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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

G•••••• A•••••••• L••

CRD 165971

NEW YORK, NY

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Search this name across graphsid dfx:ria:338a8340-edb4-106c-42f4-4dd9676e1cfe

Data as of Sep 2, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 46
Dated events: 1
On other graphs: 0
Observed: Nov 7, 2012 to Sep 2, 2016
9 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
Regulatory AUM: $206M••• Locked
Discretionary RAUM: $206M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• F••••• H•••••• C••• L••	Manager	E	yes	04/2008	Dec 20, 2012	Sep 2, 2016
B•••••••• M•••••• C•••••••••	ELECTED MANAGER	F	yes	07/2007	Dec 20, 2012	Sep 2, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•••••• W••••• A•••••••• L••	n/a	Bd affiliated wealth	$125B	N	yes	n/a
P••••• S••••• C•••••• M••••••••• L••	n/a	Asset manager	$26B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 29, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$206M	$248M	-17.0%	$227M	-3.3%	4	4	n/a	n/a

Relationships

Affiliated with (36)

→ M•••••• W••••• A•••••••Registered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ M•••••• W••••• A•••••••Registered adviserother investment adviser, LP sponsor, common control
factForm ADV
→ T••••••• C•••••• A•••••••• L•••••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ M••••••Registered adviser

Dated events

Occurred
Nov 7, 2012
First Form ADV filing
G•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:338a8340-edb4-106c-42f4-4dd9676e1cfe
First observed: Nov 7, 2012
Last observed: Sep 2, 2016 122 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.