DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

G•• •••••••• L•••

Former SEC-registered adviserHamilton, CRD 136017SEC 801-64484IAPD
Latest filing Mar 4, 2014
First filing on the tape Mar 21, 2012 · 3 filings
RAUM
$110M
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
10
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$60.0M gross assets
History
3 filings and snapshots on the tape
RAUM$110M as of Mar 4, 2014
Mar 21, 2012$175M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 4, 2014
Mar 21, 20120 then
Employees (5.A)10 as of Mar 4, 2014
Mar 13, 201310 then
Private funds1 as of Mar 4, 2014
Mar 13, 20131 then
RAUM +0.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 4, 2014; 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
$22.0MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+0.0%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 vehicles, publicationsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
5reported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G•• A•••• C•••••• G••••• F•••Other Private Fund$60.0M25Mar 13, 2013
      G•• A•••• C•••••• G••••• F•••Other Private Fund$60.0M20Mar 24, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • F•••• B•••••• H••••••• · President, Director, And Chief Compliance Officercontrol
        since 09/1998 · owns 75% or more
      • F•••• M•••••• M•••••• · Director & Investment Partnercontrol
        since 10/2009 · owns less than 5%
      • S•••••••• J••••• M••••• · Investment Partner & Directorcontrol
        since 03/2004 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Hong Kong, Hong Kong
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 5
        Mar 13, 2013 to Mar 4, 2014
      • Advisory activities · 4 to 3
        Mar 13, 2013 to Mar 4, 2014
      • Advisory employees · unset to 7.0
        Mar 21, 2012 to Mar 13, 2013
      • Advisory activities · 5 to 4
        Mar 21, 2012 to Mar 13, 2013
      • Employees · unset to 10.0
        Mar 21, 2012 to Mar 13, 2013
      • Private funds · unset to 1
        Mar 21, 2012 to Mar 13, 2013
      • Discretionary RAUM · $175M to $110M
        Mar 21, 2012 to Mar 13, 2013
      • RAUM · $175M to $110M
        Mar 21, 2012 to Mar 13, 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