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•••••

Former SEC-registered adviserCRD 106729SEC 801-40422IAPD
Legal name M••••• G••• A•••
Latest filing Jan 31, 2022
First filing on the tape Mar 29, 2012 · 13 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$0 as of Jan 31, 2022
Mar 29, 2012$172M then
HNW client RAUM$0 as of Jan 31, 2022
Mar 7, 2018$0 then
State-registered IARs (5.B.3)0 as of Jan 31, 2022
Mar 29, 20120 then
Employees (5.A)1 as of Jan 31, 2022
Mar 25, 20131 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 31, 2022; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
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
  • has discretionary authority over which securities are bought or sold (8.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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M•••••• G•••• A••• · Chief Compliance Officercontrol
      since 12/1998 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Other offices · 1 to 0
      Mar 6, 2019 to Feb 20, 2020
    • Charity clients · unset to 0.0
      Jan 31, 2017 to Mar 7, 2018
    • Corporate clients · unset to 0.0
      Jan 31, 2017 to Mar 7, 2018
    • HNW clients · unset to 0.0
      Jan 31, 2017 to Mar 7, 2018
    • Individual clients · unset to 0.0
      Jan 31, 2017 to Mar 7, 2018
    • Pension plan clients · unset to 0.0
      Jan 31, 2017 to Mar 7, 2018
    • Pooled vehicle clients · unset to 0.0
      Jan 31, 2017 to Mar 7, 2018
    • HQ city · HONG KONG to unset
      Jan 31, 2017 to Mar 7, 2018
    • Other offices · unset to 1.0
      Jan 31, 2017 to Mar 7, 2018
    • HNW RAUM · unset to 0.0
      Jan 31, 2017 to Mar 7, 2018
    • Individual RAUM · unset to 0.0
      Jan 31, 2017 to Mar 7, 2018
    • Pension RAUM · unset to 0.0
      Jan 31, 2017 to Mar 7, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Jan 31, 2017 to Mar 7, 2018
    • Accounts · 1 to 0
      Feb 18, 2014 to Mar 30, 2015
    • Discretionary RAUM · $96,500 to $0
      Feb 18, 2014 to Mar 30, 2015
    • RAUM · $96,500 to $0
      Feb 18, 2014 to Mar 30, 2015
    • Advisory activities · 2 to 3
      Apr 4, 2013 to Feb 18, 2014
    • Discretionary RAUM · $40.9M to $96,500
      Apr 4, 2013 to Feb 18, 2014
    • RAUM · $40.9M to $96,500
      Apr 4, 2013 to Feb 18, 2014
    • Organization form · Partnership to Sole Proprietorship
      Mar 25, 2013 to Apr 4, 2013
    • Accounts · 70 to 1
      Mar 29, 2012 to Mar 25, 2013
    • Advisory employees · unset to 1.0
      Mar 29, 2012 to Mar 25, 2013
    • Advisory activities · 4 to 2
      Mar 29, 2012 to Mar 25, 2013
    • Employees · unset to 1.0
      Mar 29, 2012 to Mar 25, 2013
    • Financial planning clients · 51-100 to 0
      Mar 29, 2012 to Mar 25, 2013
    • HQ city · DALLAS to HONG KONG
      Mar 29, 2012 to Mar 25, 2013
    • HQ state · TX to unset
      Mar 29, 2012 to Mar 25, 2013
    • Organization form · Sole Proprietorship to Partnership
      Mar 29, 2012 to Mar 25, 2013
    • Discretionary RAUM · $166M to $40.9M
      Mar 29, 2012 to Mar 25, 2013
    • Non-discretionary RAUM · $6.4M to $0
      Mar 29, 2012 to Mar 25, 2013
    • RAUM · $172M to $40.9M
      Mar 29, 2012 to Mar 25, 2013
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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