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.

Former SEC-registered adviser

Global Arena Investment Management, LLC

Former SEC-registered adviserNew York, New YorkCRD 135835SEC 801-70728IAPD
Latest filing Feb 27, 2015
First filing on the tape Mar 30, 2012 · 12 filings
RAUM
n/a
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
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$3.0M as of May 5, 2014
Mar 30, 2012$59.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 27, 2015
May 1, 20131 then
Employees (5.A)2 as of Feb 27, 2015
May 1, 20136 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 27, 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
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • G Ronald Richer · Managing Partnercontrol
    since 03/2013 · owns less than 5%
  • Joseph Brian Hagerman · Chief Compliance Officer
    since 03/2010 · owns less than 5%
Entity owners
  • Global Arena Holding Inc · Owner
    direct · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 1.0 to unset
    May 5, 2014 to Feb 27, 2015
  • Discretionary RAUM · 3000000.0 to unset
    May 5, 2014 to Feb 27, 2015
  • Non-discretionary RAUM · 0.0 to unset
    May 5, 2014 to Feb 27, 2015
  • RAUM · 3000000.0 to unset
    May 5, 2014 to Feb 27, 2015
  • Related bank · true to false
    May 5, 2014 to Feb 27, 2015
  • Accounts · 0 to 1
    Mar 26, 2014 to May 5, 2014
  • Discretionary RAUM · $0 to $3.0M
    Mar 26, 2014 to May 5, 2014
  • RAUM · $0 to $3.0M
    Mar 26, 2014 to May 5, 2014
  • Advisory employees · 5 to 1
    Oct 23, 2013 to Mar 26, 2014
  • BD registered reps · 6 to 2
    Oct 23, 2013 to Mar 26, 2014
  • Employees · 7 to 2
    Oct 23, 2013 to Mar 26, 2014
  • Financial planning clients · 0 to 1-10
    Oct 23, 2013 to Mar 26, 2014
  • State-registered IARs · 3 to 1
    Oct 23, 2013 to Mar 26, 2014
  • Accounts · 5 to 0
    Jun 3, 2013 to Aug 28, 2013
  • Advisory employees · 6 to 5
    Jun 3, 2013 to Aug 28, 2013
  • Advisory activities · 3 to 1
    Jun 3, 2013 to Aug 28, 2013
  • BD registered reps · 3 to 6
    Jun 3, 2013 to Aug 28, 2013
  • Employees · 6 to 7
    Jun 3, 2013 to Aug 28, 2013
  • Financial planning clients · unset to 0
    Jun 3, 2013 to Aug 28, 2013
  • State-registered IARs · 1 to 3
    Jun 3, 2013 to Aug 28, 2013
  • Discretionary RAUM · $300,000 to $0
    Jun 3, 2013 to Aug 28, 2013
  • RAUM · $300,000 to $0
    Jun 3, 2013 to Aug 28, 2013
  • Accounts · 225 to 5
    Mar 21, 2013 to May 1, 2013
  • Discretionary RAUM · $59.8M to $300,000
    Mar 21, 2013 to May 1, 2013
  • RAUM · $59.8M to $300,000
    Mar 21, 2013 to May 1, 2013
  • Advisory employees · unset to 6.0
    Oct 5, 2012 to Mar 21, 2013
  • BD registered reps · unset to 3.0
    Oct 5, 2012 to Mar 21, 2013
  • Employees · unset to 6.0
    Oct 5, 2012 to Mar 21, 2013
  • State-registered IARs · unset to 1.0
    Oct 5, 2012 to Mar 21, 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