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G•••••• 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•••••• L•••

CRD 138704

ST. THOMAS, VI

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Search this name across graphsid dfx:ria:55c82f95-5618-2ee6-c225-03a918c8c492

Data as of Jul 23, 2014 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 1
Observed: Mar 27, 2012 to Jul 23, 2014
9 observations

Across DFX

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

Private Equityidentity

G•••••• L•••

Private equity manager · 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
Regulatory AUM: $375MItem 5.F on the latest filing (2014-07-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $375M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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•••••• I••••••••• S••••• M••••• F••• L••	Hedge Fund	$208M	Mar 27, 2013	7	Mar 27, 2012	dropped	021-156677
G•••••• U•••• O••••••••• M••••• F••• L••	Hedge Fund	$31.8M

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
H•••••••• R••••• L•••	Director	E	yes	10/1997	Mar 27, 2012	Jul 23, 2014
P••••••••• J•••••••• A••	CHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER	Na	yes	04/2014	Apr 21, 2014

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•••••• I••••••••• L••	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Preston	Mn	United States	n/a	no
NEW YORK	NY	United States	n/a	no
n/a	n/a	n/a	n/a	no

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
2013

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
2013	$375M	$598M	-37.3%	n/a	n/a	6	13	n/a	n/a

Relationships

Controls (2)

← H•••••••• R••••• L•••OwnerDIRECTOR, ownership code E, individual
Mar 27, 2012 to presentfactForm ADV
← P••••••••• J•••••••• A••OwnerCHIEF COMPLIANCE OFFICER/CHIEF OPERATING OFFICER, ownership code NA, individual
Apr 21, 2014 to presentfactForm ADV

Owns (1)

← B•••••• A••••• A••••OwnerDIRECTOR, ownership code NA, individual
Mar 27, 2012 to presentfactForm ADV

Affiliated with (1)

← GALTERA N.A., INC.

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:55c82f95-5618-2ee6-c225-03a918c8c492
First observed: Mar 27, 2012
Last observed: Jul 23, 2014 148 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.