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Former SEC-registered adviser

G••••••• C•••••• A•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 130440SEC 801-62790IAPD
Latest filing Apr 1, 2015
First filing on the tape Mar 27, 2012 · 8 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
13 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$0 as of Mar 31, 2015
Mar 27, 2012$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Mar 27, 20120 then
Employees (5.A)22 as of Mar 31, 2015
Mar 28, 201318 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2015; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
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)
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
0reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• J••••• C•••••• · Counsel And Chief Compliance Officercontrol
        since 08/2013 · owns less than 5%
      • F••••• D••••• E•••••• · Co-Chief Investment Officercontrol
        since 10/2012 · owns less than 5%
      • H••••• W•••••• J••••••• · Chairman, Chief Executive Officer And Co-Presidentcontrol
        since 01/2004 · owns less than 5%
      • M••••••• J•••• C•••• · Chief Operating Officercontrol
        since 09/2011 · owns less than 5%
      • M••••••••• A•••• · Co-Presidentcontrol
        since 10/2012 · owns less than 5%
      • H••••• W•••••• J••••••• · Managing Membercontrol
        since 01/2004 · owns 25% to 50% of G••••••• C•••••• A••••••••• L••
      Entity owners
      • G••••••• C•••••• A••••••••• L•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 10 to 13
        Nov 13, 2014 to Mar 31, 2015
      • Employees · 18 to 22
        Nov 13, 2014 to Mar 31, 2015
      • Advisory activities · 4 to 2
        Dec 11, 2013 to Mar 28, 2014
      • Financial planning clients · 0 to unset
        Dec 11, 2013 to Mar 28, 2014
      • Advisory employees · unset to 10.0
        Mar 27, 2012 to Mar 28, 2013
      • BD registered reps · unset to 6.0
        Mar 27, 2012 to Mar 28, 2013
      • Employees · unset to 18.0
        Mar 27, 2012 to Mar 28, 2013
      • Related broker-dealer · false to true
        Mar 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