DFX Intelligence

G••• 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••• L••

CRD 298635

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:cd179d0c-ae3f-f71f-f5b4-0633cd0c2e56

Data as of Jan 20, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 5
On other graphs: 0
Observed: Nov 15, 2018 to Jan 20, 2023
7 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: $0derived••• Locked
Advisors on IAPD: 0
Employees: 1
Advisory employees: 0
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-114444
CRD: 298635

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• I••••••••• S•••••••• I•••	Shareholder	E	yes	07/2011	Nov 15, 2018	Jan 20, 2023
G• H••••• I• L••	Member	E	yes	07/2013	Nov 15, 2018	Jan 20, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G••••••••• P••••••• I••••••••• M••••••••• L••	n/a	Other adviser	$241B	N	yes	n/a
G••••••••• C•••••••• F••••••• L••	n/a	ASSET_M••••••	$11B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Mar 31, 2022	n/a	n/a	1	0	0	n/a	n/a
2020	Mar 31, 2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	n/a	n/a	n/a	n/a	n/a	1	2	0	0

Relationships

Affiliated with (8)

→ G••••••••• I•••••••••Registered adviserother investment adviser, bank, common control
factForm ADV
→ G••••••••• I••••••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ G••••••••• I•••••••••Registered adviserother investment adviser, bank, common control
factForm ADV
→ G• G•••• A•••••••• L••Registered adviserother investment adviser, bank, common control

Dated events

Occurred
Jan 20, 2023
Control person joined
Andrew Robert Saperstein (Chief Compliance Officer) appeared on Schedule A of G••• L••
Form ADVobserved 7 days ago
Occurred
Jan 20, 2023
Control person left
Trevor Robert Jee (Chief Compliance Officer) no longer on Schedule A of G••• L•• (listed 2022-03-31, absent 2023-01-20)
Form ADVobserved 7 days ago
Occurred
Mar 31, 2022
Control person left
Maurice Kevin Robinson (Chief Legal Officer) no longer on Schedule A of G••• L•• (listed 2021-03-31, absent 2022-03-31)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cd179d0c-ae3f-f71f-f5b4-0633cd0c2e56
First observed: Nov 15, 2018
Last observed: Jan 20, 2023 44 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.

Controls (15)

← S••••••••• R•••••• A•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 20, 2023 to presentfactForm ADV
← C••••••••• I••••••••• S•••••••• I•••OwnerSHAREHOLDER, ownership code E, domestic entity
Nov 15, 2018 to presentfactForm ADV
← G• H••••• I• L••OwnerMEMBER, ownership code E, domestic entity
Nov 15, 2018 to presentfactForm ADV
← G• H••••• L••OwnerMEMBER, ownership code E, domestic entity
Nov 15, 2018 to presentfactForm ADV
← G•• G••••• L••OwnerMANAGING MEMBER, ownership code F, domestic entity
Nov 15, 2018 to presentfactForm ADV
← G•••••••• T•••• C••••••• T••••••OwnerT••••••, ownership code F, domestic entity
Nov 15, 2018 to presentfactForm ADV
← G••••••••• C••••••• L••OwnerSHAREHOLDER, ownership code E, domestic entity
Nov 15, 2018 to presentfactForm ADV
← G••••••••• F•••• S•••••••• L••OwnerMEMBER, ownership code E, domestic entity
Nov 15, 2018 to presentfactForm ADV
← G••••••••• M••••••• I•••OwnerMEMBER, ownership code E, domestic entity
Nov 15, 2018 to presentfactForm ADV
← G••••••••• P••••••• I••••••••• M••••••••• H•••••••• L••OwnerMEMBER, ownership code E, domestic entity
Nov 15, 2018 to presentfactForm ADV
← G••••••••• P•••••••• L••OwnerMEMBER, ownership code E, domestic entity
Nov 15, 2018 to presentfactForm ADV
← S••• A•••••• I•••OwnerMEMBER, ownership code C, domestic entity
Nov 15, 2018 to presentfactForm ADV
← S•••••• E••••••••• I•••OwnerSHAREHOLDER, ownership code E, domestic entity
Nov 15, 2018 to presentfactForm ADV
← S•••••• E••••••••• I••• E•••OwnerSHAREHOLDER, ownership code E, domestic entity
Nov 15, 2018 to presentfactForm ADV
← S•••••• E••••• A•••••••• I•••OwnerSHAREHOLDER, ownership code E, domestic entity
Nov 15, 2018 to presentfactForm ADV