DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

G• A•••• M••••••••• I•••••••••

Former SEC-registered adviserStamford, ConnecticutCRD 105297SEC 801-31947IAPD
Latest filing Mar 29, 2016
First filing on the tape Mar 30, 2012 · 23 filings
RAUM
$110B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
248
102 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
8
$781M gross assets
History
23 filings and snapshots on the tape
RAUM$110B as of Mar 29, 2016
Mar 30, 2012$116B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Mar 28, 20130 then
Employees (5.A)248 as of Mar 29, 2016
Mar 28, 2013337 then
Private funds8 as of Mar 29, 2016
Mar 30, 201216 then
RAUM -5.0% over the last fiscal year-2.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2016; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$264MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-5.0%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, otherreportedItem 5.G
Custody
$49B, 6 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
417reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$49B for 6 clientsreported
Compensation
% of AUM, fixed, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      16 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G• A•••• M••••••••• T•••• C••• P••• F•••no longer reportedLiquidity Fund$2.2B5Mar 30, 2012
      G• A•••• M••••••••• T•••• E••••••• C••• F•••no longer reportedOther Private Fund$503M3Mar 30, 2012
      G• I••••••••• E••••••• M•••••• E••••• F•••Other Private Fund$266M1Mar 30, 2012
      G• A•••• M••••••••• T•••• C•••• A• S••••• F•••Other Private Fund$173M2Mar 30, 2012
      I••••••••• P•••••• E••••• F••• I•• L•Private Equity Fund$154M15Mar 30, 2012
      G• I••••••••• I••••••••• F•••no longer reportedOther Private Fund$152M3Mar 30, 2012
      G••• I••••••••• P•••••• E••••• F•••• L•Private Equity Fund$72.7M16Mar 30, 2012
      G• A•••• M••••••••• T•••• A••••• C••••••••• F•••no longer reportedHedge Fund$56.7M5Mar 30, 2012
      G• A•••• M••••••••• T•••• C•••• A• S•••• F••• I•Other Private Fund$39.9M2Mar 30, 2012
      C••• R••••• I•••••••• I• L••Real Estate Fund$38.7M2Mar 30, 2012
      G••• V•••• A•• R••••• P••••••• L•Real Estate Fund$36.7M11Mar 30, 2012
      G•• I••••••••• F•••no longer reportedOther Private Fund$15.2M64Mar 30, 2012
      G• A•••• M••••••••• T•••• P••• I••••• F•••no longer reportedOther Private Fund$6.4M4Mar 30, 2012
      A•••••• F••••••• L•••Securitized Asset Fund$29,3007Mar 30, 2012
      I•• F••• C••••• A••• L•no longer reportedPrivate Equity Fund$06Mar 30, 2012
      G• I••••••••• P•••••• P•••••••• P••••••• I•no longer reportedPrivate Equity Fund$023Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• P•••• M••••• · Dcontrol
        since 07/2007 · owns less than 5%
      • H•••••• T••••••• S••• · Dcontrol
        since 09/2013 · owns less than 5%
      • H•••••• G••••••• B••••• · D, Crocontrol
        since 01/2012 · owns less than 5%
      • H••••••• R•••••• S••••• · Chief Compliance Officercontrol
        since 07/2005 · owns less than 5%
      • L•••••• S••••• M••• · Dcontrol
        since 06/2014 · owns less than 5%
      • M•••••••• M••••••• B•••••• · Dcontrol
        since 07/2009 · owns less than 5%
      • S••••••• M••••••• J••••• · D, Clocontrol
        since 07/2007 · owns less than 5%
      • S•••••••• D•••••• L• · D, Ceocontrol
        since 05/2011 · owns less than 5%
      • T••••• D•••••• W••••••• · Dcontrol
