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•••••• C•••••• L••
Latest filing Dec 5, 2016
First filing on the tape Feb 29, 2012 · 12 filings
RAUM
$6.2M
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
$6.2M gross assets
History
12 filings and snapshots on the tape
RAUM$65.8M as of Mar 30, 2016
Feb 29, 2012$182M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2016
Feb 29, 20120 then
Employees (5.A)6 as of Mar 30, 2016
Mar 28, 20134 then
Private funds3 as of Mar 30, 2016
Feb 29, 20125 then
RAUM -95% over the last fiscal year-62% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 5, 2016; 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
- $2.1MderivedRAUM 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
- -45%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
- Custody
- $6.2M, 3 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
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
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.2M for 3 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
- J••• P•••• S•••••• to F•••••••• A•••••••• L••May 29, 2015 · Other
Joined, latest
- J••• P•••• S•••••• from S••Apr 28, 2014 · Other
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•••••• S•••••• O••••••••• •••• L•••no longer reported | Hedge Fund | $13.0M | 80 | Feb 29, 2012 |
| G•••••• S•••••• O••••••••• L•••no longer reported | Hedge Fund | $8.1M | 80 | Feb 29, 2012 |
| G•••••• S•••••••• I•••••••• •••• L••• | Hedge Fund | $2.5M | 65 | Feb 29, 2012 |
| G•••••• S•••••••• I•••••••• O••••••• L•• | Hedge Fund | $2.0M | 82 | Feb 29, 2012 |
| G•••••• S•••••••• I•••••••• L••• | Hedge Fund | $1.8M | 97 | Feb 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- P••••• N•••••• G••• · Managing Member Of G•••••• G•••••• P•••••• L••controlsince 05/2003 · owns 25% to 50%
- R••••••••• R•••••• J•• · Ceo/Cio/Membercontrolsince 06/2016 · owns 50% to 75%
- D•••••••• M••••••• F•••• · Chief Financial Officersince 10/2002 · owns less than 5%
- L•••••• B••••••• T••••• · Chief Compliance Officersince 04/2007 · owns less than 5%
Related persons
Schedule D 7.A
- G•••••• G•••••• P•••••• L••pooled vehicle sponsorn
- R• C•••••• L••broker-dealern
- S••••• A•••••• S••••••••investment advisernRAUM $2.0B
Advisers that list G•••••• C•••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 3Mar 30, 2016 to Jun 20, 2016
- Advisory employees · 4 to 2Mar 30, 2016 to Jun 20, 2016
- Advisory activities · 2 to 1Mar 30, 2016 to Jun 20, 2016
- BD registered reps · 5 to 1Mar 30, 2016 to Jun 20, 2016
- Assets in custody · $7.0M to $6.2MMar 30, 2016 to Jun 20, 2016
- Employees · 6 to 4Mar 30, 2016 to Jun 20, 2016
- Insurance-licensed employees · 2 to 0Mar 30, 2016 to Jun 20, 2016
- State-registered IARs · 1 to 0Mar 30, 2016 to Jun 20, 2016
- Discretionary RAUM · $65.8M to $6.2MMar 30, 2016 to Jun 20, 2016
- RAUM · $65.8M to $6.2MMar 30, 2016 to Jun 20, 2016
- Accounts · 6 to 5Nov 17, 2015 to Mar 30, 2016
- BD registered reps · 3 to 5Nov 17, 2015 to Mar 30, 2016
- Assets in custody · $11.0M to $7.0MNov 17, 2015 to Mar 30, 2016
- Employees · 5 to 6Nov 17, 2015 to Mar 30, 2016
- State-registered IARs · 0 to 1Nov 17, 2015 to Mar 30, 2016
- Discretionary RAUM · $119M to $65.8MNov 17, 2015 to Mar 30, 2016
- RAUM · $119M to $65.8MNov 17, 2015 to Mar 30, 2016
- Discretionary RAUM · $116M to $119MOct 18, 2014 to Mar 31, 2015
- RAUM · $116M to $119MOct 18, 2014 to Mar 31, 2015
- Accounts · 5 to 6Mar 28, 2013 to Apr 1, 2014
- Advisory employees · 3 to 4Mar 28, 2013 to Apr 1, 2014
- BD registered reps · 2 to 3Mar 28, 2013 to Apr 1, 2014
- Assets in custody · $19.8M to $11.0MMar 28, 2013 to Apr 1, 2014
- Employees · 4 to 5Mar 28, 2013 to Apr 1, 2014
- Insurance-licensed employees · 1 to 2Mar 28, 2013 to Apr 1, 2014
- Discretionary RAUM · $115M to $116MMar 28, 2013 to Apr 1, 2014
- RAUM · $115M to $116MMar 28, 2013 to Apr 1, 2014
- Accounts · 7 to 5Sep 27, 2012 to Mar 28, 2013
- Advisory employees · unset to 3.0Sep 27, 2012 to Mar 28, 2013
- BD registered reps · unset to 2.0Sep 27, 2012 to Mar 28, 2013
- Assets in custody · $138M to $19.8MSep 27, 2012 to Mar 28, 2013
- Employees · unset to 4.0Sep 27, 2012 to Mar 28, 2013
- Private funds · 5 to 3Sep 27, 2012 to Mar 28, 2013
- Discretionary RAUM · $182M to $115MSep 27, 2012 to Mar 28, 2013
- RAUM · $182M to $115MSep 27, 2012 to Mar 28, 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