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Former SEC-registered adviser

G••••• F••• M••••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 139588SEC 801-66230IAPD
Latest filing Sep 12, 2017
First filing on the tape Mar 30, 2012 · 17 filings
RAUM
$48.0M
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$695,000 gross assets
History
17 filings and snapshots on the tape
RAUM$48.0M as of Mar 31, 2017
Mar 30, 2012$99.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 30, 20120 then
Employees (5.A)5 as of Mar 31, 2017
Mar 28, 201396 then
Private funds1 as of Mar 31, 2017
Mar 30, 20161 then
RAUM +0.0% over the last fiscal year-10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 12, 2017; 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
$9.6MderivedRAUM 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
+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 assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, 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
  • 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
5reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      E•• M••••••••• A••••••••• A•••• P•••••••• I•Other Private Fund$695,0001Mar 30, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • P•••••• U••••• · Chief Financial Officercontrol
        since 01/2016 · 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••••• A•••••• L•••••• · Owner
        indirect · owns 75% or more of L••• A•••• M••••••••• •••• L••
      • G••••• M••••••••• S• S•••• · Owner
        indirect · owns 75% or more of G••••• A•••••• L••••••
      Related persons
      Schedule D 7.A
      Advisers that list G••••• F••• M••••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 2
        Apr 5, 2017 to Sep 12, 2017
      • Employees · 5 to 3
        Apr 5, 2017 to Sep 12, 2017
      • Advisory employees · 6 to 4
        Jan 3, 2017 to Mar 31, 2017
      • Employees · 12 to 5
        Jan 3, 2017 to Mar 31, 2017
      • Accounts · 1 to 5
        Jan 8, 2016 to Mar 30, 2016
      • Advisory employees · 10 to 6
        Jan 8, 2016 to Mar 30, 2016
      • Advisory activities · 1 to 2
        Jan 8, 2016 to Mar 30, 2016
      • Employees · 15 to 12
        Jan 8, 2016 to Mar 30, 2016
      • Private funds · unset to 1
        Jan 8, 2016 to Mar 30, 2016
      • Discretionary RAUM · $26.0M to $48.0M
        Jan 8, 2016 to Mar 30, 2016
      • RAUM · $26.0M to $48.0M
        Jan 8, 2016 to Mar 30, 2016
      • Employees · 20 to 15
        Mar 30, 2015 to Jan 8, 2016
      • Discretionary RAUM · $50.3M to $26.0M
        Mar 30, 2015 to Jan 8, 2016
      • RAUM · $50.3M to $26.0M
        Mar 30, 2015 to Jan 8, 2016
      • Accounts · 2 to 1
        Feb 3, 2015 to Mar 30, 2015
      • Advisory employees · 38 to 10
        Feb 3, 2015 to Mar 30, 2015
      • Advisory activities · 2 to 1
        Feb 3, 2015 to Mar 30, 2015
      • Employees · 106 to 20
        Feb 3, 2015 to Mar 30, 2015
      • Discretionary RAUM · $65.9M to $50.3M
        Feb 3, 2015 to Mar 30, 2015
      • RAUM · $65.9M to $50.3M
        Feb 3, 2015 to Mar 30, 2015
      • HQ city · BOSTON to NEW YORK
        Dec 18, 2014 to Feb 3, 2015
      • HQ state · MA to NY
        Dec 18, 2014 to Feb 3, 2015
      • Accounts · 3 to 2
        Jan 2, 2014 to Mar 28, 2014
      • Advisory employees · 25 to 38
        Jan 2, 2014 to Mar 28, 2014
      • BD registered reps · 1 to 0
        Jan 2, 2014 to Mar 28, 2014
      • Employees · 96 to 106
        Jan 2, 2014 to Mar 28, 2014
      • State-registered IARs · 1 to 0
        Jan 2, 2014 to Mar 28, 2014
      • Discretionary RAUM · $31.4M to $65.9M
        Jan 2, 2014 to Mar 28, 2014
      • Non-discretionary RAUM · $16.9M to $0
        Jan 2, 2014 to Mar 28, 2014
      • RAUM · $48.3M to $65.9M
        Jan 2, 2014 to Mar 28, 2014
      • Advisory employees · unset to 25.0
        Jul 11, 2012 to Mar 28, 2013
      • BD registered reps · unset to 1.0
        Jul 11, 2012 to Mar 28, 2013
      • Employees · unset to 96.0
        Jul 11, 2012 to Mar 28, 2013
      • Financial planning clients · 1-10 to 0
        Jul 11, 2012 to Mar 28, 2013
      • State-registered IARs · 0 to 1
        Jul 11, 2012 to Mar 28, 2013
      • Discretionary RAUM · $0 to $31.4M
        Jul 11, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $99.1M to $16.9M
        Jul 11, 2012 to Mar 28, 2013
      • RAUM · $99.1M to $48.3M
        Jul 11, 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