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••••••••

Independent wealth managerCoral Springs, FloridaCRD 340206SEC 801-135256IAPD
Legal name G••••••••• F•••••••• L••
Latest filing Jul 29, 2026
First filing on the tape Jan 30, 2026 · 3 filings
SEC status approved since Feb 4, 2026
RAUM
$395M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$338M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
3 filings and snapshots on the tape
RAUM$395M as of Jul 29, 2026
Jan 30, 2026$543M then
HNW client RAUM$113M as of Jul 29, 2026
Jan 30, 2026$311M then
State-registered IARs (5.B.3)0 as of Jul 29, 2026
Jan 30, 20260 then
Employees (5.A)2 as of Jul 29, 2026
Jan 30, 20262 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 29, 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
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$20,563derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 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
fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$225M57%
  • High-net-worth individuals$113M29%
  • Corporations and businesses$57.3M15%
Individual clients
18,832reported
HNW clients
71reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
19,218reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, performancereported
Class basis
private_client_share=0.85 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S••••••••• N••• · Chief Compliance Officer And Chief Executive Officercontrol
        since 07/2025 · 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 · 199,399 to 19,218
        Apr 15, 2026 to Jul 29, 2026
      • Corporate clients · 939 to 315
        Apr 15, 2026 to Jul 29, 2026
      • HNW clients · 66 to 71
        Apr 15, 2026 to Jul 29, 2026
      • Individual clients · 198,394 to 18,832
        Apr 15, 2026 to Jul 29, 2026
      • Discretionary RAUM · $543M to $395M
        Apr 15, 2026 to Jul 29, 2026
      • HNW RAUM · $311M to $113M
        Apr 15, 2026 to Jul 29, 2026
      • Individual RAUM · $133M to $225M
        Apr 15, 2026 to Jul 29, 2026
      • RAUM · $543M to $395M
        Apr 15, 2026 to Jul 29, 2026
      Signals
      1 dated events
      • G••••••••• F•••••••• reported RAUM $395.2M, down 27% from $542.5M (2026-04-15 to 2026-07-29)
        Jul 29, 2026 · RAUM change · 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
      Principal office phone
      646-732-0299reportedpublic record, Form ADV, Jul 29, 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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026