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•••••••• C•••••• M••••••••• L••

Former SEC-registered adviserCRD 143872SEC 801-108958IAPD
Latest filing Aug 10, 2022
First filing on the tape Jan 9, 2017 · 17 filings
RAUM
$30.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
17%
$5.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$25.6M gross assets
History
17 filings and snapshots on the tape
RAUM$30.7M as of Feb 8, 2022
Feb 7, 2017$34.6M then
HNW client RAUM$5.2M as of Feb 8, 2022
Mar 4, 2019$3.0M then
State-registered IARs (5.B.3)2 as of Feb 8, 2022
Feb 7, 20171 then
Employees (5.A)2 as of Feb 8, 2022
Feb 7, 20171 then
Private funds1 as of Feb 8, 2022
Feb 7, 20171 then
RAUM +13% over the last fiscal year+6.2% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Aug 10, 2022; every figure names its basis
RAUM per advisor
$15.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.2MderivedHNW RAUM over HNW clients
Average account
$15.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$30.7M, 2 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$25.5M83%
  • High-net-worth individuals$5.2M17%
Individual clients
n/areported
HNW clients
1reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$30.7M for 2 clientsreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G•••••••• C•••••• P•••••••• L•••Hedge Fund$25.6M17Jan 9, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • E•••••••• A•••• D••• · Managing Member/Chief Compliance Officercontrol
        since 04/2007 · owns 75% or more
      • O••••• D•••••• A••••• · Member
        since 05/2007 · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Assets in custody · $27.2M to $30.7M
        Oct 18, 2021 to Feb 8, 2022
      • Discretionary RAUM · $27.2M to $30.7M
        Oct 18, 2021 to Feb 8, 2022
      • HNW RAUM · $4.2M to $5.2M
        Oct 18, 2021 to Feb 8, 2022
      • Pooled vehicle RAUM · $23.0M to $25.5M
        Oct 18, 2021 to Feb 8, 2022
      • RAUM · $27.2M to $30.7M
        Oct 18, 2021 to Feb 8, 2022
      • Assets in custody · $25.0M to $27.2M
        Jan 28, 2021 to Feb 5, 2021
      • HQ city · SCARSDALE to unset
        Jan 28, 2021 to Feb 5, 2021
      • HQ state · NY to unset
        Jan 28, 2021 to Feb 5, 2021
      • Other offices · 0 to 1
        Jan 28, 2021 to Feb 5, 2021
      • Discretionary RAUM · $25.0M to $27.2M
        Jan 28, 2021 to Feb 5, 2021
      • HNW RAUM · $3.6M to $4.2M
        Jan 28, 2021 to Feb 5, 2021
      • Pooled vehicle RAUM · $21.4M to $23.0M
        Jan 28, 2021 to Feb 5, 2021
      • RAUM · $25.0M to $27.2M
        Jan 28, 2021 to Feb 5, 2021
      • Other offices · 1 to 0
        Jun 9, 2020 to Nov 2, 2020
      • Accounts · 5 to 2
        Dec 16, 2019 to Feb 3, 2020
      • Assets in custody · $22.6M to $25.0M
        Dec 16, 2019 to Feb 3, 2020
      • Discretionary RAUM · $25.6M to $25.0M
        Dec 16, 2019 to Feb 3, 2020
      • HNW RAUM · $3.0M to $3.6M
        Dec 16, 2019 to Feb 3, 2020
      • Pooled vehicle RAUM · $22.6M to $21.4M
        Dec 16, 2019 to Feb 3, 2020
      • RAUM · $25.6M to $25.0M
        Dec 16, 2019 to Feb 3, 2020
      • Accounts · 1 to 5
        May 9, 2018 to Mar 4, 2019
      • HNW clients · unset to 1.0
        May 9, 2018 to Mar 4, 2019
      • Assets in custody · $38.2M to $22.6M
        May 9, 2018 to Mar 4, 2019
      • Discretionary RAUM · $38.2M to $25.6M
        May 9, 2018 to Mar 4, 2019
      • HNW RAUM · unset to 2972080.0
        May 9, 2018 to Mar 4, 2019
      • Pooled vehicle RAUM · $38.2M to $22.6M
        May 9, 2018 to Mar 4, 2019
      • RAUM · $38.2M to $25.6M
        May 9, 2018 to Mar 4, 2019
      • Accounts · 19 to 1
        Jan 29, 2018 to May 9, 2018
      • Accounts · 1 to 19
        Nov 24, 2017 to Jan 29, 2018
      • Advisory employees · 1 to 2
        Nov 24, 2017 to Jan 29, 2018
      • Pooled vehicle clients · unset to 1.0
        Nov 24, 2017 to Jan 29, 2018
      • Assets in custody · $35.3M to $38.2M
        Nov 24, 2017 to Jan 29, 2018
      • Employees · 1 to 2
        Nov 24, 2017 to Jan 29, 2018
      • State-registered IARs · 1 to 2
        Nov 24, 2017 to Jan 29, 2018
      • Discretionary RAUM · $34.6M to $38.2M
        Nov 24, 2017 to Jan 29, 2018
      • Pooled vehicle RAUM · unset to 38235401.0
        Nov 24, 2017 to Jan 29, 2018
      • RAUM · $34.6M to $38.2M
        Nov 24, 2017 to Jan 29, 2018
      • Related adviser · false to true
        Nov 24, 2017 to Jan 29, 2018
      • Advisory activities · 1 to 3
        Jul 31, 2017 to Nov 9, 2017
      • Other offices · unset to 1.0
        Jul 31, 2017 to Nov 9, 2017
      Signals
      1 dated events
      • G•••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jan 9, 2017 · First SEC registration · fact
      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