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•• G••••

Former SEC-registered adviserStamford, ConnecticutCRD 109877SEC 801-60038IAPD
Legal name G••• •••• L•••
Latest filing Mar 31, 2022
First filing on the tape Mar 30, 2012 · 11 filings
RAUM
$40.1M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$40.1M gross assets
History
11 filings and snapshots on the tape
RAUM$40.1M as of Mar 31, 2022
Mar 30, 2012$939M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 30, 20120 then
Employees (5.A)1 as of Mar 31, 2022
Apr 1, 20133 then
Private funds1 as of Mar 31, 2022
Mar 30, 20129 then
RAUM -0.9% over the last fiscal year-0.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 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
$40.1MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-0.9%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
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$40.1M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••••• C•• 2•••••• L•••Securitized Asset Fund$40.1M0Mar 30, 2012
      G•••••••• S••••• C•••••• O•••••••• L•••no longer reportedPrivate Equity Fund$939,0854Mar 30, 2012
      G•••••••• S••••• E•••••••• F•••• L•••no longer reportedPrivate Equity Fund$666,460790Mar 30, 2012
      G•••••••• F•••• L•••no longer reportedPrivate Equity Fund$335,954103Mar 30, 2012
      G•• E••••••• C•• I•• S•••Securitized Asset Fund$157,3840Mar 30, 2012
      G••• O••••••• F•••• L•••no longer reportedPrivate Equity Fund$134,5904Mar 30, 2012
      C•••••••• E•••••••• G•• F•••• L•••no longer reportedPrivate Equity Fund$91,8263Mar 30, 2012
      G•• E••••••• C•• I• S•••Securitized Asset Fund$89,5470Mar 30, 2012
      T•• E•••••••• F•••• L•••no longer reportedPrivate Equity Fund$14,2286Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • T•••••• A•••• J••••• · Chief Compliance Officer
        since 12/2021 · owns less than 5%
      Entity owners
      • G•• G••••• I••• · Common Equityholder
        direct · owns 75% or more
      • G••• •••• I••• · General Partner
        direct · owns less than 5%
      • G•• A••••••••• H••••••• L•• · Owner
        indirect · owns 25% to 50% of G•• G••••• I•••
      • G•• A••••• P••••••• H•••••••• L••• · Owner
        indirect · owns 25% to 50% of N•• G•• H••••••• L••
      • G•• A••••• P•••••••• I••• · General Partner
        indirect · owns F of G•• A••••• P••••••• H•••••••• L•••
      • N•• G•• H••••••• L•• · Owner
        indirect · owns 25% to 50% of G•• G••••• I•••
      Related persons
      Schedule D 7.A
      • G••• •••• I•••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 1
        Mar 26, 2021 to Mar 31, 2022
      • Advisory employees · 2 to 1
        Mar 26, 2021 to Mar 31, 2022
      • Pooled vehicle clients · 3 to 1
        Mar 26, 2021 to Mar 31, 2022
      • Employees · 2 to 1
        Mar 26, 2021 to Mar 31, 2022
      • Private funds · 3 to 1
        Mar 26, 2021 to Mar 31, 2022
      • Discretionary RAUM · $40.5M to $40.1M
        Mar 26, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $40.5M to $40.1M
        Mar 26, 2021 to Mar 31, 2022
      • RAUM · $40.5M to $40.1M
        Mar 26, 2021 to Mar 31, 2022
      • HQ city · G•••••••• to STAMFORD
        Mar 30, 2020 to Mar 26, 2021
      • Discretionary RAUM · $40.3M to $40.5M
        Mar 30, 2020 to Mar 26, 2021
      • Pooled vehicle RAUM · $40.3M to $40.5M
        Mar 30, 2020 to Mar 26, 2021
      • RAUM · $40.3M to $40.5M
        Mar 30, 2020 to Mar 26, 2021
      • Discretionary RAUM · $40.5M to $40.3M
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $40.5M to $40.3M
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $40.5M to $40.3M
        Mar 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $40.8M to $40.5M
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $40.8M to $40.5M
        Mar 29, 2018 to Mar 29, 2019
      • RAUM · $40.8M to $40.5M
        Mar 29, 2018 to Mar 29, 2019
      • Pooled vehicle clients · unset to 3.0
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $85.4M to $40.8M
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 40775261.0
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $85.4M to $40.8M
        Mar 31, 2017 to Mar 29, 2018
      • Accounts · 7 to 3
        Mar 29, 2016 to Mar 31, 2017
      • Advisory activities · 2 to 1
        Mar 29, 2016 to Mar 31, 2017
      • Assets in custody · 1151232.0 to unset
        Mar 29, 2016 to Mar 31, 2017
      • Custody of client assets · true to false
        Mar 29, 2016 to Mar 31, 2017
      • Private funds · 7 to 3
        Mar 29, 2016 to Mar 31, 2017
      • Discretionary RAUM · $179M to $85.4M
        Mar 29, 2016 to Mar 31, 2017
      • RAUM · $179M to $85.4M
        Mar 29, 2016 to Mar 31, 2017
      • Assets in custody · $1.6M to $1.2M
        Mar 31, 2015 to Mar 29, 2016
      • Discretionary RAUM · $341M to $179M
        Mar 31, 2015 to Mar 29, 2016
      • RAUM · $341M to $179M
        Mar 31, 2015 to Mar 29, 2016
      • Accounts · 8 to 7
        Mar 31, 2014 to Mar 31, 2015
      • Assets in custody · $3.5M to $1.6M
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 3 to 2
        Mar 31, 2014 to Mar 31, 2015
      • Private funds · 8 to 7
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $655M to $341M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $655M to $341M
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 9 to 8
        Apr 1, 2013 to Mar 31, 2014
      Signals
      1 dated events
      • R. Peter Frank (Senior Managing Director And Chief Compliance Officer) no longer on Schedule A of G•• G•••• (listed 2021-03-26, absent 2022-03-31)
        Mar 31, 2022 · Control person left · inference
      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