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Former SEC-registered adviser

G•••••• I••••••••• I••••••••• C•••••••••

Former SEC-registered adviserToronto, CRD 123557SEC 801-61736IAPD
Latest filing Apr 8, 2022
First filing on the tape Mar 27, 2012 · 15 filings
RAUM
$762M
reported, Item 5.F
Discretionary
99%
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
13
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$272M gross assets
History
15 filings and snapshots on the tape
RAUM$1.2B as of Sep 24, 2021
Sep 28, 2012$6.1B then
HNW client RAUM$0 as of Sep 24, 2021
Sep 26, 2019$0 then
State-registered IARs (5.B.3)1 as of Sep 24, 2021
Sep 19, 20131 then
Employees (5.A)14 as of Sep 24, 2021
Sep 19, 201321 then
Private funds3 as of Sep 24, 2021
Sep 28, 20123 then
RAUM -57% over the last fiscal year-41% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 8, 2022; every figure names its basis
RAUM per advisor
$762MderivedRAUM 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
$50.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
59%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
13.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-34%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$272M, 2 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
  • Pooled investment vehicles$272M36%
  • Pension and profit-sharing plans$174M23%
  • State and municipal entities$162M21%
  • Insurance companies$97.0M13%
  • Other investment advisers$43.2M5.7%
  • Charitable organizations$13.2M1.7%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
1reported
Charitable clients
1reported
Accounts
15reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$272M for 2 clientsreported
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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G•••••• I••••••••• E••• G••••• G•••• F•••Other Private Fund$229M3Mar 27, 2012
      G•••••• I••••••••• O••••••• G••••• F•••Other Private Fund$43.0M2Mar 27, 2012
      G•••••• I••••••••• E••• G••••• F•••Other Private Fund$41.0M3Mar 27, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• A••••••••• H•••••••• M•••• · Chairman; Shareholder: Class E Common & Class C Preferred (Non-Voting); Directorcontrol
        since 10/2000 · owns 10% to 25%
      • G•••••• T•••••• A•••• · Chief Operating Officer; Shareholder: Class E Commoncontrol
        since 07/2018 · owns 5% to 10%
      • K•••••••• R•••••• E•••• F••••• · Directorcontrol
        since 09/2013 · owns less than 5%
      • M••••••• L•••••••• V•••••• · President & Secretary; Shareholder Class C Preferred (Non-Voting); Directorcontrol
        since 09/2004 · owns less than 5%
      • M••••••• S••••••• D••• · Chief Financial Officer; Shareholder: Class E Commoncontrol
        since 09/2018 · owns 5% to 10%
      • S•••••• N•••••••• J•••• · Chief Compliance Officercontrol
        since 01/2014 · owns less than 5%
      • W••••• R•••••• T••••••• · Directorcontrol
        since 09/1995 · owns less than 5%
      • M••••••• L•••••••• V•••••• · Sole Shareholdercontrol
        since 03/2009 · owns 75% or more of M•••••• C•••••••••
      Entity owners
      • G•••••• I••••••••• C•••••• I••• · Corporate Partner; Shareholder: Class D Common, Class C Preferred (Non-Voting)
        direct · owns 25% to 50%
      • M•••••• C••••••••• · Shareholder Class G Common, Class C Preferred
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Advisers that list G•••••• I••••••••• I••••••••• C••••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 18 to 15
