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

A••••••••• I••••••••• G•••• S•••••••• L•••

Former SEC-registered adviserCRD 111263SEC 801-55132IAPD
Latest filing Mar 30, 2021
First filing on the tape Mar 30, 2012 · 15 filings
RAUM
$28.2M
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
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$28.2M gross assets
History
15 filings and snapshots on the tape
RAUM$28.2M as of Mar 30, 2021
Mar 30, 2012$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2021
Mar 30, 20120 then
Employees (5.A)9 as of Mar 30, 2021
Mar 21, 201324 then
Private funds1 as of Mar 30, 2021
Mar 30, 20123 then
RAUM -95% over the last fiscal year-66% a year over threeIARs 0 to 0offices 2 to 0
Practice profile
derived from the filing of Mar 30, 2021; 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
$28.2MderivedRAUM 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
-95%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 vehicles, selection of other advisersreportedItem 5.G
Custody
$28.2M, 1 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)
  • 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$28.2M100%
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
$28.2M for 1 clientsreported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B••••• G••••• V•••• F••• •••• L•••no longer reportedHedge Fund$113M58Mar 22, 2012
      B••••• G••••• V•••• F•••• L•••no longer reportedHedge Fund$48.9M17Mar 22, 2012
      B••••• A•••••• D••••••••• P••••••• I• A••••• F•••• L•••Private Equity Fund$28.2M60Mar 22, 2012
      A••••••••• I••••••••• I••••••••• L•••no longer reportedHedge Fund$21.7M19Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • W•••• M•••••• A••• · Chief Executive Officercontrol
        since 09/2019 · owns 10% to 25%
      • G••••••••• M••••••• A•••• · Manager And Membercontrol
        since 12/2012 · owns 25% to 50% of G••••••••• A••••• L••
      • G••••••••• S••••••• H••••• · Managercontrol
        since 12/2012 · owns F of G••••••••• A••••• L••
      • P••••• J•••••• A••••• · Trusteecontrol
        since 06/2009 · owns F of S••••• F••••• G••• T••••
      • S•••••• D••••• K••••••••• O• · Membercontrol
        since 11/1996 · owns 50% to 75% of S••••••••• P•••••••• L•••••
      • S•••••• L•••••• T•••• · Trusteecontrol
        since 10/1999 · owns F of S••••• F••••• G••• T••••
      • B•••••• R•••••• B•••••• · Limited Partner
        since 01/2019 · owns 5% to 10%
      • K•••••• E••••• G•••••••• · Limited Partner / Chief Compliance Officer
        since 05/2002 · owns less than 5%
      • S•••••• D••••• K••••••••• O• · Limited Partner
        since 11/1996 · owns 10% to 25%
      • T••••••• M••••••• J•••• · Limited Partner / Chief Operating Officer
        since 07/2014 · owns 5% to 10%
      • G••••••••• J•••••• Z••••• · Member
        since 12/2012 · owns 25% to 50% of G••••••••• A••••• L••
      Entity owners
      • G••••••••• A••••• L•• · Limited Partner
        direct · owns 10% to 25%
      • S••••••••• P•••••••• L••••• · General Partner
        direct · owns less than 5%
      • G••••••••• A••••• L•• · Managing Member
        indirect · owns 25% to 50% of S••••••••• P•••••••• L•••••
      • S••••• F••••• G••• T•••• · Limited Partner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • A••• G•• L•••
        investment adviserpooled vehicle sponsorn
      • A••••••••• I••••••••• G••••• L•••••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 12 to 1
        Jan 30, 2020 to Mar 30, 2021
