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Former SEC-registered adviser

G••• M•••••••••

Former SEC-registered adviserNassau, CRD 132028SEC 801-63536IAPD
Legal name G••• M••••••••• L••••••
Latest filing Jun 22, 2021
First filing on the tape Jan 17, 2012 · 17 filings
RAUM
$88.2M
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
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$88.2M as of Jun 22, 2021
Jan 17, 2012$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 22, 2021
Mar 25, 20130 then
Employees (5.A)6 as of Jun 22, 2021
Mar 25, 201338 then
Private funds: no history
RAUM +36% over the last fiscal year+7.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 22, 2021; 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
$29.4MderivedRAUM 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
+36%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
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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$68.4M78%
  • Pooled investment vehicles$19.8M22%
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
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••••••• C••••• · Managing Directorcontrol
        since 02/1998 · owns less than 5%
      • E••••••• L•••••• · Directorcontrol
        since 01/2014 · owns less than 5%
      • F•••••••• I•••••• A••••• · Compliance Officer
        since 02/2018 · owns less than 5%
      Entity owners
      • C•••••••• B••••• C••••••••• · Shareholder
        direct · owns 75% or more
      • O•••• • O•••• ••••• L••• · Shareholder
        direct · owns 25% to 50%
      • K•• I••••••••• L••• · Shareholder
        indirect · owns 75% or more of C•••••••• B••••• C•••••••••
      • T•• A••• F••••• T•••• · Shareholder (Trust)
        indirect · owns 25% to 50% of O•••• • O•••• ••••• Ltd
      • T•• G•••••• T•••• · Shareholder (Trust)
        indirect · owns 75% or more of K•• I••••••••• L•••
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list G••• M••••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 3
        Jun 11, 2020 to Jun 22, 2021
      • Advisory activities · 2 to 1
        Jun 11, 2020 to Jun 22, 2021
      • Corporate clients · 2 to 1
        Jun 11, 2020 to Jun 22, 2021
      • Employees · 10 to 6
        Jun 11, 2020 to Jun 22, 2021
      • Discretionary RAUM · $65.0M to $88.2M
        Jun 11, 2020 to Jun 22, 2021
      • Pooled vehicle RAUM · $23.0M to $19.8M
        Jun 11, 2020 to Jun 22, 2021
      • RAUM · $65.0M to $88.2M
        Jun 11, 2020 to Jun 22, 2021
      • Accounts · 3 to 4
        Jun 13, 2019 to Jun 11, 2020
      • Advisory activities · 3 to 2
        Jun 13, 2019 to Jun 11, 2020
      • Corporate clients · 1 to 2
        Jun 13, 2019 to Jun 11, 2020
      • Other offices · 1 to 0
        Jun 13, 2019 to Jun 11, 2020
      • Discretionary RAUM · $86.5M to $65.0M
        Jun 13, 2019 to Jun 11, 2020
      • Pooled vehicle RAUM · $56.0M to $23.0M
        Jun 13, 2019 to Jun 11, 2020
      • RAUM · $86.5M to $65.0M
        Jun 13, 2019 to Jun 11, 2020
      • Advisory activities · 1 to 3
        May 17, 2018 to Jun 13, 2019
      • Employees · 11 to 10
        May 17, 2018 to Jun 13, 2019
      • Discretionary RAUM · $71.0M to $86.5M
        May 17, 2018 to Jun 13, 2019
      • Pooled vehicle RAUM · $68.0M to $56.0M
        May 17, 2018 to Jun 13, 2019
      • RAUM · $71.0M to $86.5M
        May 17, 2018 to Jun 13, 2019
      • Organization form · Other (specify) to Corporation
        Apr 24, 2018 to May 17, 2018
      • Accounts · 2 to 3
        May 17, 2017 to Apr 24, 2018
      • Corporate clients · unset to 1.0
        May 17, 2017 to Apr 24, 2018
      • Pooled vehicle clients · unset to 2.0
        May 17, 2017 to Apr 24, 2018
      • Other offices · unset to 1.0
        May 17, 2017 to Apr 24, 2018
      • Discretionary RAUM · $92.3M to $71.0M
        May 17, 2017 to Apr 24, 2018
      • Pooled vehicle RAUM · unset to 68000000.0
        May 17, 2017 to Apr 24, 2018
      • RAUM · $92.3M to $71.0M
        May 17, 2017 to Apr 24, 2018
      • Advisory employees · 12 to 5
        Jun 1, 2016 to May 17, 2017
      • Employees · 30 to 11
        Jun 1, 2016 to May 17, 2017
      • Discretionary RAUM · $135M to $92.3M
        Jun 1, 2016 to May 17, 2017
      • RAUM · $135M to $92.3M
        Jun 1, 2016 to May 17, 2017
      • Discretionary RAUM · $137M to $135M
        Mar 2, 2016 to Jun 1, 2016
      • RAUM · $137M to $135M
        Mar 2, 2016 to Jun 1, 2016
      • Accounts · 3 to 2
        Feb 6, 2015 to Mar 2, 2016
      • Advisory employees · 17 to 12
        Feb 6, 2015 to Mar 2, 2016
      • Discretionary RAUM · $287M to $137M
        Feb 6, 2015 to Mar 2, 2016
      • RAUM · $287M to $137M
        Feb 6, 2015 to Mar 2, 2016
      • Advisory employees · 19 to 17
        Mar 19, 2014 to Feb 6, 2015
      • Employees · 33 to 30
        Mar 19, 2014 to Feb 6, 2015
      • Discretionary RAUM · $414M to $298M
        Mar 19, 2014 to Feb 6, 2015
      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