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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SEC-registered adviser
G••••• E••••••••• F•••
Legal name G•• M••••••••• C•••••••••
Latest filing Mar 30, 2026
First filing on the tape Mar 29, 2012 · 21 filings
SEC status approved since Jun 3, 1991
RAUM
$116M
reported, Item 5.F
Discretionary
100%
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
3
2 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
3
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$116M as of Mar 30, 2026
Mar 29, 2012$909M then
HNW client RAUM$0 as of Mar 30, 2026
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 25, 20130 then
Employees (5.A)3 as of Mar 30, 2026
Mar 25, 201348 then
Private funds3 as of Mar 30, 2026
Mar 29, 201217 then
RAUM -51% over the last fiscal year-36% a year over threeIARs 0 to 0offices 1 to 3
Practice profile
derived from the filing of Mar 30, 2026; 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
- $16.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -51%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $116M, 7 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$116M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $116M for 7 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
24 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•• U••• G••••• P••••••• I•• L• | Private Equity Fund | $275M | 8 | Mar 25, 2013 |
| S•••• A••• C•••• E••••• F•••• L• | Private Equity Fund | $106M | 13 | Mar 29, 2012 |
| S•••• H••••••• I•no longer reported | Private Equity Fund | $98.6M | 2 | Mar 30, 2015 |
| G••••• E••••••••• C•••••• C••••••• L•• | Private Equity Fund | $69.4M | 18 | Mar 29, 2012 |
| A•• P••••••••• M• | Private Equity Fund | $67.6M | 12 | Mar 29, 2012 |
| G•• A••••• S••••••••• F••••••• F•••• L• | Private Equity Fund | $45.7M | 11 | Mar 29, 2012 |
| G•• U••• G••••• F••• I•• L• | Private Equity Fund | $41.1M | 26 | Mar 29, 2012 |
| G•• A••••• G••••• F••• L••••••no longer reported | Private Equity Fund | $36.0M | 3 | Mar 30, 2015 |
| A•••••••••no longer reported | Private Equity Fund | $27.9M | 2 | Mar 31, 2017 |
| S•••• H•••••••no longer reported | Private Equity Fund | $24.8M | 11 | Mar 29, 2012 |
| G•• C•••• T••••••••• F•••• L•no longer reported | Private Equity Fund | $20.2M | 19 | Mar 29, 2012 |
| G•• S•• C••••••• P•••••••• L• | Private Equity Fund | $12.5M | 3 | Mar 28, 2014 |
| G•• A•••••••• S••••••••• F••••••• F•••• L• | Private Equity Fund | $12.4M | 1 | Mar 29, 2012 |
| G••••• E••••••••• E••••••• M•••••• F••• I••• L• | Private Equity Fund | $9.4M | 32 | Mar 29, 2012 |
| G•• S•• C••••••• P••••••• I•• L• | Private Equity Fund | $6.8M | 2 | Mar 30, 2015 |
| G••••• E••••••••• E••••••• M•••••• F••• I••••• L• | Private Equity Fund | $3.1M | 4 | Mar 29, 2012 |
| G••••• E••••••••• E••••••• M•••••• F••• I•• L• | Private Equity Fund | $2.8M | 13 | Mar 29, 2012 |
| G•••• I•• B••••• H••••••• I••• L• | Private Equity Fund | $1.6M | 21 | Mar 29, 2012 |
| G•••• I•• B••••• H••••••• I•• L• | Private Equity Fund | $1.5M | 10 | Mar 29, 2012 |
| G••••• E••••••••• E••••••• M•••••• F•••• L• | Private Equity Fund | $1.1M | 14 | Mar 29, 2012 |
| G•••• I•• B••••• H••••••• I• L• | Private Equity Fund | $819,000 | 6 | Mar 29, 2012 |
| G••••• E••••••• M•••••• F••••••• P•••••••• L•no longer reported | Securitized Asset Fund | $359,776 | 19 | Mar 29, 2012 |
| G•• U•• I• C••••••• P•••••••• L• | Securitized Asset Fund | $310,000 | 2 | Mar 25, 2013 |
| G•••• P•••••••• L• | Private Equity Fund | $214,000 | 13 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- E••••••• J•••• E•••• · Chairman Of The Board, Indirect Shareholder, Managing Partnercontrolsince 12/1989 · owns 10% to 25%
- G••••••• J••••• P••• · Board Member, Shareholdercontrolsince 01/1994 · owns less than 5%
- L••••••• C••••••• P••••• · Board Member, Indirect Shareholdercontrolsince 10/2018 · owns 25% to 50%
- M••••••• B••••• H••••••• · Board Member, Shareholder, Managing Partnercontrolsince 07/1998 · owns 10% to 25%
- R•••••••• W••••••• W•••••• · Board Member, Indirect Shareholdercontrolsince 07/1998 · owns 5% to 10%
- E••••••• J•••• E•••• · Trusteecontrolsince 01/2012 · owns F of D•• R•••••••• T••••
- L••••••• C••••••• P••••• · Trusteecontrolsince 10/2018 · owns F of T•• H• J•••••• L•••••• 2••• F••••• T••••
- L••••••• C••••••• P••••• · Trusteecontrolsince 10/2021 · owns F of H•• N••••••••• M•••••• T••••
- L••••••• C••••••• P••••• · Trusteecontrolsince 10/2021 · owns F of H•• M• M•••••• T••••
- R•••••••• W••••••• W•••••• · Trusteecontrolsince 12/2023 · owns F of W•••••• R• R••••••• T•••• A• D•••• J•••• 1• 2•••
- V••••••••• K••••• M•••• · Cco, Coosince 02/2017 · owns less than 5%
Entity owners
- H•• M• M•••••• T•••• · Shareholderdirect · owns 5% to 10%
- H•• N••••••••• M•••••• T•••• · Shareholderdirect · owns 25% to 50%
- T•• H• J•••••• L•••••• 2••• F••••• T•••• · Shareholderdirect · owns 5% to 10%
