DFX Intelligence

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G•••••••• C•••••• P•••••••• L••

Former SEC-registered adviserFormer SEC adviser· New York, New York

Former SEC-registered adviser, based in New York, New York.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2022-03-29 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2022-03-29 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 131280 · SEC 801-63054 · 14 filingsShow

CRD 131280SEC 801-63054First filing on the tape Mar 30, 2012, latest Mar 29, 2022IAPD

RAUM

Not disclosed

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

0 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

14 filings and snapshots on the tape

RAUM$83.1M as of Mar 31, 2021

Mar 30, 2012$558M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 29, 2022

Mar 30, 20120 then

Employees (5.A)0 as of Mar 29, 2022

Mar 28, 20130 then

Private funds: 8

RAUM n/a over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Mar 29, 2022; every figure names its basis

The rule behind each archetype, and every derived figureShow

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-based, otherreportedItem 5.E
Advisory activities: otherreportedItem 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)

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: n/areported
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

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the 10 longest tenured

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B••• S••••• L•• · M••••••• Director And Investment Committeecontrol
since 04/2004 · owns less than 5%
G••••••••• R•••••• F••••• · M••••••• Director And Investment Committeecontrol
since 04/2004 · owns less than 5%
N••••••• R•••••• H•••• · Investment Committeecontrol
since 04/2004 · owns less than 5%
P•••••• V•••••• F•••• · Investment Committeecontrol
since 04/2004 · owns less than 5%
R••••••••• H•••••• J•••••• · Chief Financial Officer And Chief Compliance Officercontrol
since 04/2004 · owns less than 5%

Entity owners

G•••••••• • C••• I••• · Member
direct · owns 75% or more · public reporting company

Related persons

Schedule D 7.A

G•• M••••••• P•••••• I•• L•••
pooled vehicle sponsory
G•••••••• • C••• L••
broker-dealern

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 4.0 to unset
Mar 31, 2021 to Mar 29, 2022
Pooled vehicle clients · 4.0 to unset
Mar 31, 2021 to Mar 29, 2022
Discretionary RAUM · 83111950.0 to unset
Mar 31, 2021 to Mar 29, 2022
Non-discretionary RAUM · 0.0 to unset
Mar 31, 2021 to Mar 29, 2022
Pooled vehicle RAUM · 83111950.0 to unset
Mar 31, 2021 to Mar 29, 2022

Full history · 40 changes

RAUM · 83111950.0 to unset
Mar 31, 2021 to Mar 29, 2022
Discretionary RAUM · $83.6M to $83.1M
Mar 31, 2020 to Mar 31, 2021
Pooled vehicle RAUM · $83.6M to $83.1M
Mar 31, 2020 to Mar 31, 2021
RAUM · $83.6M to $83.1M
Mar 31, 2020 to Mar 31, 2021
Discretionary RAUM · $224M to $83.6M
Mar 29, 2019 to Mar 31, 2020
Pooled vehicle RAUM · $224M to $83.6M
Mar 29, 2019 to Mar 31, 2020
RAUM · $224M to $83.6M
Mar 29, 2019 to Mar 31, 2020
Discretionary RAUM · $152M to $224M
Mar 29, 2018 to Mar 29, 2019
Pooled vehicle RAUM · $152M to $224M
Mar 29, 2018 to Mar 29, 2019
RAUM · $152M to $224M
Mar 29, 2018 to Mar 29, 2019
Pooled vehicle clients · unset to 4.0
Mar 30, 2017 to Mar 29, 2018
Other offices · unset to 0.0
Mar 30, 2017 to Mar 29, 2018
Discretionary RAUM · $195M to $152M
Mar 30, 2017 to Mar 29, 2018
Pooled vehicle RAUM · unset to 152163827.0
Mar 30, 2017 to Mar 29, 2018
RAUM · $195M to $152M
Mar 30, 2017 to Mar 29, 2018
Accounts · 8 to 4
Mar 30, 2016 to Mar 30, 2017
Discretionary RAUM · $251M to $195M
Mar 30, 2016 to Mar 30, 2017
RAUM · $251M to $195M
Mar 30, 2016 to Mar 30, 2017
Discretionary RAUM · $195M to $251M
Mar 29, 2016 to Mar 30, 2016
RAUM · $195M to $251M
Mar 29, 2016 to Mar 30, 2016
Discretionary RAUM · $230M to $195M
May 14, 2015 to Mar 29, 2016
RAUM · $230M to $195M
May 14, 2015 to Mar 29, 2016
Assets in custody · 229501666.0 to unset
Mar 31, 2015 to May 14, 2015
Assets in custody · $354M to $230M
Mar 31, 2014 to Mar 31, 2015
Discretionary RAUM · $354M to $230M
Mar 31, 2014 to Mar 31, 2015
RAUM · $354M to $230M
Mar 31, 2014 to Mar 31, 2015
Assets in custody · $481M to $354M
Mar 28, 2013 to Mar 31, 2014
Discretionary RAUM · $496M to $354M
Mar 28, 2013 to Mar 31, 2014
RAUM · $496M to $354M
Mar 28, 2013 to Mar 31, 2014
Discretionary RAUM · $558M to $496M
Feb 1, 2013 to Mar 28, 2013
RAUM · $558M to $496M
Feb 1, 2013 to Mar 28, 2013
Advisory employees · unset to 0.0
Mar 30, 2012 to Feb 1, 2013
BD registered reps · unset to 0.0
Mar 30, 2012 to Feb 1, 2013
Employees · unset to 0.0
Mar 30, 2012 to Feb 1, 2013
Private funds · 8 to unset
Mar 30, 2012 to Feb 1, 2013

Signals

3 dated events

••• Locked
Mar 31, 2021 · Control person left · inference
••• Locked
Mar 31, 2021 · Control person left · inference
••• Locked
Mar 31, 2020 · RAUM change · derived

Across DFX

shared identifiers only, never a name match

G•••••••• C•••••• P•••••••• L•• · Private Equity
shared crd · organization

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: private clients.