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••••••••• L••
Latest filing Mar 28, 2024
First filing on the tape Apr 12, 2012 · 17 filings
SEC status approved since Dec 5, 1979
RAUM
$55.2M
reported, Item 5.F
Discretionary
52%
of RAUM
Private clients
52%
$28.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$55.2M as of Mar 28, 2024
Apr 12, 2012$88.7M then
HNW client RAUM$22.3M as of Mar 28, 2024
Apr 3, 2018$19.2M then
State-registered IARs (5.B.3)1 as of Mar 28, 2024
Apr 9, 20131 then
Employees (5.A)2 as of Mar 28, 2024
Apr 9, 20132 then
Private funds3 as of Mar 28, 2023
Apr 12, 201212 then
RAUM +12% over the last fiscal year-2.8% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 28, 2024; every figure names its basis
- RAUM per advisor
- $55.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 52%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$26.3M48%
- High-net-worth individuals$22.3M40%
- Individuals$6.6M12%
- Individual clients
- 28reported
- HNW clients
- 18reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 47reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
Private funds
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••••••• P••••••• F•••• F••• L• | Hedge Fund | $11.0M | 21 | Apr 12, 2012 |
| B••••••• P••••••• G••••• F••• L• | Hedge Fund | $7.4M | 6 | Apr 12, 2012 |
| W••••••• P••••••• I• L•no longer reported | Venture Capital Fund | $3.0M | 82 | Apr 12, 2012 |
| W••••••• P•••••••• L•no longer reported | Venture Capital Fund | $2.8M | 98 | Apr 12, 2012 |
| W••••••• N•• Y••• P••••••• L• | Venture Capital Fund | $2.0M | 2 | Apr 12, 2012 |
| W••••••• M•••••• P••••••• L•no longer reported | Venture Capital Fund | $900,000 | 39 | Apr 12, 2012 |
| W••••••• P••••••• I•• L•no longer reported | Venture Capital Fund | $750,000 | 145 | Apr 12, 2012 |
| W••••••• P••••••• A•••• F••• L•no longer reported | Venture Capital Fund | $650,000 | 21 | Apr 12, 2012 |
| W••••••• P••••••• I• A•••• F••• L•no longer reported | Venture Capital Fund | $600,000 | 14 | Apr 12, 2012 |
| W••••••• F•••••• P••••••• L•no longer reported | Venture Capital Fund | $250,000 | 4 | Apr 12, 2012 |
| W••••••• F•••••• P••••••• I•• L•no longer reported | Venture Capital Fund | $150,000 | 6 | Apr 12, 2012 |
| W••••••• A••••••••• I•• L•no longer reported | Venture Capital Fund | $150,000 | 35 | Apr 12, 2012 |
Owners and control persons
Schedule A and B, latest filing
- L•••••• I••••• N•• · Chairman/Ciocontrolsince 01/1996 · owns 25% to 50%
- F•••••••• J•••••• E•••••••• · Chief Compliance Officersince 08/2004 · owns less than 5%
Entity owners
- G••••••••• A•••••• L•• · Manager Memberdirect · owns 50% to 75%
- I•••• L••••• · Manage Memberindirect · owns 75% or more of G••••••••• A•••••• L••
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
- Accounts · 49 to 47Mar 28, 2023 to Mar 28, 2024
- Pooled vehicle clients · 3.0 to unsetMar 28, 2023 to Mar 28, 2024
- Financial planning clients · 0 to unsetMar 28, 2023 to Mar 28, 2024
- Private funds · 3 to unsetMar 28, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $20.4M to $26.3MMar 28, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · 20382976.0 to unsetMar 28, 2023 to Mar 28, 2024
- RAUM · $49.2M to $55.2MMar 28, 2023 to Mar 28, 2024
- Related adviser · true to falseMar 28, 2023 to Mar 28, 2024
- Accounts · 40 to 49Aug 8, 2022 to Mar 28, 2023
- HNW clients · 23 to 18Aug 8, 2022 to Mar 28, 2023
- Individual clients · 11 to 28Aug 8, 2022 to Mar 28, 2023
- Pooled vehicle clients · 6 to 3Aug 8, 2022 to Mar 28, 2023
- Private funds · 6 to 3Aug 8, 2022 to Mar 28, 2023
- Discretionary RAUM · $32.6M to $28.9MAug 8, 2022 to Mar 28, 2023
- HNW RAUM · $31.4M to $22.3MAug 8, 2022 to Mar 28, 2023
- Individual RAUM · $1.2M to $6.6MAug 8, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $30.6M to $20.4MAug 8, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $30.6M to $20.4MAug 8, 2022 to Mar 28, 2023
- RAUM · $63.3M to $49.2MAug 8, 2022 to Mar 28, 2023
- Accounts · 39 to 40Mar 31, 2021 to Mar 30, 2022
- HNW clients · 26 to 23Mar 31, 2021 to Mar 30, 2022
- Individual clients · 7 to 11Mar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $33.2M to $32.6MMar 31, 2021 to Mar 30, 2022
- HNW RAUM · $31.9M to $31.4MMar 31, 2021 to Mar 30, 2022
- Individual RAUM · $1.4M to $1.2MMar 31, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $27.0M to $30.6MMar 31, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $27.0M to $30.6MMar 31, 2021 to Mar 30, 2022
- RAUM · $60.2M to $63.3MMar 31, 2021 to Mar 30, 2022
- Accounts · 38 to 39Sep 30, 2020 to Mar 31, 2021
- HNW clients · 23 to 26Sep 30, 2020 to Mar 31, 2021
- Individual clients · 9 to 7Sep 30, 2020 to Mar 31, 2021
- HQ city · NEW Y••• to HARRISONSep 30, 2020 to Mar 31, 2021
- Other offices · 1 to 0Sep 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $24.9M to $33.2MSep 30, 2020 to Mar 31, 2021
- HNW RAUM · $24.0M to $31.9MSep 30, 2020 to Mar 31, 2021
- Individual RAUM · $874,630 to $1.4MSep 30, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $19.3M to $27.0MSep 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $19.3M to $27.0MSep 30, 2020 to Mar 31, 2021
- RAUM · $44.2M to $60.2MSep 30, 2020 to Mar 31, 2021
- Accounts · 36 to 38Dec 12, 2019 to Apr 30, 2020
Signals
1 dated events
- G••••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $55.2M)May 2, 2025 · Left the SEC roster · derived
Across DFX
shared identifiers only, never a name match
- G••••••••• L•• · Venture Capitalshared crd · organization
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