- D•• R•••••••• T•••• · Shareholderdirect · owns 10% to 25%
- W•••••• R• R••••••• T•••• A• D•••• J•••• 1• 2••• · Shareholderdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- G•••• I•• P•••••••• L•pooled vehicle sponsory
- G•• A••••• S••••••••• F••••••• P•••••••• L•pooled vehicle sponsory
- G•• U••• G••••• M••••••••• I•• L••pooled vehicle sponsory
- G•• U••• G••••• P••••••• I•• L•pooled vehicle sponsory
- G••••• E••••••••• I••••••••• M••••••••• C••••••• L••pooled vehicle sponsory
- G••••• E••••••••• M••••••••• C•••••• I•• L••pooled vehicle sponsory
- G••••• E••••••••• M••••••••• C••••••• L••pooled vehicle sponsory
- S•••• P•••••••• L•pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $238,300,000 to $116,000,000 (-51.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was +4.0% (1148 comparable advisers, 3.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 3.0% percentile
What changed
consecutive filings, newest first
- Accounts · 16 to 7Mar 31, 2025 to Mar 30, 2026
- Pooled vehicle clients · 16 to 7Mar 31, 2025 to Mar 30, 2026
- Assets in custody · $233M to $116MMar 31, 2025 to Mar 30, 2026
- Other offices · 1 to 3Mar 31, 2025 to Mar 30, 2026
- Private funds · 11 to 3Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $238M to $116MMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $238M to $116MMar 31, 2025 to Mar 30, 2026
- RAUM · $238M to $116MMar 31, 2025 to Mar 30, 2026
- Accounts · 18 to 16Mar 29, 2024 to Mar 31, 2025
- Pooled vehicle clients · 18 to 16Mar 29, 2024 to Mar 31, 2025
- Assets in custody · $325M to $233MMar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Private funds · 15 to 11Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $325M to $238MMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $325M to $238MMar 29, 2024 to Mar 31, 2025
- RAUM · $325M to $238MMar 29, 2024 to Mar 31, 2025
- Accounts · 20 to 18Mar 29, 2023 to Mar 29, 2024
- Pooled vehicle clients · 20 to 18Mar 29, 2023 to Mar 29, 2024
- Assets in custody · $433M to $325MMar 29, 2023 to Mar 29, 2024
- Employees · 4 to 3Mar 29, 2023 to Mar 29, 2024
- Other offices · 0 to 1Mar 29, 2023 to Mar 29, 2024
- Private funds · 18 to 15Mar 29, 2023 to Mar 29, 2024
- Discretionary RAUM · $433M to $325MMar 29, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $433M to $325MMar 29, 2023 to Mar 29, 2024
- RAUM · $433M to $325MMar 29, 2023 to Mar 29, 2024
- Assets in custody · $847M to $433MMar 31, 2022 to Mar 29, 2023
- Private funds · 20 to 18Mar 31, 2022 to Mar 29, 2023
- Discretionary RAUM · $847M to $433MMar 31, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $847M to $433MMar 31, 2022 to Mar 29, 2023
- RAUM · $847M to $433MMar 31, 2022 to Mar 29, 2023
- Advisory employees · 4 to 2Nov 3, 2021 to Mar 31, 2022
- Assets in custody · $669M to $847MNov 3, 2021 to Mar 31, 2022
- Employees · 6 to 4Nov 3, 2021 to Mar 31, 2022
- Discretionary RAUM · $669M to $847MNov 3, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $669M to $847MNov 3, 2021 to Mar 31, 2022
- RAUM · $669M to $847MNov 3, 2021 to Mar 31, 2022
- Accounts · 21 to 20Mar 29, 2020 to Mar 31, 2021
- Pooled vehicle clients · 21 to 20Mar 29, 2020 to Mar 31, 2021
- Assets in custody · $712M to $669MMar 29, 2020 to Mar 31, 2021
- Private funds · 21 to 20Mar 29, 2020 to Mar 31, 2021
Signals
8 dated events
- G••••• E••••••••• F••• reported RAUM $116.0M, down 51% from $238.3M (2025-03-31 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- G••••• E••••••••• F••• reported RAUM $433.0M, down 49% from $847.0M (2022-03-31 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- G••••• E••••••••• F••• reported RAUM $847.0M, up 27% from $668.9M (2021-11-03 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- S•••••• G••••• (Cfo) no longer on Schedule A of G••••• E••••••••• F••• (listed 2019-01-10, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- W•••••• W•••••• R••••••• (Board Member, Owner) appeared on Schedule A of G••••• E••••••••• F•••Jan 10, 2019 · Control person joined · fact
- P••••• C•••••• L•••••• (Estate Executer) appeared on Schedule A of G••••• E••••••••• F•••Jan 10, 2019 · Control person joined · fact
- J•••••• H••• L•••••• (President & Ceo, Board Member, Board Member Of Relying Advisor) no longer on Schedule A of G••••• E••••••••• F••• (listed 2018-05-08, absent 2019-01-10)Jan 10, 2019 · Control person left · inference
- K••• E••••••••• (Director Of Relying Advisor) no longer on Schedule A of G••••• E••••••••• F••• (listed 2018-05-08, absent 2019-01-10)Jan 10, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- G••••• E••••••••• F••• · Independent Sponsorsshared crd · capital_provider
- G••••• E••••••••• F••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/31221reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 571-331-0374reportedpublic record, Form ADV, Mar 30, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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