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••••• • L••••••• L••

Former SEC-registered adviserBaltimore, MarylandCRD 132310SEC 801-117183IAPD
Latest filing Jun 29, 2020
First filing on the tape Aug 24, 2012 · 7 filings
RAUM
$156M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
99%
$154M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$156M as of Jun 29, 2020
Aug 24, 2012$21.8M then
HNW client RAUM$154M as of Jun 29, 2020
Jul 17, 2019$118M then
State-registered IARs (5.B.3)2 as of Jun 29, 2020
Aug 24, 20120 then
Employees (5.A)2 as of Jun 29, 2020
Nov 28, 20122 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 29, 2020; every figure names its basis
RAUM per advisor
$77.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
22derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.6MderivedHNW RAUM over HNW clients
Average account
$1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 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
hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$154M100%
Individual clients
0reported
HNW clients
43reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
105reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, hourlyreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••• S•••••• V• · Ccocontrol
        since 01/2007 · owns 50% to 75%
      • L••••••• D••••• C• · Membercontrol
        since 03/2003 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • C••••• • L•••••• L••
        insurancey
      Offices
      Schedule D 1.F, the 25 largest
      • Newton Centre, MA1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 121 to 105
        Jul 17, 2019 to Apr 29, 2020
      • HNW clients · 52 to 43
        Jul 17, 2019 to Apr 29, 2020
      • Other offices · 2 to 1
        Jul 17, 2019 to Apr 29, 2020
      • HNW RAUM · $118M to $154M
        Jul 17, 2019 to Apr 29, 2020
      • Non-discretionary RAUM · $118M to $156M
        Jul 17, 2019 to Apr 29, 2020
      • RAUM · $118M to $156M
        Jul 17, 2019 to Apr 29, 2020
      • Accounts · 10 to 121
        Nov 28, 2012 to Jul 17, 2019
      • Advisory activities · 4 to 3
        Nov 28, 2012 to Jul 17, 2019
      • Charity clients · unset to 0.0
        Nov 28, 2012 to Jul 17, 2019
      • Corporate clients · unset to 0.0
        Nov 28, 2012 to Jul 17, 2019
      • HNW clients · unset to 52.0
        Nov 28, 2012 to Jul 17, 2019
      • Individual clients · unset to 0.0
        Nov 28, 2012 to Jul 17, 2019
      • Pension plan clients · unset to 0.0
        Nov 28, 2012 to Jul 17, 2019
      • Pooled vehicle clients · unset to 0.0
        Nov 28, 2012 to Jul 17, 2019
      • Assets in custody · $21.8M to $0
        Nov 28, 2012 to Jul 17, 2019
      • Custody of client assets · true to false
        Nov 28, 2012 to Jul 17, 2019
      • HQ city · LUTHERVILLE to BALTIMORE
        Nov 28, 2012 to Jul 17, 2019
      • Other offices · unset to 2.0
        Nov 28, 2012 to Jul 17, 2019
      • HNW RAUM · unset to 117538452.0
        Nov 28, 2012 to Jul 17, 2019
      • Individual RAUM · unset to 0.0
        Nov 28, 2012 to Jul 17, 2019
      • Non-discretionary RAUM · $21.8M to $118M
        Nov 28, 2012 to Jul 17, 2019
      • Pension RAUM · unset to 0.0
        Nov 28, 2012 to Jul 17, 2019
      • Pooled vehicle RAUM · unset to 0.0
        Nov 28, 2012 to Jul 17, 2019
      • RAUM · $21.8M to $118M
        Nov 28, 2012 to Jul 17, 2019
      • Related adviser · true to false
        Nov 28, 2012 to Jul 17, 2019
      • Advisory employees · unset to 2.0
        Oct 11, 2012 to Nov 28, 2012
      • Employees · unset to 2.0
        Oct 11, 2012 to Nov 28, 2012
      • State-registered IARs · 0 to 2
        Oct 11, 2012 to Nov 28, 2012
      • Assets in custody · unset to 21750000.0
        Aug 24, 2012 to Oct 11, 2012
      • Custody of client assets · false to true
        Aug 24, 2012 to Oct 11, 2012
      Signals
      1 dated events
      • G••••• • L••••••• L•• filed its initial SEC registration (Form ADV)
        Jul 17, 2019 · First SEC registration · fact
      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