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•••• E•••• C•••••• L••

Former SEC-registered adviserLake Forest, IllinoisCRD 137756SEC 801-65282IAPD
Latest filing Dec 11, 2013
First filing on the tape Mar 29, 2012 · 3 filings
RAUM
$167M
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
6
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$46.2M gross assets
History
3 filings and snapshots on the tape
RAUM$167M as of Mar 28, 2013
Mar 29, 2012$218M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2013
Mar 29, 20120 then
Employees (5.A): 6
Private funds1 as of Mar 28, 2013
Mar 29, 20121 then
RAUM -23% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Dec 11, 2013; 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
$27.8MderivedRAUM 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
-23%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, fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$46.2M, 3 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$46.2M for 3 clientsreported
Compensation
% of AUM, fixedreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G•••• E•••• C••••• M••••• F•••• L••Hedge Fund$46.2M28Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • M••••••••• G••••• T••••• · Chief Investment Officer/Managing Membercontrol
        since 07/2004 · owns 50% to 75%
      • S••••••••• D•••••• A• · Managing Membercontrol
        since 07/2004 · owns 50% to 75%
      • H•••••• M••••••• S•••••• · Chief Compliance Officer
        since 04/2010 · owns less than 5%
      Related persons
      Schedule D 7.A
      • G•••• E•••• C•••••• M••••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · unset to 4.0
        Mar 29, 2012 to Mar 28, 2013
      • Assets in custody · $101M to $46.2M
        Mar 29, 2012 to Mar 28, 2013
      • Employees · unset to 6.0
        Mar 29, 2012 to Mar 28, 2013
      • Discretionary RAUM · $218M to $167M
        Mar 29, 2012 to Mar 28, 2013
      • RAUM · $218M to $167M
        Mar 29, 2012 to Mar 28, 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