DFX Intelligence
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G•••••• N•••• • C••• I•••
Independent wealth manager, based in Woburn, Massachusetts, reporting $98.4M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $98.4M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- +2.6%
- Private clients
- 94% of RAUM, $92.2M
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 4
Every filed figure, and the identifiersCRD 7071 · SEC 801-11370 · 20 filingsShowHide
CRD 7071SEC 801-11370First filing on the tape Mar 30, 2012, latest Mar 9, 2026SEC status approved since Feb 25, 1976IAPD
RAUM
$98.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$92.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$98.4M as of Mar 9, 2026
Mar 30, 2012$101M then
HNW client RAUM$86.2M as of Mar 9, 2026
Mar 30, 2018$90.1M then
State-registered IARs (5.B.3)2 as of Mar 9, 2026
Mar 27, 20132 then
Employees (5.A)4 as of Mar 9, 2026
Mar 27, 20136 then
Private funds: no history
RAUM +2.6% over the last fiscal year+5.6% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 9, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $49.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $683,047derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.6%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, commissionsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- 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)
- 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
- High-net-worth individuals$86.2M88%
- Corporations and businesses$6.1M6.2%
- Individuals$6.0M6.1%
- Individual clients
- 31reported
- HNW clients
- 53reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 144reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, commissionsreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••• G•••••• J•••• J• · President, Treasurer, Directorcontrolsince 01/1976 · owns 75% or more
- N••••• G•••••• T••••• · Chief Compliance Officersince 05/2003 · owns less than 5%
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 · 143 to 144Mar 25, 2025 to Mar 9, 2026
- HNW clients · 48 to 53Mar 25, 2025 to Mar 9, 2026
- Individual clients · 37 to 31Mar 25, 2025 to Mar 9, 2026
- Discretionary RAUM · $95.8M to $98.4MMar 25, 2025 to Mar 9, 2026
- HNW RAUM · $85.0M to $86.2MMar 25, 2025 to Mar 9, 2026
- Individual RAUM · $5.2M to $6.0MMar 25, 2025 to Mar 9, 2026
- RAUM · $95.8M to $98.4MMar 25, 2025 to Mar 9, 2026
- Accounts · 150 to 143Mar 18, 2024 to Mar 25, 2025
- Individual clients · 42 to 37Mar 18, 2024 to Mar 25, 2025
- Pension plan clients · 2.0 to unsetMar 18, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 0Mar 18, 2024 to Mar 25, 2025
- Discretionary RAUM · $88.2M to $95.8MMar 18, 2024 to Mar 25, 2025
- HNW RAUM · $77.1M to $85.0MMar 18, 2024 to Mar 25, 2025
- Individual RAUM · $5.4M to $5.2MMar 18, 2024 to Mar 25, 2025
- Pension RAUM · 696538.0 to unsetMar 18, 2024 to Mar 25, 2025
- RAUM · $88.2M to $95.8MMar 18, 2024 to Mar 25, 2025
- Accounts · 151 to 150Mar 15, 2023 to Mar 18, 2024
- HNW clients · 49 to 48Mar 15, 2023 to Mar 18, 2024
- Individual clients · 34 to 42Mar 15, 2023 to Mar 18, 2024
- Discretionary RAUM · $83.5M to $88.2MMar 15, 2023 to Mar 18, 2024
- HNW RAUM · $71.4M to $77.1MMar 15, 2023 to Mar 18, 2024
- Individual RAUM · $5.1M to $5.4MMar 15, 2023 to Mar 18, 2024
- Pension RAUM · $595,615 to $696,538Mar 15, 2023 to Mar 18, 2024
- RAUM · $83.5M to $88.2MMar 15, 2023 to Mar 18, 2024
- Accounts · 162 to 151Jul 15, 2022 to Mar 15, 2023
- BD registered reps · 3 to 2Jul 15, 2022 to Mar 15, 2023
- HNW clients · 57 to 49Jul 15, 2022 to Mar 15, 2023
- Pension plan clients · 3 to 2Jul 15, 2022 to Mar 15, 2023
- Employees · 6 to 4Jul 15, 2022 to Mar 15, 2023
- Discretionary RAUM · $116M to $83.5MJul 15, 2022 to Mar 15, 2023
- HNW RAUM · $100M to $71.4MJul 15, 2022 to Mar 15, 2023
- Individual RAUM · $6.8M to $5.1MJul 15, 2022 to Mar 15, 2023
- Pension RAUM · $734,427 to $595,615Jul 15, 2022 to Mar 15, 2023
- RAUM · $116M to $83.5MJul 15, 2022 to Mar 15, 2023
- Accounts · 166 to 162Mar 29, 2021 to Mar 30, 2022
- HNW clients · 51 to 57Mar 29, 2021 to Mar 30, 2022
- Individual clients · 27 to 34Mar 29, 2021 to Mar 30, 2022
- Pension plan clients · 4 to 3Mar 29, 2021 to Mar 30, 2022
- Employees · 5 to 6Mar 29, 2021 to Mar 30, 2022
- Discretionary RAUM · $113M to $116MMar 29, 2021 to Mar 30, 2022
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
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 9, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 9, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 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