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G•••••• S•••• G••••• A••••••• P••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

G•••••• S•••• G••••• A••••••• P••••••• L••

CRD 160223

NEW YORK, NY

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Search this name across graphsid dfx:ria:100a8c46-91d8-963e-bba5-60b90365a616

Data as of Nov 8, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Jan 10, 2012 to Nov 8, 2019
19 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

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: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 0
Advisory employees: 0
Offices: 0Schedule D 1.F, beyond the principal office
Individual clients: 0
High net worth clients: 0

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
G•••••• S•••• A•••• S••••••••• B••• C••••••• S••••••• ••• L••••••	Hedge Fund	$68.0M	Oct 30, 2015	1	May 29, 2014	dropped	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••• H••••••• L••	Member	E	yes	02/2016	Mar 30, 2016	Nov 8, 2019
L•••• E•••• S••••	CO-HEAD, CONSUMER INVESTMENT MANAGEMENT DIVISION (CO-CHIEF EXECUTIVE OFFICER)	Na	yes	12/2011	Jan 10, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G•••••• S•••• A•••• M••••••••• L•••	n/a	Other adviser	$2649B	N	yes	n/a
G•••••• S•••• A•••• M••••••••• I•••••••••	n/a	Asset manager	$621B	N	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 28, 2019	n/a	n/a	0	0	0	n/a	n/a
2017

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	n/a	n/a	n/a	n/a	n/a	0	0	0	0

Relationships

Affiliated with (3)

→ G•••••• S•••• A•••• M••••••••• I•••••••••Registered adviserother investment adviser, bank, pooled vehicle sponsor, LP sponsor, common control
factForm ADV
→ G•••••• S•••• A•••• M••••••••• L•••Registered adviserother investment adviser, bank, pooled vehicle sponsor, LP sponsor, common control
factForm ADV
← G•••••• S•••• A•••• M••••••••• AUSTRALIA PTY LTDRegistered adviserother investment adviser, common control
factForm ADV

Controls (4)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:100a8c46-91d8-963e-bba5-60b90365a616
First observed: Jan 10, 2012
Last observed: Nov 8, 2019 83 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.