DFX Intelligence

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G•••••••• C•••••• M••••••••• C•••

Independent wealth managerSEC-registered· Smithtown, New Yorkwebsite

Independent wealth manager, based in Smithtown, New York, reporting $198M of regulatory assets across 1 registered advisors.

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

As of 2026-02-02 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $198M
Advisors: 1
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +9.6%
Private clients: 83% of RAUM, $165M

Advisors (1)Advisor movement Where the RAUM sits

As of 2026-02-02 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

discretionary share of RAUM of 0% against a peer median of 100% (5682 comparable advisers, 0.0th percentile, 33.7 robust deviations)
2026-02-02
discretionary share of RAUM 0Peer median 1
2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 45287 · SEC 801-55802 · 19 filingsShow

CRD 45287SEC 801-55802First filing on the tape Mar 30, 2012, latest Feb 2, 2026SEC status approved since May 12, 2000IAPD

RAUM

$198M

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

83%

$165M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$198M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM$198M as of Feb 2, 2026

Mar 30, 2012$56.9M then

HNW client RAUM$82.1M as of Feb 2, 2026

Mar 29, 2018$69.4M then

State-registered IARs (5.B.3)2 as of Feb 2, 2026

Mar 30, 20120 then

Employees (5.A)4 as of Feb 2, 2026

Mar 1, 20136 then

Private funds: no history

RAUM +9.6% over the last fiscal year+11% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Feb 2, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure3 rulesShow

Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $198MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 256derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.2MderivedHNW RAUM over HNW clients
Average account: $192,064derivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%derivedof RAUM
Institutional: 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 4.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +9.6%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -1.2%derived
Compensation: percentage of assets, otherreportedItem 5.E
Advisory activities: selection of other advisers, otherreportedItem 5.G
Wrap fee program: $198MreportedItem 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

is a broker-dealer (6.A.1)
is an insurance broker or agent (6.A.6)
buys or sells securities as principal to or from clients (8.A.2)
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$83.0M42%
High-net-worth individuals$82.1M41%
Pension and profit-sharing plans$22.1M11%
Corporations and businesses$10.4M5.3%
Charitable organizations$190,2970.1%

Individual clients: 190reported
HNW clients: 66reported
Pension plan clients: 8reported
Charitable clients: 1reported
Accounts: 1,030reported
Financial planning clients: reported
Wrap fee programs: $198M sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.83 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=4.0derived

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

Advisors registered through the firm

1 on IAPD today; the 10 longest tenured

Name	Branch	Here since	In industry	Prior firms
J•••• R••••• G••••••••	Smithtown, Ny	Jun 2, 2010	29 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

G••••••••• B•••• M•••••• · Director / Finop/Cfo / Options Principalcontrol
since 11/1998 · owns less than 5%
G••••••••• J•••• R••••• · Pres / Dir / Chief Compliance Officer / Muni Principalcontrol
since 12/1998 · owns 75% or more

Related persons

Schedule D 7.A

G•••••••• • G••••••••
insurancen
L•• O•••••• O• A••••• G••••••••
n

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

low discretionary shareStatic outlier · filing Feb 2, 2026
discretionary share of RAUM of 0% against a peer median of 100% (5682 comparable advisers, 0.0th percentile, 33.7 robust deviations)
peers: independent wealth managers, $100M to $500M (5,682) · 0.0% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 1,001 to 1,030
Feb 24, 2025 to Feb 2, 2026
Corporate clients · 32 to 33
Feb 24, 2025 to Feb 2, 2026
HNW clients · 196 to 66
Feb 24, 2025 to Feb 2, 2026
Individual clients · 63 to 190
Feb 24, 2025 to Feb 2, 2026
HNW RAUM · $75.5M to $82.1M
Feb 24, 2025 to Feb 2, 2026

