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••• • C••••••

Former SEC-registered adviserAtlanta, GeorgiaCRD 109349SEC 801-55882IAPD
Legal name G••• F•••••••• G•••• I•••
Latest filing Mar 30, 2016
First filing on the tape Mar 26, 2012 · 14 filings
RAUM
$5.0B
reported, Item 5.F
Discretionary
24%
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
9
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$122M gross assets
History
14 filings and snapshots on the tape
RAUM$5.0B as of Mar 30, 2016
Mar 26, 2012$511M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 30, 2016
Mar 26, 20120 then
Employees (5.A)9 as of Mar 30, 2016
Apr 1, 201337 then
Private funds3 as of Mar 30, 2016
Mar 26, 20121 then
RAUM -23% over the last fiscal year+89% a year over threeIARs 0 to 2
Practice profile
derived from the filing of Mar 30, 2016; every figure names its basis
RAUM per advisor
$2.5BderivedRAUM 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
$135MderivedRAUM over accounts (5.F.2.f)
Discretionary
24%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-23%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-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
Custody
yesreportedItem 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
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
37reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
Every departureEvery arrival
Private funds
3 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
G••••• A••••••••• P••••••• I•• L•Other Private Fund$85.5M5Jan 24, 2013
G••••• A••••••••• P••••••• I• L•Other Private Fund$33.8M5Mar 26, 2012
S••••••••• G•••••• L•Private Equity Fund$2.6M2Mar 31, 2015
Owners and control persons
Schedule A and B, latest filing
  • G•••• L•••••••• O•••• · Shareholdercontrol
    since 01/1991 · owns 75% or more
  • H••••• M•••• W••••• · Chief Financial Officer And Chief Compliance Officercontrol
    since 10/2012 · owns less than 5%
  • H••••••• R•••••• C••••• · Chief Executive Officer, Shareholdercontrol
    since 07/2015 · owns less than 5%
Related persons
Schedule D 7.A
  • G••••• I••••••••• M••••••••• I•• L••
    pooled vehicle sponsory
  • G••••• I••••••••• M••••••••• L••
    bankpooled vehicle sponsory
  • S••••••••• G•••••• L••
    pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
  • Chicago, IL
What changed
consecutive filings, newest first
  • Accounts · 46 to 37
    Aug 20, 2015 to Mar 30, 2016
  • Advisory employees · 7 to 6
    Aug 20, 2015 to Mar 30, 2016
  • Advisory activities · 6 to 4
    Aug 20, 2015 to Mar 30, 2016
  • Employees · 10 to 9
    Aug 20, 2015 to Mar 30, 2016
  • State-registered IARs · 0 to 2
    Aug 20, 2015 to Mar 30, 2016
  • Discretionary RAUM · $933M to $1.2B
    Aug 20, 2015 to Mar 30, 2016
  • Non-discretionary RAUM · $5.6B to $3.8B
    Aug 20, 2015 to Mar 30, 2016
  • RAUM · $6.5B to $5.0B
    Aug 20, 2015 to Mar 30, 2016
  • Advisory employees · 13 to 7
    Jun 8, 2015 to Aug 20, 2015
  • Employees · 17 to 10
    Jun 8, 2015 to Aug 20, 2015
  • Related adviser · true to false
    May 22, 2015 to Jun 8, 2015
  • Related adviser · false to true
    Mar 31, 2015 to May 22, 2015
  • Accounts · 43 to 46
    Sep 30, 2014 to Mar 31, 2015
  • Advisory employees · 23 to 13
    Sep 30, 2014 to Mar 31, 2015
  • Assets in custody · unset to 0.0
    Sep 30, 2014 to Mar 31, 2015
  • Custody of client assets · false to true
    Sep 30, 2014 to Mar 31, 2015
  • Employees · 27 to 17
    Sep 30, 2014 to Mar 31, 2015
  • Private funds · 2 to 3
    Sep 30, 2014 to Mar 31, 2015
  • Discretionary RAUM · $904M to $933M
    Sep 30, 2014 to Mar 31, 2015
  • Non-discretionary RAUM · $10.0B to $5.6B
    Sep 30, 2014 to Mar 31, 2015
  • RAUM · $11B to $6.5B
    Sep 30, 2014 to Mar 31, 2015
  • Related adviser · true to false
    Sep 30, 2014 to Mar 31, 2015
  • Business name · G••• • C• to G••• • C••••••
    Mar 31, 2014 to Apr 4, 2014
  • Accounts · 19 to 43
    Dec 24, 2013 to Mar 31, 2014
  • Advisory employees · 33 to 23
    Dec 24, 2013 to Mar 31, 2014
  • Advisory activities · 4 to 6
    Dec 24, 2013 to Mar 31, 2014
  • Employees · 37 to 27
    Dec 24, 2013 to Mar 31, 2014
  • State-registered IARs · 8 to 0
    Dec 24, 2013 to Mar 31, 2014
  • Discretionary RAUM · $742M to $904M
    Dec 24, 2013 to Mar 31, 2014
  • Non-discretionary RAUM · $0 to $10.0B
    Dec 24, 2013 to Mar 31, 2014
  • RAUM · $742M to $11B
    Dec 24, 2013 to Mar 31, 2014
  • Accounts · 24 to 19
    Jan 24, 2013 to Apr 1, 2013
  • Advisory employees · 25 to 33
    Jan 24, 2013 to Apr 1, 2013
  • Employees · 29 to 37
    Jan 24, 2013 to Apr 1, 2013
  • Legal name · G••• FIANCIAL GROUP INC. to G••• F•••••••• G•••• I•••
    Jan 24, 2013 to Apr 1, 2013
  • Discretionary RAUM · $575M to $742M
    Jan 24, 2013 to Apr 1, 2013
  • RAUM · $575M to $742M
    Jan 24, 2013 to Apr 1, 2013
  • Accounts · 21 to 24
    Mar 26, 2012 to Jan 24, 2013
  • Advisory employees · unset to 25.0
    Mar 26, 2012 to Jan 24, 2013
  • Employees · unset to 29.0
    Mar 26, 2012 to Jan 24, 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