUM · $0 to $25.0MDec 13, 2024 to May 9, 2025
- Non-discretionary RAUM · unset to 0.0Dec 13, 2024 to May 9, 2025
- Pension RAUM · unset to 1000000.0Dec 13, 2024 to May 9, 2025
- RAUM · unset to 102000000.0Dec 13, 2024 to May 9, 2025
- Accounts · 0.0 to unsetJan 11, 2024 to Dec 2, 2024
- Employees · 1 to 2Jan 11, 2024 to Dec 2, 2024
- HQ city · unset to MAHWAHJan 11, 2024 to Dec 2, 2024
- HQ state · unset to NJJan 11, 2024 to Dec 2, 2024
- Discretionary RAUM · 0.0 to unsetJan 11, 2024 to Dec 2, 2024
- Non-discretionary RAUM · 0.0 to unsetJan 11, 2024 to Dec 2, 2024
- RAUM · 0.0 to unsetJan 11, 2024 to Dec 2, 2024
Signals
1 dated events
- G•••••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)Sep 8, 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
- Business phone
- 551-284-4023reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 551-284-6671reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 866-565-9207reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- g•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 551-284-4023reportedpublic record, Form ADV, Mar 11, 2026
- Contact form
- g•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- g•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $171Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026