DFX Intelligence

G•••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

G•••••• I•••

CRD 175107

PRESTON, MN

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Search this name across graphsid dfx:ria:0a479ed7-44aa-f337-394e-48ed8f306ef2

Data as of Mar 28, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 1
Observed: Mar 20, 2015 to Mar 28, 2024
11 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

G•••••• I•••

Private equity manager · key crd, key sfn adviser, shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Custody, client assets: $0
SEC number: 801-82172

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
G•••••• S•••••••• C•••••••• M••••• F••• L•••	Hedge Fund	$41.9M	Mar 20, 2019	3	Mar 31, 2014	dropped	021-202899
G•••••• G••••• F••••••• F••• L••	Private Equity Fund	$11.6M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••••• R••••• L•••	Director	E	yes	10/1997	Mar 20, 2015	Mar 28, 2024
P••••••••• J•••••••• A••	CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER	Na	yes	04/2014	Mar 20, 2015	Mar 28, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 28, 2024

Relationships

Controls (2)

← H•••••••• R••••• L•••OwnerDIRECTOR, ownership code E, individual
Mar 20, 2015 to presentfactForm ADV
← P••••••••• J•••••••• A••OwnerCHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER, ownership code NA, individual
Mar 20, 2015 to presentfactForm ADV

Advises (3)

→ G•••••• S•••••••• C•••••••• M••••• F••• L•••Private fundHedge Fund, IA, no longer reported
Mar 31, 2014 to Mar 20, 2019factForm ADV
→ G•••••• I••••••••• M••••• F•••• L•••

Dated events

Occurred
Mar 19, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-129M
Occurred
Mar 20, 2015
Succession filed (Item 4)
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 20, 2015
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0a479ed7-44aa-f337-394e-48ed8f306ef2
First observed: Mar 20, 2015
Last observed: Mar 28, 2024 30 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.