Full history · 80 changes

Individual RAUM · $74.9M to $83.0M
Feb 24, 2025 to Feb 2, 2026
Non-discretionary RAUM · $180M to $198M
Feb 24, 2025 to Feb 2, 2026
Pension RAUM · $20.2M to $22.1M
Feb 24, 2025 to Feb 2, 2026
RAUM · $180M to $198M
Feb 24, 2025 to Feb 2, 2026
Wrap assets (sponsor) · $180M to $198M
Feb 24, 2025 to Feb 2, 2026
Accounts · 976 to 1,001
Mar 15, 2024 to Feb 24, 2025
Corporate clients · 10 to 32
Mar 15, 2024 to Feb 24, 2025
HNW clients · 51 to 196
Mar 15, 2024 to Feb 24, 2025
Individual clients · 181 to 63
Mar 15, 2024 to Feb 24, 2025
Pension plan clients · 14 to 8
Mar 15, 2024 to Feb 24, 2025
Financial planning clients · unset to
Mar 15, 2024 to Feb 24, 2025
HNW RAUM · $38.5M to $75.5M
Mar 15, 2024 to Feb 24, 2025
Individual RAUM · $108M to $74.9M
Mar 15, 2024 to Feb 24, 2025
Non-discretionary RAUM · $163M to $180M
Mar 15, 2024 to Feb 24, 2025
Pension RAUM · $9.4M to $20.2M
Mar 15, 2024 to Feb 24, 2025
RAUM · $163M to $180M
Mar 15, 2024 to Feb 24, 2025
Wrap assets (sponsor) · $120M to $180M
Mar 15, 2024 to Feb 24, 2025
Accounts · 968 to 976
Mar 15, 2023 to Mar 15, 2024
Corporate clients · 11 to 10
Mar 15, 2023 to Mar 15, 2024
HNW clients · 68 to 51
Mar 15, 2023 to Mar 15, 2024
Individual clients · 231 to 181
Mar 15, 2023 to Mar 15, 2024
Pension plan clients · unset to 14.0
Mar 15, 2023 to Mar 15, 2024
HNW RAUM · $87.6M to $38.5M
Mar 15, 2023 to Mar 15, 2024
Individual RAUM · $51.3M to $108M
Mar 15, 2023 to Mar 15, 2024
Non-discretionary RAUM · $146M to $163M
Mar 15, 2023 to Mar 15, 2024
Pension RAUM · unset to 9407517.0
Mar 15, 2023 to Mar 15, 2024
RAUM · $146M to $163M
Mar 15, 2023 to Mar 15, 2024
Wrap assets (sponsor) · $146M to $120M
Mar 15, 2023 to Mar 15, 2024
Accounts · 974 to 968
Mar 16, 2022 to Mar 15, 2023
Corporate clients · unset to 11.0
Mar 16, 2022 to Mar 15, 2023
HNW clients · 34 to 68
Mar 16, 2022 to Mar 15, 2023
Individual clients · 242 to 231
Mar 16, 2022 to Mar 15, 2023
Pension plan clients · 1.0 to unset
Mar 16, 2022 to Mar 15, 2023
HNW RAUM · $103M to $87.6M
Mar 16, 2022 to Mar 15, 2023
Individual RAUM · $63.5M to $51.3M
Mar 16, 2022 to Mar 15, 2023
Non-discretionary RAUM · $170M to $146M
Mar 16, 2022 to Mar 15, 2023
Pension RAUM · 3268178.0 to unset
Mar 16, 2022 to Mar 15, 2023
RAUM · $170M to $146M
Mar 16, 2022 to Mar 15, 2023
Wrap assets (sponsor) · $167M to $146M
Mar 16, 2022 to Mar 15, 2023
Accounts · 914 to 974
Mar 31, 2021 to Mar 16, 2022
Charity clients · unset to 1.0
Mar 31, 2021 to Mar 16, 2022
HNW clients · 65 to 34
Mar 31, 2021 to Mar 16, 2022
Individual clients · 160 to 242
Mar 31, 2021 to Mar 16, 2022
Pension plan clients · 9 to 1
Mar 31, 2021 to Mar 16, 2022
HNW RAUM · $113M to $103M
Mar 31, 2021 to Mar 16, 2022
Individual RAUM · $25.1M to $63.5M
Mar 31, 2021 to Mar 16, 2022
Non-discretionary RAUM · $148M to $170M
Mar 31, 2021 to Mar 16, 2022
Pension RAUM · $9.9M to $3.3M
Mar 31, 2021 to Mar 16, 2022
RAUM · $148M to $170M
Mar 31, 2021 to Mar 16, 2022
Wrap assets (sponsor) · $148M to $167M
Mar 31, 2021 to Mar 16, 2022
Accounts · 897 to 914
Jun 29, 2020 to Mar 31, 2021
HNW clients · 53 to 65
Jun 29, 2020 to Mar 31, 2021
Individual clients · 171 to 160
Jun 29, 2020 to Mar 31, 2021
HNW RAUM · $82.7M to $113M
Jun 29, 2020 to Mar 31, 2021
Individual RAUM · $47.6M to $25.1M
Jun 29, 2020 to Mar 31, 2021
Non-discretionary RAUM · $139M to $148M
Jun 29, 2020 to Mar 31, 2021
Pension RAUM · $8.3M to $9.9M
Jun 29, 2020 to Mar 31, 2021
RAUM · $139M to $148M
Jun 29, 2020 to Mar 31, 2021
Wrap assets (sponsor) · $135M to $148M
Jun 29, 2020 to Mar 31, 2021
Accounts · 861 to 897
Mar 31, 2019 to Mar 30, 2020
HNW clients · 66 to 53
Mar 31, 2019 to Mar 30, 2020
Individual clients · 165 to 171
Mar 31, 2019 to Mar 30, 2020
Pension plan clients · 18 to 9
Mar 31, 2019 to Mar 30, 2020
Employees · 5 to 4
Mar 31, 2019 to Mar 30, 2020
HNW RAUM · $73.6M to $82.7M
Mar 31, 2019 to Mar 30, 2020
Individual RAUM · $33.9M to $47.6M
Mar 31, 2019 to Mar 30, 2020
Non-discretionary RAUM · $118M to $139M
Mar 31, 2019 to Mar 30, 2020
Pension RAUM · $10.8M to $8.3M
Mar 31, 2019 to Mar 30, 2020
RAUM · $118M to $139M
Mar 31, 2019 to Mar 30, 2020
Wrap assets (sponsor) · $115M to $135M
Mar 31, 2019 to Mar 30, 2020
Accounts · 856 to 861
Mar 29, 2018 to Mar 31, 2019
Advisory employees · 2 to 3
Mar 29, 2018 to Mar 31, 2019
HNW clients · 379 to 66
Mar 29, 2018 to Mar 31, 2019
Individual clients · 461 to 165
Mar 29, 2018 to Mar 31, 2019
Pension plan clients · 15 to 18
Mar 29, 2018 to Mar 31, 2019

Signals

No event on the tape.

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

Website: ••• Lockedreportedpublic record, Form ADV, Feb 2, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Feb 2, 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: $198Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026