        Sep 24, 2021 to Apr 8, 2022
      • Advisory activities · 4 to 2
        Sep 24, 2021 to Apr 8, 2022
      • Pooled vehicle clients · 4 to 3
        Sep 24, 2021 to Apr 8, 2022
      • Assets in custody · $421M to $272M
        Sep 24, 2021 to Apr 8, 2022
      • Employees · 14 to 13
        Sep 24, 2021 to Apr 8, 2022
      • Private funds · 3 to 2
        Sep 24, 2021 to Apr 8, 2022
      • Discretionary RAUM · $1.1B to $752M
        Sep 24, 2021 to Apr 8, 2022
      • Non-discretionary RAUM · $40.0M to $9.8M
        Sep 24, 2021 to Apr 8, 2022
      • Pension RAUM · $197M to $174M
        Sep 24, 2021 to Apr 8, 2022
      • Pooled vehicle RAUM · $421M to $272M
        Sep 24, 2021 to Apr 8, 2022
      • RAUM · $1.2B to $762M
        Sep 24, 2021 to Apr 8, 2022
      • Advisory employees · 7 to 6
        Sep 25, 2020 to Sep 24, 2021
      • Assets in custody · $1.1B to $421M
        Sep 25, 2020 to Sep 24, 2021
      • Employees · 18 to 14
        Sep 25, 2020 to Sep 24, 2021
      • Discretionary RAUM · $1.7B to $1.1B
        Sep 25, 2020 to Sep 24, 2021
      • Non-discretionary RAUM · $35.3M to $40.0M
        Sep 25, 2020 to Sep 24, 2021
      • Pension RAUM · $196M to $197M
        Sep 25, 2020 to Sep 24, 2021
      • Pooled vehicle RAUM · $1.1B to $421M
        Sep 25, 2020 to Sep 24, 2021
      • RAUM · $1.8B to $1.2B
        Sep 25, 2020 to Sep 24, 2021
      • Accounts · 27 to 18
        Sep 26, 2019 to Sep 25, 2020
      • Charity clients · 3 to 1
        Sep 26, 2019 to Sep 25, 2020
      • Pension plan clients · 3 to 1
        Sep 26, 2019 to Sep 25, 2020
      • Pooled vehicle clients · 7 to 4
        Sep 26, 2019 to Sep 25, 2020
      • Assets in custody · $1.6B to $1.1B
        Sep 26, 2019 to Sep 25, 2020
      • Discretionary RAUM · $3.2B to $1.7B
        Sep 26, 2019 to Sep 25, 2020
      • Non-discretionary RAUM · $41.3M to $35.3M
        Sep 26, 2019 to Sep 25, 2020
      • Pension RAUM · $779M to $196M
        Sep 26, 2019 to Sep 25, 2020
      • Pooled vehicle RAUM · $1.8B to $1.1B
        Sep 26, 2019 to Sep 25, 2020
      • RAUM · $3.2B to $1.8B
        Sep 26, 2019 to Sep 25, 2020
      • Accounts · 30 to 27
        Sep 27, 2018 to Sep 26, 2019
      • Advisory activities · 3 to 4
        Sep 27, 2018 to Sep 26, 2019
      • Pension plan clients · 4 to 3
        Sep 27, 2018 to Sep 26, 2019
      • Assets in custody · $1.8B to $1.6B
        Sep 27, 2018 to Sep 26, 2019
      • Employees · 21 to 18
        Sep 27, 2018 to Sep 26, 2019
      • Discretionary RAUM · $3.7B to $3.2B
        Sep 27, 2018 to Sep 26, 2019
      • HNW RAUM · unset to 0.0
        Sep 27, 2018 to Sep 26, 2019
      • Individual RAUM · unset to 0.0
        Sep 27, 2018 to Sep 26, 2019
      • Non-discretionary RAUM · $45.2M to $41.3M
        Sep 27, 2018 to Sep 26, 2019
      • Pension RAUM · $905M to $779M
        Sep 27, 2018 to Sep 26, 2019
      • Pooled vehicle RAUM · $2.0B to $1.8B
        Sep 27, 2018 to Sep 26, 2019
      Signals
      3 dated events
      • G•••••• I••••••••• I••••••••• C••••••••• reported RAUM $761.6M, down 35% from $1.2B (2021-09-24 to 2022-04-08)
        Apr 8, 2022 · RAUM change · derived
      • G•••••• I••••••••• I••••••••• C••••••••• reported RAUM $1.2B, down 34% from $1.8B (2020-09-25 to 2021-09-24)
        Sep 24, 2021 · RAUM change · derived
      • G•••••• I••••••••• I••••••••• C••••••••• reported RAUM $1.8B, down 45% from $3.2B (2019-09-26 to 2020-09-25)
        Sep 25, 2020 · RAUM change · derived
      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