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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 109320

BOSTON, MA

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Search this name across graphsid dfx:ria:763f073b-72f8-0649-8362-3cdec1817ba0

Data as of Jun 11, 2013 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Jun 11, 2013
4 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: $309MItem 5.F on the latest filing (2013-06-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $309M
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

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
C•••••• T•••••• F•••••••	MEMBER, INVESTMENT DIRECTOR AT GMO LLC	Na	yes	10/1993	Jun 11, 2013	Jun 11, 2013
C••••• J•••• D••••	MEMBER, INVESTMENT DIRECTOR AT GMO LLC	Na	yes	09/2012	Jun 11, 2013

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••••••• M••• V•• O••••••• • C• L••	n/a	Other adviser	$81B	Y	no	n/a
G•• R•••••••• R••••••••• L••	n/a	Former SEC adviser	$2.3B	Y	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
2012

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
2012	$309M	$453M	-31.7%	n/a	n/a	449	n/a	n/a	n/a

Relationships

Affiliated with (2)

→ G••••••• M••• V•• O••••••• • C• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control
factForm ADV
→ G•• R•••••••• R••••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV

Controls (12)

← G••••••• M••• V•• O••••••• • C• L••OwnerMEMBER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← H••••••••• B••••••• J••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:763f073b-72f8-0649-8362-3cdec1817ba0
First observed: Mar 30, 2012
Last observed: Jun 11, 2013 161 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.