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•••••• A•••••••• L••
Latest filing Aug 21, 2012
First filing on the tape Mar 30, 2012 · 7 filings
RAUM
$72.2M
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$28.5M gross assets
History
7 filings and snapshots on the tape
RAUM$72.2M as of Aug 21, 2012
Mar 30, 2012$72.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds1 as of Aug 21, 2012
Mar 30, 20121 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 21, 2012; 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
- $534,704derivedRAUM 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
- 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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $28.5M, 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)
- 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
- 135reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $28.5M 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
- G•••• S••••• G•••••••• to F•••• W•••••• I••••••••• M••••••••• I•••Jan 23, 2020 · Other
- M••• H••••• K••••••••• to M••••••••• • K••••••••• A•••• M••••••••• L••May 13, 2019 · Other
- S•••••• R••••• M••••••••• to M••••••••• • K••••••••• A•••• M••••••••• L••May 13, 2019 · Other
- M•••••• A••••• P•••••• to W••••••• W••••• M•••••••••Nov 22, 2017 · Other
Joined, latest
- M•••••• A••••• P•••••• from H••••• C•••••• M•••••••••Jul 25, 2014 · Other
- M••• H••••• K••••••••• from U•• F•••••••• S••••••• I•••Nov 22, 2010 · Other
- G•••• S••••• G•••••••• from G•• A•••••••• L••Apr 14, 2004 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for M••••••••• • K••••••••• A•••• M••••••••• L••May 13, 2019 · Los Angeles, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• G••••• S••••• · Managing Member/Chief Compliance Officercontrolsince 10/1999 · owns 75% or more
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
- Organization form · Sole Proprietorship to Limited Liability CompanyApr 13, 2012 to May 29, 2012
- Business name · GSG CAPITAL ADVISORS to GSG CAPITAL ADVISORS, LLCMar 30, 2012 to Apr 13, 2012
- Legal name · GOODSTEIN, GLENN S. to GSG CAPITAL ADVISORS, LLCMar 30, 2012 to Apr 13, 2012
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