DFX Intelligence

G••••••• C•••••• 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••••••• C•••••• A•••••••• L••

CRD 144087

PURCHASE, NY

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Search this name across graphsid dfx:ria:fd42d6ea-de78-7a47-f264-5f93e6fb8905

Data as of Mar 29, 2022 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 2
On other graphs: 0
Observed: Mar 12, 2012 to Mar 29, 2022
14 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: $798M••• Locked
Discretionary RAUM: $44.4M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••••• A••••••	CHAIRMAN, CHIEF EXECUTIVE OFFICER, MEMBER OF BOARD OF MANAGERS	E	yes	05/2007	Mar 12, 2012	Mar 29, 2022
O••• S••••••••• J•••	CFO AND CHIEF COMPLIANCE OFFICER	B	no	04/2020	Mar 15, 2021	Mar 29, 2022

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
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	$798M	$669M	19.3%	$486M	17.9%	2	2	0	0

Relationships

Owns (1)

← O••• S••••••••• J•••OwnerCFO AND CHIEF COMPLIANCE OFFICER, ownership code B, individual
Mar 15, 2021 to presentfactForm ADV

Controls (1)

← H•••••••• A••••••OwnerCHAIRMAN, CHIEF EXECUTIVE OFFICER, MEMBER OF BOARD OF MANAGERS, ownership code E, individual
Mar 12, 2012 to presentfactForm ADV

Dated events

Occurred
Mar 15, 2021
Regulatory AUM changed
G••••••• C•••••• A•••••••• L•• reported RAUM $669.1M, up 30% from $515.0M (2020-03-27 to 2021-03-15)
Form ADVobserved 7 days ago
$154M
Occurred
Mar 27, 2020
Control person left
Gilbert Lawrence Graev (Chief Compliance Officer, President, Coo, Manager, Member Of Board Of Managers) no longer on Schedule A of G••••••• C•••••• A•••••••• L•• (listed 2019-03-18, absent 2020-03-27)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fd42d6ea-de78-7a47-f264-5f93e6fb8905
First observed: Mar 12, 2012
Last observed: Mar 29, 2022 54 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.