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•••••• L•••

Former SEC-registered adviserSt. Thomas, VICRD 138704SEC 801-65116IAPD
Latest filing Jul 23, 2014
First filing on the tape Mar 27, 2012 · 9 filings
RAUM
$375M
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
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$114M gross assets
History
9 filings and snapshots on the tape
RAUM$375M as of Mar 31, 2014
Mar 27, 2012$531M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2014
Mar 27, 20130 then
Employees (5.A)6 as of Mar 31, 2014
Mar 27, 201313 then
Private funds3 as of Mar 31, 2014
Mar 27, 20124 then
RAUM -37% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 23, 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
$34.1MderivedRAUM 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
unknownderived5 offices incl. principal (1.F.5)
RAUM growth, one year
-37%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 pooled vehicles, portfolio management for investment companiesreportedItem 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)
  • 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)
  • 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
11reported
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•••••• I••••••••• S••••• M••••• F••• L••no longer reportedHedge Fund$208M7Mar 27, 2012
      G•••••• U•••• O••••••••• M••••• F••• L••no longer reportedHedge Fund$31.8M2Mar 27, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••••• R••••• L••• · Directorcontrol
        since 10/1997 · owns 75% or more
      • P••••••••• J•••••••• A•• · Chief Compliance Officer/Chief Operating Officercontrol
        since 04/2014 · owns less than 5%
      • B•••••• A••••• A•••• · Director
        since 03/1999 · owns less than 5%
      Related persons
      Schedule D 7.A
      • G•••••• I••••••••• L••
        pooled vehicle sponsory
      Advisers that list G•••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      • Preston, MN
      • ,
      What changed
      consecutive filings, newest first
      • Accounts · 13 to 11
        Mar 27, 2013 to Mar 31, 2014
      • Advisory employees · 6 to 1
        Mar 27, 2013 to Mar 31, 2014
      • Employees · 13 to 6
        Mar 27, 2013 to Mar 31, 2014
      • HQ city · NEW YORK to ST. THOMAS
        Mar 27, 2013 to Mar 31, 2014
      • HQ state · NY to VI
        Mar 27, 2013 to Mar 31, 2014
      • Discretionary RAUM · $598M to $375M
        Mar 27, 2013 to Mar 31, 2014
      • RAUM · $598M to $375M
        Mar 27, 2013 to Mar 31, 2014
      • Related adviser · true to false
        Mar 27, 2013 to Mar 31, 2014
      • Accounts · 11 to 13
        Nov 30, 2012 to Mar 27, 2013
      • Advisory employees · 7 to 6
        Nov 30, 2012 to Mar 27, 2013
      • Employees · 15 to 13
        Nov 30, 2012 to Mar 27, 2013
      • Private funds · 4 to 3
        Nov 30, 2012 to Mar 27, 2013
      • Discretionary RAUM · $531M to $598M
        Nov 30, 2012 to Mar 27, 2013
      • RAUM · $531M to $598M
        Nov 30, 2012 to Mar 27, 2013
      • Related bank · false to true
        Nov 30, 2012 to Mar 27, 2013
      • Advisory employees · unset to 7.0
        Oct 8, 2012 to Nov 30, 2012
      • Employees · unset to 15.0
        Oct 8, 2012 to Nov 30, 2012
      • State-registered IARs · unset to 0.0
        Oct 8, 2012 to Nov 30, 2012
      • Advisory activities · 1 to 2
        Sep 18, 2012 to Oct 8, 2012
      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