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•••••• M••••••••• L•

Former SEC-registered adviserBoston, MassachusettsCRD 132365SEC 801-63478IAPD
Latest filing Mar 31, 2021
First filing on the tape Mar 30, 2012 · 23 filings
RAUM
$208M
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
102
32 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
$208M gross assets
History
23 filings and snapshots on the tape
RAUM$208M as of Mar 31, 2021
Mar 30, 2012$614M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 30, 20120 then
Employees (5.A)102 as of Mar 31, 2021
Mar 28, 201345 then
Private funds8 as of Mar 31, 2021
Mar 30, 20125 then
RAUM -90% over the last fiscal year-54% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
$23.1MderivedRAUM 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
-90%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$208M, 9 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$208M100%
  • Corporations and businesses$154,4000.1%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$208M for 9 clientsreported
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
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G•••• D••••••••• F•••• A• S••••••••• A•••••• O• G•••• C•••••• M••••• F••• L••Hedge Fund$183M2Mar 30, 2012
      G•••• M•••• A•••• P••••• F••• A• S••••••••• A•••••• O• G•••• C•••••• M••••• F••• L••Hedge Fund$7.4M1Aug 23, 2019
      G•••• D••••••••• F•••• A• S••••• O• G•••• C•••••• P••••••• L•Hedge Fund$5.7M1Mar 30, 2012
      G•••• G••••• D•••••• M••••• N•••••• F•••• A• S••••••••• A•••••• O• G•••• C•••••• M••••• F••• L•••Hedge Fund$4.9M7Mar 30, 2012
      G•••• D••••••••• F•••• A• S••••••••• A•••••• O• G•••• C•••••• O••••••• F••• L•••Hedge Fund$4.9M0Nov 18, 2014
      G•••• G••••• D•••••• M••••• N•••••• F•••• A• S••••••••• A•••••• O• G•••• C•••••• O••••••• F••• L••Hedge Fund$1.4M0Sep 18, 2018
      G•••• G••••• D•••••• M••••• N•••••• F••• • A• S••••• O• G•••• C•••••• P••••••• L•Hedge Fund$127,5007Mar 30, 2012
      G•••• M•••• A•••• P••••• F••• A• S••••• O• G•••• C•••••• P••••••• L•Hedge Fund$104,3001Aug 23, 2019
      U• C••••••••• A• S••••• O• G•••• I•••••••• L••no longer reportedHedge Fund$1,0001Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• J•••••• L•••• · Chief Compliance Officercontrol
        since 01/2010 · owns less than 5%
      • C•••••••• S••••• C•••••••• · Chief Financial Officercontrol
        since 10/2013 · owns less than 5%
      • M•••••• J••••••• S•••••• · Chief Operating Officercontrol
        since 06/2006 · owns less than 5%
      • M••••••• R•••••• G••••• · President And Chief Executive Officercontrol
        since 01/2021 · owns less than 5%
      • N•••••• M••••••• J••• · General Counselcontrol
        since 02/2015 · owns less than 5%
      • C•••••• N••••• E•••••••• · Trusteecontrol
        since 08/2006 · owns F of G•••• H••••••• T••••
      • M••••••• R•••••• G••••• · Directorcontrol
        since 11/2020 · owns F of G•••• C•••••• M••••••••• L••
      • M••••••• R•••••• G••••• · Directorcontrol
        since 11/2020 · owns F of G•••• C•••••• H••••••• L••
      • B•••••• P•••••• L•••••• · Director
        since 02/2017 · owns F of G•••• C•••••• H••••••• L••
      • B•••••• P•••••• L•••••• · Director
        since 02/2017 · owns F of G•••• C•••••• M••••••••• L••
      • E•••• M••••••• K• · Director
        since 02/2020 · owns F of G•••• C•••••• H••••••• L••
      • E•••• M••••••• K• · Director
        since 02/2020 · owns F of G•••• C•••••• M••••••••• L••
      • H•••••• L•••••• T••• · Director
        since 03/2021 · owns F of G•••• C•••••• H••••••• L••
      • H•••••• L•••••• T••• · Director
        since 03/2021 · owns F of G•••• C•••••• M••••••••• L••
      • K••••• F•••••••• C•••••• · Director
        since 04/2012 · owns F of G•••• C•••••• H••••••• L••
      • K••••• F•••••••• C•••••• · Director
        since 04/2012 · owns F of G•••• C•••••• M••••••••• L••
      • R••••••••• A•••••• M••• · Director
        since 05/2011 · owns F of G•••• C•••••• H••••••• L••
      • R••••••••• A•••••• M••• · Director
        since 05/2011 · owns F of G•••• C•••••• M••••••••• L••
      • R•••••• E•••• D••••• · Director
        since 10/2012 · owns F of G•••• C•••••• M••••••••• L••
      • R•••••• E•••• D••••• · Director
        since 10/2012 · owns F of G•••• C•••••• H••••••• L••
