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•••••• I•••••• P•••••• W•••••• L••
Latest filing Aug 26, 2026
First filing on the tape Aug 28, 2025 · 8 filings
SEC status approved since Aug 8, 2025
RAUM
$230M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$216M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$57.5M
derived; firm RAUM over IAPD count
Employees
4
4 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$230M as of Aug 26, 2026
Aug 28, 2025$0 then
HNW client RAUM$203M as of Aug 26, 2026
Dec 5, 2025$195M then
State-registered IARs (5.B.3)4 as of Aug 26, 2026
Aug 28, 20254 then
Employees (5.A)4 as of Aug 26, 2026
Aug 28, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 26, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $57.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 119derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $535,491derivedHNW RAUM over HNW clients
- Average account
- $468,147derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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 assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $83.6M, 171 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
- 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)
- 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
- High-net-worth individuals$203M88%
- Pension and profit-sharing plans$13.6M5.9%
- Individuals$13.1M5.7%
- Corporations and businesses$240,0320.1%
- Individual clients
- 98reported
- HNW clients
- 379reported
- Pension plan clients
- 9reported
- Charitable clients
- n/areported
- Accounts
- 491reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $83.6M for 171 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••••• P••••• G•••••••Certified Financial Planner | Guilford, Ct | Aug 27, 2025 | 23 y | 10 |
| M•••••• M• A•••••••• | Guilford, Ct | Aug 27, 2025 | 18 y | 3 |
| C•••••• C••••••• A••••••• | Guilford, Ct | Aug 27, 2025 | 43 y | 4 |
| R••••• A•••••• D•••••• | Guilford, Ct | Aug 27, 2025 | 31 y | 4 |
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••••• A•••••• D•••••• from H•••••••• A•••••••• L••Aug 27, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• M• A•••••••• from H•••••••• A•••••••• L••Aug 27, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- C•••••• C••••••• A••••••• from H•••••••• A•••••••• L••Aug 27, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- L•••••• P••••• G••••••• from O•••• W•••••• I•••Aug 27, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from H•••••••• A•••••••• L••Apr 9, 2024 · Madison, Ct
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• C••••••• C••••••• · Founder & Managing Director (Managing Member Of LLC)controlsince 08/2025 · owns 50% to 75%
- D••••••• R•••••• A•••••• · Founder & Managing Director (Managing Member Of LLC)controlsince 08/2025 · owns 50% to 75%
- S••••• B••••••• R• · Chief Compliance Officercontrolsince 03/2026 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Guilford, Ct · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 466 to 491Jan 3, 2026 to Mar 19, 2026
- Charity clients · 2.0 to unsetJan 3, 2026 to Mar 19, 2026
- Corporate clients · 2 to 5Jan 3, 2026 to Mar 19, 2026
- HNW clients · 313 to 379Jan 3, 2026 to Mar 19, 2026
- Individual clients · 142 to 98Jan 3, 2026 to Mar 19, 2026
- Pension plan clients · 8 to 9Jan 3, 2026 to Mar 19, 2026
- Assets in custody · $87.6M to $83.6MJan 3, 2026 to Mar 19, 2026
- Financial planning clients · 1-10 to 0Jan 3, 2026 to Mar 19, 2026
- Discretionary RAUM · $228M to $230MJan 3, 2026 to Mar 19, 2026
- HNW RAUM · $195M to $203MJan 3, 2026 to Mar 19, 2026
- Individual RAUM · $20.1M to $13.1MJan 3, 2026 to Mar 19, 2026
- Pension RAUM · $13.1M to $13.6MJan 3, 2026 to Mar 19, 2026
- RAUM · $228M to $230MJan 3, 2026 to Mar 19, 2026
- Accounts · 0 to 466Aug 28, 2025 to Dec 5, 2025
- Advisory employees · 3 to 4Aug 28, 2025 to Dec 5, 2025
- BD registered reps · 3 to 4Aug 28, 2025 to Dec 5, 2025
- Charity clients · unset to 2.0Aug 28, 2025 to Dec 5, 2025
- Corporate clients · unset to 2.0Aug 28, 2025 to Dec 5, 2025
- HNW clients · unset to 313.0Aug 28, 2025 to Dec 5, 2025
- Individual clients · unset to 142.0Aug 28, 2025 to Dec 5, 2025
- Pension plan clients · unset to 8.0Aug 28, 2025 to Dec 5, 2025
- Assets in custody · unset to 87631629.0Aug 28, 2025 to Dec 5, 2025
- Custody of client assets · false to trueAug 28, 2025 to Dec 5, 2025
- Financial planning clients · 0 to 1-10Aug 28, 2025 to Dec 5, 2025
- Discretionary RAUM · $0 to $228MAug 28, 2025 to Dec 5, 2025
- HNW RAUM · unset to 194580444.0Aug 28, 2025 to Dec 5, 2025
- Individual RAUM · unset to 20134729.0Aug 28, 2025 to Dec 5, 2025
- Pension RAUM · unset to 13114297.0Aug 28, 2025 to Dec 5, 2025
- RAUM · $0 to $228MAug 28, 2025 to Dec 5, 2025
Signals
1 dated events
- 2 advisors left H•••••••• A•••••••• L•• (Madison, CT) for G•••••• I•••••• P•••••• W•••••• L•• on the same dayApr 9, 2024 · Team lift-out · derived
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
- H••••://WWW.LINKEDIN.COM/COMPANY/G••••••-I••••••-P••••••-WEAreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-889-3890reportedpublic record, Form ADV, Aug 26, 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
- $57.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026