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••••••••• F•••••• I••••••••• A••••••• S••••••• L••

Former SEC-registered adviserNorwalk, ConnecticutCRD 145592SEC 801-68701IAPD
Latest filing Mar 31, 2015
First filing on the tape Mar 29, 2012 · 5 filings
RAUM
$11B
reported, Item 5.F
Discretionary
0.0%
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
24
24 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$11B as of Mar 31, 2015
Mar 29, 2012$5.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2015
Mar 29, 20120 then
Employees (5.A)24 as of Mar 31, 2015
Mar 11, 201327 then
Private funds: no history
RAUM +23% over the last fiscal year+29% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2015; every figure names its basis
RAUM per advisor
$11BderivedRAUM 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
$3.6BderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
24.0derivedItem 5.A over advisors
Advisors per office
0.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+23%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 assetsreportedItem 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
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.2)
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
3reported
Financial planning clients
n/areported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • E•••••• V•••••••• A••••••• · Finance Manager And Secretarycontrol
        since 10/2012 · owns less than 5%
      • L••••••• M••••••• D•••••• · Managing Directorcontrol
        since 02/2008 · owns less than 5%
      • L•••• T••••••• G••••• · Senior Managing Director/Presidentcontrol
        since 03/2010 · owns less than 5%
      • P•••••••• J•••••••• M•••• M••••••• · Chief Compliance Officercontrol
        since 11/2007 · owns less than 5%
      • S••••••••• B••••• E••••• · Managing Directorcontrol
        since 11/2012 · owns less than 5%
      Entity owners
      • C•• M••••••••• L•• · Managing Member
        direct · owns 75% or more
      • G•••••• E••••••• C•••••• C••••••••• · Managing Member
        indirect · owns F of C•• M••••••••• L••
      • G•••••• E••••••• C•••••• S•••••••• I••• · Shareholder
        indirect · owns 75% or more of G•••••• E••••••• C•••••• C•••••••••
      • G•••••• E••••••• C•••••• · Shareholder
        indirect · owns 75% or more of G•••••• E••••••• C•••••• S•••••••• I••• · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list G• C••••••••• F•••••• I••••••••• A••••••• S••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Chicago, IL
      • New York, NY
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 3
        Mar 27, 2014 to Mar 31, 2015
      • BD registered reps · 1 to 2
        Mar 27, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $8.7B to $11B
        Mar 27, 2014 to Mar 31, 2015
      • RAUM · $8.7B to $11B
        Mar 27, 2014 to Mar 31, 2015
      • Advisory employees · 27 to 24
        Mar 11, 2013 to Mar 27, 2014
      • Advisory activities · 2 to 1
        Mar 11, 2013 to Mar 27, 2014
      • BD registered reps · 0 to 1
        Mar 11, 2013 to Mar 27, 2014
      • Employees · 27 to 24
        Mar 11, 2013 to Mar 27, 2014
      • Non-discretionary RAUM · $6.3B to $8.7B
        Mar 11, 2013 to Mar 27, 2014
      • RAUM · $6.3B to $8.7B
        Mar 11, 2013 to Mar 27, 2014
      • Related adviser · true to false
        Mar 11, 2013 to Mar 27, 2014
      • BD registered reps · 4 to 0
        Nov 20, 2012 to Mar 11, 2013
      • Non-discretionary RAUM · $5.5B to $6.3B
        Nov 20, 2012 to Mar 11, 2013
      • RAUM · $5.5B to $6.3B
        Nov 20, 2012 to Mar 11, 2013
      • Advisory employees · unset to 27.0
        Mar 29, 2012 to Nov 20, 2012
      • BD registered reps · unset to 4.0
        Mar 29, 2012 to Nov 20, 2012
      • Employees · unset to 27.0
        Mar 29, 2012 to Nov 20, 2012
      • State-registered IARs · 0 to 1
        Mar 29, 2012 to Nov 20, 2012
      • Non-discretionary RAUM · $5.0B to $5.5B
        Mar 29, 2012 to Nov 20, 2012
      • RAUM · $5.0B to $5.5B
        Mar 29, 2012 to Nov 20, 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