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••••• F••• M••••••••• S•••

Former SEC-registered adviserNyon, CRD 138245SEC 801-66129IAPD
Latest filing Jul 17, 2018
First filing on the tape Mar 30, 2012 · 19 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
3
0 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$355M gross assets
History
19 filings and snapshots on the tape
RAUM$355M as of May 8, 2017
Mar 30, 2012$5.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 29, 2018
Mar 30, 20120 then
Employees (5.A)3 as of Jun 29, 2018
Mar 28, 201396 then
Private funds2 as of Jun 29, 2018
Mar 30, 201213 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 17, 2018; 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
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 pooled vehiclesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
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
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
      16 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G••••• M••••• N•••••• P••• M••••• F••• L••••••no longer reportedHedge Fund$1.1B48Mar 30, 2012
      G••••• A•• F••• L••••••no longer reportedHedge Fund$312M76Mar 30, 2012
      G••••• R••• A•••• F••• L•••Private Equity Fund$238M17Nov 16, 2015
      G•• M••••• N•••••• M••••• L••••••no longer reportedHedge Fund$235M54Mar 30, 2012
      G••••• B•••• R••• A•••• F•••• L•Private Equity Fund$117M4Mar 30, 2012
      G••••• M• R•• O•• F••• S••no longer reportedOther Private Fund$70.7M235Mar 30, 2012
      G••••• T•••• F••• L•••••• M••••• F•••no longer reportedHedge Fund$53.1M22Mar 30, 2012
      G•• A•• P•••••••• L••••••no longer reportedHedge Fund$44.3M35Mar 28, 2013
      G••••• M• D• F••• S••no longer reportedHedge Fund$31.1M53Mar 28, 2014
      G••••• M••••••••• E•••••••• F••• L•••no longer reportedHedge Fund$28.6M9Mar 30, 2012
      C••••••••• G••••• P•••••••• L•no longer reportedHedge Fund$16.2M21Mar 30, 2012
      G••••• M••••••••• E•••••••• F••• O•••••••• L•••no longer reportedHedge Fund$9.1M10Mar 30, 2012
      G••••• H•••••• •••• I••••••••• M••••• L••••• L•no longer reportedHedge Fund$3.2M14Mar 30, 2012
      C••••••••• G••••• O••••••• F•••• L•••no longer reportedHedge Fund$1.8M10Mar 30, 2012
      G••••• H•••••• M••••• F••• L••••••no longer reportedHedge Fund$1.5M44Mar 30, 2012
      G••• A•• F••• L••••••no longer reportedHedge Fund$616,61118Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • U•••••• P•••••• N•• · Chief Financial Officercontrol
        since 11/2015 · owns less than 5%
      • B•••••• S•••• · Chief Compliance Officer
        since 11/2016 · owns less than 5%
      • M•••••••• L••••••• C••••• · Compliance Officer
        since 12/2016 · owns less than 5%
      Entity owners
      • G••••• P••••••• S••• ••••••••• · Owner
        direct · owns 75% or more
      • G••••• M••••••••• S• S•••• · Owner
        indirect · owns 75% or more of G••••• Partners S•••
      • L••• H••••••• L••• · Owner
        indirect · owns 75% or more of G••••• M••••••••• S• S••••
      Related persons
      Schedule D 7.A
      Advisers that list G••••• F••• M••••••••• S••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1.0 to unset
        Sep 12, 2017 to Jun 29, 2018
      • Other offices · unset to 1.0
        Sep 12, 2017 to Jun 29, 2018
      • Discretionary RAUM · 355000000.0 to unset
        Sep 12, 2017 to Jun 29, 2018
      • Non-discretionary RAUM · 0.0 to unset
        Sep 12, 2017 to Jun 29, 2018
      • RAUM · 355000000.0 to unset
        Sep 12, 2017 to Jun 29, 2018
      • Accounts · 2 to 1
        Jan 31, 2017 to Mar 31, 2017
      • Advisory employees · 36 to 0
        Jan 31, 2017 to Mar 31, 2017
      • Employees · 70 to 3
        Jan 31, 2017 to Mar 31, 2017
      • Advisory employees · 42 to 36
        Nov 16, 2015 to Mar 30, 2016
      • Employees · 85 to 70
        Nov 16, 2015 to Mar 30, 2016
      • Discretionary RAUM · $400M to $355M
        Nov 16, 2015 to Mar 30, 2016
      • RAUM · $400M to $355M
        Nov 16, 2015 to Mar 30, 2016
      • Accounts · 17 to 2
        Mar 31, 2015 to Nov 16, 2015
      • Advisory employees · 51 to 42
        Mar 31, 2015 to Nov 16, 2015
      • Employees · 138 to 85
        Mar 31, 2015 to Nov 16, 2015
      • Private funds · 6 to 2
        Mar 31, 2015 to Nov 16, 2015
      • Discretionary RAUM · $1.1B to $400M
        Mar 31, 2015 to Nov 16, 2015
      • RAUM · $1.1B to $400M
        Mar 31, 2015 to Nov 16, 2015
      • Accounts · 26 to 17
        Dec 18, 2014 to Mar 31, 2015
      • Advisory employees · 38 to 51
        Dec 18, 2014 to Mar 31, 2015
      • Assets in custody · $197M to $0
        Dec 18, 2014 to Mar 31, 2015
      • Custody of client assets · true to false
        Dec 18, 2014 to Mar 31, 2015
      • Employees · 106 to 138
        Dec 18, 2014 to Mar 31, 2015
      • Private funds · 7 to 6
        Dec 18, 2014 to Mar 31, 2015
      • Discretionary RAUM · $2.0B to $1.1B
        Dec 18, 2014 to Mar 31, 2015
      • RAUM · $2.0B to $1.1B
        Dec 18, 2014 to Mar 31, 2015
      • HQ city · LAUSANNE 1007 to NYON
        Apr 4, 2014 to Dec 18, 2014
      • Accounts · 25 to 26
        Jan 29, 2014 to Mar 28, 2014
      • Advisory employees · 25 to 38
        Jan 29, 2014 to Mar 28, 2014
      • BD registered reps · 1 to 0
        Jan 29, 2014 to Mar 28, 2014
      • Assets in custody · $13.7M to $197M
        Jan 29, 2014 to Mar 28, 2014
      • Employees · 96 to 106
        Jan 29, 2014 to Mar 28, 2014
      • State-registered IARs · 1 to 0
        Jan 29, 2014 to Mar 28, 2014
      • Private funds · 9 to 7
        Jan 29, 2014 to Mar 28, 2014
      • Discretionary RAUM · $4.3B to $2.0B
        Jan 29, 2014 to Mar 28, 2014
      • RAUM · $4.3B to $2.0B
        Jan 29, 2014 to Mar 28, 2014
      • Assets in custody · unset to 13671962.0
        Jan 24, 2014 to Jan 29, 2014
      • Custody of client assets · false to true
        Jan 24, 2014 to Jan 29, 2014
      • Accounts · 28 to 25
        Jul 11, 2012 to Mar 28, 2013
      • Advisory employees · unset to 25.0
        Jul 11, 2012 to Mar 28, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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