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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SEC-registered adviser
G•••••• I••••••••• G•••• L••
Latest filing Mar 3, 2026
First filing on the tape Mar 5, 2012 · 22 filings
SEC status approved since Jan 13, 2006
RAUM
$1.1B
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
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$1.1B as of Mar 3, 2026
Mar 5, 2012$424M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 3, 2026
Mar 5, 20130 then
Employees (5.A)8 as of Mar 3, 2026
Mar 5, 201311 then
Private funds5 as of Mar 3, 2026
Mar 5, 20125 then
RAUM +3.6% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 3, 2026; 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
- $189MderivedRAUM 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
- +3.6%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
- $1.1B, 5 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.1B98%
- Corporations and businesses$26.5M2.3%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1B for 5 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.98 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O•• K•••• C••••••• L• | Hedge Fund | $306M | 121 | Mar 5, 2012 |
| V••••••• P•••••••• L• | Hedge Fund | $253M | 96 | Mar 5, 2012 |
| T••••••• P••••••• L• | Hedge Fund | $201M | 94 | Mar 5, 2012 |
| O•• K•••• C•••••• L••• O•••• L• | Hedge Fund | $87.3M | 53 | Mar 5, 2013 |
| O•• K•••• C•••••• O••••••• L•• | Hedge Fund | $12.6M | 5 | Mar 5, 2012 |
| G•••••• G••• • C•no longer reported | Hedge Fund | $3.5M | 100 | Mar 5, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G••••• P••••• J••• · Chief Compliance Officercontrolsince 06/2005 · owns 10% to 25%
- H•••• R••••••• M•••••• · Membercontrolsince 06/2005 · owns 25% to 50%
- P••••••• B••••••• J•••• · Membercontrolsince 06/2005 · owns 25% to 50%
- B••••••• J•••• D•••••• · Membersince 12/2020 · owns 10% to 25%
- F••••••• P••••••• A•••••• · Membersince 01/2010 · owns less than 5%
- L•••• S•••••• J••••• · Membersince 01/2011 · owns 5% to 10%
- M••••• M••••••• T••••• · Membersince 12/2018 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $1.1B to $1.1BMar 12, 2025 to Mar 3, 2026
- Discretionary RAUM · $1.1B to $1.1BMar 12, 2025 to Mar 3, 2026
- Pooled vehicle RAUM · $1.1B to $1.1BMar 12, 2025 to Mar 3, 2026
- RAUM · $1.1B to $1.1BMar 12, 2025 to Mar 3, 2026
- Assets in custody · $859M to $1.1BMar 15, 2024 to Mar 12, 2025
- Financial planning clients · unset to Mar 15, 2024 to Mar 12, 2025
- Discretionary RAUM · $879M to $1.1BMar 15, 2024 to Mar 12, 2025
- Pooled vehicle RAUM · $859M to $1.1BMar 15, 2024 to Mar 12, 2025
- RAUM · $879M to $1.1BMar 15, 2024 to Mar 12, 2025
- Advisory employees · 5 to 4Jan 8, 2024 to Mar 15, 2024
- Assets in custody · $741M to $859MJan 8, 2024 to Mar 15, 2024
- Employees · 9 to 8Jan 8, 2024 to Mar 15, 2024
- Discretionary RAUM · $755M to $879MJan 8, 2024 to Mar 15, 2024
- Pooled vehicle RAUM · $741M to $859MJan 8, 2024 to Mar 15, 2024
- RAUM · $755M to $879MJan 8, 2024 to Mar 15, 2024
- Assets in custody · $1.0B to $741MMar 8, 2022 to Mar 8, 2023
- Discretionary RAUM · $1.3B to $755MMar 8, 2022 to Mar 8, 2023
- Pooled vehicle RAUM · $1.2B to $741MMar 8, 2022 to Mar 8, 2023
- RAUM · $1.3B to $755MMar 8, 2022 to Mar 8, 2023
- Accounts · 5 to 6Mar 1, 2021 to Mar 8, 2022
- Advisory activities · 1 to 2Mar 1, 2021 to Mar 8, 2022
- Corporate clients · unset to 1.0Mar 1, 2021 to Mar 8, 2022
- Discretionary RAUM · $1.0B to $1.3BMar 1, 2021 to Mar 8, 2022
- Pooled vehicle RAUM · $1.0B to $1.2BMar 1, 2021 to Mar 8, 2022
- RAUM · $1.0B to $1.3BMar 1, 2021 to Mar 8, 2022
- Assets in custody · $799M to $1.0BMar 18, 2020 to Feb 26, 2021
- Employees · 10 to 9Mar 18, 2020 to Feb 26, 2021
- Discretionary RAUM · $799M to $1.0BMar 18, 2020 to Feb 26, 2021
- Pooled vehicle RAUM · $799M to $1.0BMar 18, 2020 to Feb 26, 2021
- RAUM · $799M to $1.0BMar 18, 2020 to Feb 26, 2021
- Accounts · 1 to 5Jun 28, 2019 to Mar 18, 2020
- Advisory employees · 4 to 5Jun 28, 2019 to Mar 18, 2020
- Pooled vehicle clients · 6 to 5Jun 28, 2019 to Mar 18, 2020
- Assets in custody · $615M to $799MJun 28, 2019 to Mar 18, 2020
- Private funds · 6 to 5Jun 28, 2019 to Mar 18, 2020
- Discretionary RAUM · $615M to $799MJun 28, 2019 to Mar 18, 2020
- Pooled vehicle RAUM · $615M to $799MJun 28, 2019 to Mar 18, 2020
- RAUM · $615M to $799MJun 28, 2019 to Mar 18, 2020
- Accounts · 6 to 1Mar 13, 2018 to Mar 19, 2019
- Assets in custody · $603M to $615MMar 13, 2018 to Mar 19, 2019
Signals
4 dated events
- Barr Edward Goodnow (Member) no longer on Schedule A of G•••••• I••••••••• G•••• L•• (listed 2023-03-08, absent 2024-01-08)Jan 8, 2024 · Control person left · inference
- G•••••• I••••••••• G•••• L•• reported RAUM $755.1M, down 41% from $1.3B (2022-03-08 to 2023-03-08)Mar 8, 2023 · RAUM change · derived
- G•••••• I••••••••• G•••• L•• reported RAUM $1.0B, up 29% from $798.9M (2020-03-18 to 2021-02-26)Feb 26, 2021 · RAUM change · derived
- G•••••• I••••••••• G•••• L•• reported RAUM $798.9M, up 30% from $614.7M (2019-06-28 to 2020-03-18)Mar 18, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- G••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-655-6272reportedpublic record, Form ADV, Mar 3, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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