      • Advisory employees · 10 to 5
        Jan 30, 2020 to Mar 30, 2021
      • Pooled vehicle clients · 12 to 1
        Jan 30, 2020 to Mar 30, 2021
      • Assets in custody · $624M to $28.2M
        Jan 30, 2020 to Mar 30, 2021
      • Employees · 18 to 9
        Jan 30, 2020 to Mar 30, 2021
      • HQ city · SOUTHPORT to unset
        Jan 30, 2020 to Mar 30, 2021
      • HQ state · CT to unset
        Jan 30, 2020 to Mar 30, 2021
      • Other offices · 2 to 0
        Jan 30, 2020 to Mar 30, 2021
      • Private funds · 8 to 1
        Jan 30, 2020 to Mar 30, 2021
      • Discretionary RAUM · $624M to $28.2M
        Jan 30, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $624M to $28.2M
        Jan 30, 2020 to Mar 30, 2021
      • RAUM · $624M to $28.2M
        Jan 30, 2020 to Mar 30, 2021
      • Related bank · true to false
        Jan 30, 2020 to Mar 30, 2021
      • Advisory employees · 12 to 10
        Jun 12, 2019 to Jan 30, 2020
      • Assets in custody · $887M to $624M
        Jun 12, 2019 to Jan 30, 2020
      • Employees · 22 to 18
        Jun 12, 2019 to Jan 30, 2020
      • Discretionary RAUM · $887M to $624M
        Jun 12, 2019 to Jan 30, 2020
      • Pooled vehicle RAUM · $887M to $624M
        Jun 12, 2019 to Jan 30, 2020
      • RAUM · $887M to $624M
        Jun 12, 2019 to Jan 30, 2020
      • Advisory employees · 13 to 12
        Jun 30, 2018 to Mar 28, 2019
      • Assets in custody · $1.1B to $887M
        Jun 30, 2018 to Mar 28, 2019
      • Employees · 26 to 22
        Jun 30, 2018 to Mar 28, 2019
      • Discretionary RAUM · $1.1B to $887M
        Jun 30, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $1.1B to $887M
        Jun 30, 2018 to Mar 28, 2019
      • RAUM · $1.1B to $887M
        Jun 30, 2018 to Mar 28, 2019
      • Accounts · 9 to 12
        Mar 29, 2018 to Jun 30, 2018
      • Advisory employees · 10 to 13
        Mar 29, 2018 to Jun 30, 2018
      • Pooled vehicle clients · 9 to 12
        Mar 29, 2018 to Jun 30, 2018
      • Assets in custody · $726M to $1.1B
        Mar 29, 2018 to Jun 30, 2018
      • Employees · 18 to 26
        Mar 29, 2018 to Jun 30, 2018
      • Private funds · 5 to 8
        Mar 29, 2018 to Jun 30, 2018
      • Discretionary RAUM · $726M to $1.1B
        Mar 29, 2018 to Jun 30, 2018
      • Pooled vehicle RAUM · $726M to $1.1B
        Mar 29, 2018 to Jun 30, 2018
      • RAUM · $726M to $1.1B
        Mar 29, 2018 to Jun 30, 2018
      • Pooled vehicle clients · unset to 9.0
        Mar 28, 2017 to Mar 29, 2018
      • Assets in custody · $835M to $726M
        Mar 28, 2017 to Mar 29, 2018
      • Other offices · unset to 2.0
        Mar 28, 2017 to Mar 29, 2018
      • Discretionary RAUM · $835M to $726M
        Mar 28, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 726114168.0
        Mar 28, 2017 to Mar 29, 2018
      • RAUM · $835M to $726M
        Mar 28, 2017 to Mar 29, 2018
      Signals
      3 dated events
      • A••••••••• I••••••••• G•••• S•••••••• L••• reported RAUM $28.2M, down 95% from $624.2M (2020-01-30 to 2021-03-30)
        Mar 30, 2021 · RAUM change · derived
      • A••••••••• I••••••••• G•••• S•••••••• L••• reported RAUM $624.2M, down 30% from $886.7M (2019-06-12 to 2020-01-30)
        Jan 30, 2020 · RAUM change · derived
      • A••••••••• I••••••••• G•••• S•••••••• L••• reported RAUM $1.1B, up 52% from $726.1M (2018-03-29 to 2018-06-30)
        Jun 30, 2018 · RAUM change · derived
      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