        since 01/1993 · owns less than 5%
      • W••••••••• D••••• W•••••• · Dcontrol
        since 08/2008 · owns less than 5%
      • Z••••••••• M••••••• J••••• · D, Cfocontrol
        since 09/2013 · owns less than 5%
      Entity owners
      • G•••••• E••••••• C•••••• · Sh
        direct · owns 75% or more · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list G• A•••• M••••••••• I••••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Irvine, CA
      What changed
      consecutive filings, newest first
      • Accounts · 340 to 417
        Mar 26, 2015 to Mar 29, 2016
      • Advisory employees · 97 to 102
        Mar 26, 2015 to Mar 29, 2016
      • BD registered reps · 27 to 28
        Mar 26, 2015 to Mar 29, 2016
      • Assets in custody · $51B to $49B
        Mar 26, 2015 to Mar 29, 2016
      • Employees · 246 to 248
        Mar 26, 2015 to Mar 29, 2016
      • Discretionary RAUM · $115B to $110B
        Mar 26, 2015 to Mar 29, 2016
      • Non-discretionary RAUM · $775M to $709M
        Mar 26, 2015 to Mar 29, 2016
      • RAUM · $116B to $110B
        Mar 26, 2015 to Mar 29, 2016
      • Accounts · 403 to 340
        Jul 7, 2014 to Mar 26, 2015
      • Advisory employees · 109 to 97
        Jul 7, 2014 to Mar 26, 2015
      • BD registered reps · 39 to 27
        Jul 7, 2014 to Mar 26, 2015
      • Assets in custody · $50B to $51B
        Jul 7, 2014 to Mar 26, 2015
      • Employees · 289 to 246
        Jul 7, 2014 to Mar 26, 2015
      • Private funds · 11 to 8
        Jul 7, 2014 to Mar 26, 2015
      • Discretionary RAUM · $118B to $115B
        Jul 7, 2014 to Mar 26, 2015
      • Non-discretionary RAUM · $0 to $775M
        Jul 7, 2014 to Mar 26, 2015
      • RAUM · $118B to $116B
        Jul 7, 2014 to Mar 26, 2015
      • Accounts · 360 to 403
        Jan 22, 2014 to Mar 27, 2014
      • Advisory employees · 79 to 109
        Jan 22, 2014 to Mar 27, 2014
      • BD registered reps · 51 to 39
        Jan 22, 2014 to Mar 27, 2014
      • Assets in custody · $46B to $50B
        Jan 22, 2014 to Mar 27, 2014
      • Employees · 337 to 289
        Jan 22, 2014 to Mar 27, 2014
      • Discretionary RAUM · $118B to $118B
        Jan 22, 2014 to Mar 27, 2014
      • RAUM · $118B to $118B
        Jan 22, 2014 to Mar 27, 2014
      • Private funds · 12 to 11
        Apr 11, 2013 to Jul 18, 2013
      • Accounts · 340 to 360
        Jan 14, 2013 to Mar 28, 2013
      • Advisory employees · 143 to 79
        Jan 14, 2013 to Mar 28, 2013
      • BD registered reps · 56 to 51
        Jan 14, 2013 to Mar 28, 2013
      • Assets in custody · $43B to $46B
        Jan 14, 2013 to Mar 28, 2013
      • Employees · 407 to 337
        Jan 14, 2013 to Mar 28, 2013
      • Private funds · 16 to 12
        Jan 14, 2013 to Mar 28, 2013
      • Discretionary RAUM · $116B to $118B
        Jan 14, 2013 to Mar 28, 2013
      • RAUM · $116B to $118B
        Jan 14, 2013 to Mar 28, 2013
      • Advisory employees · unset to 143.0
        Oct 10, 2012 to Jan 3, 2013
      • BD registered reps · unset to 56.0
        Oct 10, 2012 to Jan 3, 2013
      • Employees · unset to 407.0
        Oct 10, 2012 to Jan 3, 2013
      • State-registered IARs · unset to 0.0
        Oct 10, 2012 to Jan 3, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026
      Across the graphs

      G• A•••• M••••••••• I••••••••• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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