      • S••••••• T•••••• M•••••• · Director
        since 02/2019 · owns F of G•••• C•••••• H••••••• L••
      • S••••••• T•••••• M•••••• · Director
        since 02/2019 · owns F of G•••• C•••••• M••••••••• L••
      • U••••• J•••••••• S••••••••• · Director
        since 10/2013 · owns F of G•••• C•••••• H••••••• L••
      • U••••• J•••••••• S••••••••• · Director
        since 10/2013 · owns F of G•••• C•••••• M••••••••• L••
      Entity owners
      • G•••• C•••••• M••••••••• L•• · General Partner And Initial Limited Partner
        direct · owns 75% or more
      • G•••• C•••••• H••••••• L•• · Member
        indirect · owns 75% or more of G•••• C•••••• M••••••••• L••
      • G•••• H••••••• T•••• · Member
        indirect · owns 50% to 75% of G•••• C•••••• H••••••• L••
      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 · 36 to 32
        Jan 25, 2021 to Mar 31, 2021
      • Assets in custody · $2.1B to $208M
        Jan 25, 2021 to Mar 31, 2021
      • Employees · 100 to 102
        Jan 25, 2021 to Mar 31, 2021
      • Discretionary RAUM · $2.1B to $208M
        Jan 25, 2021 to Mar 31, 2021
      • Pooled vehicle RAUM · $2.1B to $208M
        Jan 25, 2021 to Mar 31, 2021
      • RAUM · $2.1B to $208M
        Jan 25, 2021 to Mar 31, 2021
      • Accounts · 7 to 9
        Aug 23, 2019 to May 13, 2020
      • Advisory employees · 27 to 36
        Aug 23, 2019 to May 13, 2020
      • Pooled vehicle clients · 6 to 8
        Aug 23, 2019 to May 13, 2020
      • Assets in custody · $2.1B to $2.1B
        Aug 23, 2019 to May 13, 2020
      • Employees · 83 to 100
        Aug 23, 2019 to May 13, 2020
      • Discretionary RAUM · $2.1B to $2.1B
        Aug 23, 2019 to May 13, 2020
      • Pooled vehicle RAUM · $2.1B to $2.1B
        Aug 23, 2019 to May 13, 2020
      • RAUM · $2.1B to $2.1B
        Aug 23, 2019 to May 13, 2020
      • Private funds · 6 to 8
        Mar 29, 2019 to Aug 23, 2019
      • Advisory employees · 23 to 27
        Sep 18, 2018 to Mar 29, 2019
      • Assets in custody · $2.2B to $2.1B
        Sep 18, 2018 to Mar 29, 2019
      • Employees · 74 to 83
        Sep 18, 2018 to Mar 29, 2019
      • Discretionary RAUM · $2.2B to $2.1B
        Sep 18, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $2.2B to $2.1B
        Sep 18, 2018 to Mar 29, 2019
      • RAUM · $2.2B to $2.1B
        Sep 18, 2018 to Mar 29, 2019
      • Accounts · 6 to 7
        Mar 29, 2018 to Sep 18, 2018
      • Pooled vehicle clients · 5 to 6
        Mar 29, 2018 to Sep 18, 2018
      • Assets in custody · $2.1B to $2.2B
        Mar 29, 2018 to Sep 18, 2018
      • Private funds · 5 to 6
        Mar 29, 2018 to Sep 18, 2018
      • Discretionary RAUM · $2.1B to $2.2B
        Mar 29, 2018 to Sep 18, 2018
      • Pooled vehicle RAUM · $2.1B to $2.2B
        Mar 29, 2018 to Sep 18, 2018
      • RAUM · $2.1B to $2.2B
        Mar 29, 2018 to Sep 18, 2018
      • RAUM · $1.8B to $2.1B
        Mar 31, 2017 to Mar 29, 2018
      • Advisory employees · 26 to 23
        Mar 31, 2017 to Mar 29, 2018
      • Advisory activities · 1 to 2
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 5.0
        Mar 31, 2017 to Mar 29, 2018
      • Assets in custody · $1.8B to $2.1B
        Mar 31, 2017 to Mar 29, 2018
      • Employees · 63 to 74
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Private funds · 6 to 5
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $1.8B to $2.1B
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 2098723000.0
        Mar 31, 2017 to Mar 29, 2018
      • Advisory employees · 25 to 26
        Mar 30, 2016 to Mar 31, 2017
      • Assets in custody · $1.6B to $1.8B
        Mar 30, 2016 to Mar 31, 2017
      Signals
      3 dated events
      • G•••• C•••••• M••••••••• L• reported RAUM $207.8M, down 90% from $2.1B (2021-01-25 to 2021-03-31)
        Mar 31, 2021 · RAUM change · derived
      • George Robert Minicus (President And Chief Executive Officer) appeared on Schedule A of G•••• C•••••• M••••••••• L•
        Jan 12, 2021 · Control person joined · fact
      • Charles Vincent Gubitosi (President And Chief Investment Officer) no longer on Schedule A of G•••• C•••••• M••••••••• L• (listed 2020-05-13, absent 2021-01-12)
        Jan 12, 2021 · Control person left · inference
      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