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G• P••••••• U• 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• P••••••• U• L••••••

CRD 161574

LONDON

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Search this name across graphsid dfx:ria:d4a75954-4f46-5fb4-284b-1c9df4ea9207

Data as of Mar 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 1
On other graphs: 0
Observed: Feb 13, 2012 to Mar 29, 2018
12 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: $651MItem 5.F on the latest filing (2018-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $651M
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
B••••••• N••	CHIEF COMPLIANCE OFFICER	Na	yes	02/2012	Feb 13, 2012	Mar 29, 2018
F•••••• A•••••	Member	C	yes	07/2013	Feb 13, 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• G• I• L•••	n/a	n/a	n/a	N	yes	n/a
G• G• I•• L•••	n/a	n/a	n/a	N	yes	n/a
G• I••••••••• L•••

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

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
2017	$651M	$1.1B	-38.2%	$1.9B	-30.2%	8	9	0	n/a

Relationships

Owns (1)

← K•••••• R••• S••••OwnerCHIEF FINANCIAL OFFICER, G• I••••••••• L••, ownership code NA, individual
Aug 20, 2014 to presentfactForm ADV

Controls (8)

← M•••••••• R••••••• A••••OwnerMEMBER, ownership code C, individual
Mar 31, 2014 to presentfactForm ADV
← T••••••••• M•••OwnerMEMBER, ownership code C, individual
Feb 13, 2012 to presentfactForm ADV
← F•••••• A•••••OwnerMEMBER, ownership code C, individual

Dated events

Occurred
Mar 29, 2018
Regulatory AUM changed
G• P••••••• U• L•••••• reported RAUM $650.6M, down 38% from $1.1B (2017-03-31 to 2018-03-29)
Form ADVobserved 6 days ago
$-403M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d4a75954-4f46-5fb4-284b-1c9df4ea9207
First observed: Feb 13, 2012
Last observed: Mar 29, 2018 103 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.