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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

G••••••• C•••••• A•••••••• I•••

Former SEC-registered adviserCRD 113088SEC 801-60307IAPD
Latest filing Jan 23, 2013
First filing on the tape Apr 2, 2012 · 5 filings
RAUM
$59.2M
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
4
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$28.0M gross assets
History
5 filings and snapshots on the tape
RAUM$59.2M as of Jan 23, 2013
Apr 2, 2012$59.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 23, 2013
Jan 23, 20130 then
Employees (5.A)4 as of Jan 23, 2013
Jan 23, 20134 then
Private funds3 as of Jan 23, 2013
Apr 2, 20123 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 23, 2013; 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
$11.8MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
Custody
$40.0M, 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
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
5reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$40.0M for 1 clientsreported
Compensation
% of AUM, fixed, hourly, 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G••••••• T••••••• A••••••••• F•••• L•••••Other Private Fund$21.6M2Apr 2, 2012
      D••• R••••••••• F•••• L••Hedge Fund$4.3M2Apr 2, 2012
      P•••••• S•••••• F•••• L••Securitized Asset Fund$2.2M1Apr 2, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••••• E••••••••• · Ceo, Cio, Chief Compliance Officercontrol
        since 05/2007 · owns 75% or more
      • L••••••••• E••••• · Partner
        since 03/1996 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • London, United Kingdom
      What changed
      consecutive filings, newest first
      • Advisory employees · unset to 2.0
        Oct 24, 2012 to Jan 23, 2013
      • Assets in custody · unset to 40000000.0
        Oct 24, 2012 to Jan 23, 2013
      • Custody of client assets · false to true
        Oct 24, 2012 to Jan 23, 2013
      • Employees · unset to 4.0
        Oct 24, 2012 to Jan 23, 2013
      • HQ city · WASHINGTON to unset
        Oct 24, 2012 to Jan 23, 2013
      • HQ state · DC to unset
        Oct 24, 2012 to Jan 23, 2013
      • State-registered IARs · unset to 0.0
        Oct 24, 2012 to Jan 23, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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