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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

G•• I•••

Former SEC-registered adviserNew York, New YorkCRD 145441SEC 801-68645IAPD
Latest filing Dec 20, 2013
First filing on the tape Mar 30, 2012 · 11 filings
RAUM
$5.0B
reported, Item 5.F
Discretionary
99%
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
22
18 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
20
$1.2B gross assets
History
11 filings and snapshots on the tape
RAUM$5.0B as of Mar 28, 2013
Mar 30, 2012$5.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 22
Private funds20 as of Mar 28, 2013
Mar 30, 201212 then
RAUM -1.1% over the last fiscal year
Practice profile
derived from the filing of Dec 20, 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
$121MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, 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
-1.1%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
Custody
$708M, 8 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)
  • 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
41reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$708M for 8 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
      11 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G•• G••••• E••••• M••••• F••• L••Hedge Fund$148M2Mar 30, 2012
      G•• N•••••• R•••••••• M••••• F••• L••Hedge Fund$26.3M2Mar 30, 2012
      G•• A•••• M•••• M••••• F••• L•••Hedge Fund$21.7M1Aug 29, 2012
      G•• E••••••• M•••••• M••••• F••• L••Hedge Fund$17.3M1Mar 30, 2012
      G•• A•••• M•••• F••• L•Hedge Fund$04Aug 29, 2012
      M•• S••••••••• T••••••••• O••••••• F••• L••Hedge Fund$022Mar 30, 2012
      G•• G••••• E••••• O••••••• F••• L••Hedge Fund$026Mar 30, 2012
      G•• E••••••• M•••••• F••• L••Hedge Fund$09Mar 30, 2012
      G•• N•••••• R•••••••• O••••••• F••• L••Hedge Fund$01Mar 30, 2012
      G•• N•••••• R•••••••• F••• L•Hedge Fund$03Mar 30, 2012
      G•• G••••• E••••• I••••••••• F••• L•Other Private Fund$01Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••• E••• · Director And Presidentcontrol
        since 01/2013 · owns less than 5%
      • D••••••••• L••••• A•• · Director And Vice Presidentcontrol
        since 09/2011 · owns less than 5%
      • K••••• S•••••• Y••••• · Treasurercontrol
        since 01/2013 · owns less than 5%
      • L••• O••• · Director And Secretarycontrol
        since 04/2011 · owns less than 5%
      • L• G•••• N••••• · Chief Compliance Officercontrol
        since 08/2008 · owns less than 5%
      Entity owners
      • G•• H••••••• I••• · Shareholder
        direct · owns 75% or more
      • E••• • F• M•• I••••••••• B• · Shareholder
        indirect · owns 75% or more of M•• I••••••••• U•• H••••••• I•••
      • F•••••••• L•••••• · Shareholder
        indirect · owns 75% or more of E••• • F• M•• I••••••••• B•
      • G•• P•••••••• I••• · Shareholder
        indirect · owns 75% or more of G•• H••••••• I•••
      • M•• G•••• H••••••• L•••••• · Shareholder
        indirect · owns 75% or more of F•••••••• L••••••
      • M•• G•••• P•• · Shareholder
        indirect · owns 75% or more of M•• S•••••••• H••••••• L••••••
      • M•• G•••• U• L•••••• · Shareholder
        indirect · owns 75% or more of M•• G•••• H••••••• L••••••
      • M•• I••••••••• F•••••• L•••••• · Shareholder
        indirect · owns 75% or more of M•• G•••• U• L••••••
      • M•• I••••••••• U•• H••••••• I••• · Shareholder
        indirect · owns 75% or more of G•• P•••••••• I•••
      • M•• S•••••••• H••••••• L•••••• · Shareholder
        indirect · owns 75% or more of M•• I••••••••• F•••••• L••••••
      Related persons
      Schedule D 7.A
      Advisers that list G•• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • London, United Kingdom
      What changed
      consecutive filings, newest first
      • Accounts · 33 to 41
        Mar 1, 2013 to Mar 28, 2013
      • Advisory employees · 20 to 18
        Mar 1, 2013 to Mar 28, 2013
      • Advisory activities · 5 to 4
        Mar 1, 2013 to Mar 28, 2013
      • BD registered reps · 3 to 1
        Mar 1, 2013 to Mar 28, 2013
      • Assets in custody · unset to 707874414.0
        Mar 1, 2013 to Mar 28, 2013
      • Custody of client assets · false to true
        Mar 1, 2013 to Mar 28, 2013
      • Employees · 25 to 22
        Mar 1, 2013 to Mar 28, 2013
      • Private funds · 21 to 20
        Mar 1, 2013 to Mar 28, 2013
      • Discretionary RAUM · $4.7B to $4.9B
        Mar 1, 2013 to Mar 28, 2013
      • Non-discretionary RAUM · $301M to $57.0M
        Mar 1, 2013 to Mar 28, 2013
      • RAUM · $5.0B to $5.0B
        Mar 1, 2013 to Mar 28, 2013
      • Private funds · 20 to 21
        Jan 31, 2013 to Mar 1, 2013
      • Advisory employees · unset to 20.0
        Aug 29, 2012 to Nov 19, 2012
      • BD registered reps · 0 to 3
        Aug 29, 2012 to Nov 19, 2012
      • Employees · unset to 25.0
        Aug 29, 2012 to Nov 19, 2012
      • State-registered IARs · unset to 0.0
        Aug 29, 2012 to Nov 19, 2012
      • Private funds · 18 to 20
        Aug 29, 2012 to Nov 19, 2012
      • Private funds · 12 to 18
        Jun 28, 2012 to Aug 29, 2012
      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