DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

G• I••••••••• P••••••• L••

Former SEC-registered adviserLondon, CRD 146136SEC 801-68761IAPD

Latest filing May 27, 2022

First filing on the tape Mar 12, 2012 · 27 filings

RAUM

$383M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$383M gross assets

History

27 filings and snapshots on the tape

RAUM$383M as of Mar 31, 2022

Mar 12, 2012$1.0B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 31, 2022

Mar 5, 20130 then

Employees (5.A)10 as of Mar 31, 2022

Mar 5, 201329 then

Private funds2 as of Mar 31, 2022

Mar 12, 20125 then

RAUM -11% over the last fiscal year+8.9% a year over threeIARs 0 to 0

Practice profile

derived from the filing of May 27, 2022; 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: $192MderivedRAUM 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: unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year: -11%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 vehiclesreportedItem 5.G
Custody: $383M, 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

has discretionary authority over which securities are bought or sold (8.C.1)
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)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$383M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 2reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $383M 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 departure Every arrival

Private funds

7 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
G• F••••• E••••••• F•••• F••• L•no longer reported	Other Private Fund	$443M	1	Mar 12, 2012
T•••••• J•••• E••••••••• F••• L•	Other Private Fund	$328M	13	Mar 5, 2013
G• S••••• E••••••• F•••• F••• L•no longer reported	Other Private Fund	$237M	1	Mar 12, 2012
G• T•••• E••••••• F•••• F••• L•no longer reported	Other Private Fund	$186M	1	Mar 12, 2012
T•• T•••••• J•••• E••••••••• M••••• F••• •••• L••	Other Private Fund	$55.9M	13	Jul 19, 2018
G• F•••• E••••••• F•••• F••• L•no longer reported	Other Private Fund	$48.1M	12	Mar 12, 2012
G• E••••••• F•••• F••• L•no longer reported	Other Private Fund	$37.7M	11	Mar 12, 2012

Owners and control persons

Schedule A and B, latest filing

B••••• S••••••• P••• · Founder Member And Designated Membercontrol
since 03/2014 · owns less than 5%
A•••• K•••••• · Designated Membercontrol
since 05/2016 · owns F of G• I••••••••• P••••••• G•••• L••
B••••• S••••••• P••• · Designated Membercontrol
since 06/2005 · owns F of G• I••••••••• P••••••• G•••• L••
J••••••• C••••• F•••••• · Chairmancontrol
since 11/2021 · owns F of G• I••••••••• P••••••• G•••• L••
A•••• K•••••• · Designated Member
since 05/2016 · owns less than 5%
H••••• A•••••• J••• · Chief Compliance Officer
since 01/2021 · owns less than 5%

Entity owners

G••••••••• F•• O••••• H••••••• L•••••• · Designated Member And Special L•••••• Partner
direct · owns 75% or more
G• I••••••••• P••••••• G•••• L•• · Parent Company
indirect · owns 75% or more of G••••••••• F•• O••••• H••••••• L••••••

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

Tokyo, Japan2 employees

What changed

consecutive filings, newest first

Advisory employees · 4 to 3
Nov 16, 2021 to Mar 31, 2022
Assets in custody · $431M to $383M
Nov 16, 2021 to Mar 31, 2022
Employees · 11 to 10
Nov 16, 2021 to Mar 31, 2022
Discretionary RAUM · $431M to $383M
Nov 16, 2021 to Mar 31, 2022
Pooled vehicle RAUM · $431M to $383M
Nov 16, 2021 to Mar 31, 2022
RAUM · $431M to $383M
Nov 16, 2021 to Mar 31, 2022
Assets in custody · $37.3M to $431M
Mar 16, 2021 to Mar 31, 2021
Custody of client assets · false to true
Mar 16, 2021 to Mar 31, 2021
Discretionary RAUM · $373M to $431M
Mar 16, 2021 to Mar 31, 2021
Pooled vehicle RAUM · $373M to $431M
Mar 16, 2021 to Mar 31, 2021
RAUM · $373M to $431M
Mar 16, 2021 to Mar 31, 2021
Assets in custody · unset to 37315713.0
Mar 25, 2019 to Mar 31, 2020
Discretionary RAUM · $297M to $373M
Mar 25, 2019 to Mar 31, 2020
Pooled vehicle RAUM · $297M to $373M
Mar 25, 2019 to Mar 31, 2020
RAUM · $297M to $373M
Mar 25, 2019 to Mar 31, 2020
Assets in custody · 322698939.0 to unset
Jan 23, 2019 to Mar 25, 2019
Custody of client assets · true to false
Jan 23, 2019 to Mar 25, 2019
Employees · 8 to 11
Jan 23, 2019 to Mar 25, 2019
Discretionary RAUM · $323M to $297M
Jan 23, 2019 to Mar 25, 2019
Pooled vehicle RAUM · $323M to $297M
Jan 23, 2019 to Mar 25, 2019
RAUM · $323M to $297M
Jan 23, 2019 to Mar 25, 2019
Advisory activities · 2 to 1
Jul 30, 2018 to Jan 23, 2019
Pension RAUM · 282743120.0 to unset
Mar 20, 2018 to Jul 19, 2018
Pooled vehicle RAUM · unset to 322698939.0
Mar 20, 2018 to Jul 19, 2018
RAUM · $286M to $323M
Mar 20, 2018 to Jul 19, 2018
Related adviser · false to true
Mar 20, 2018 to Jul 19, 2018
Related bank · false to true
Mar 20, 2018 to Jul 19, 2018
Accounts · 1 to 2
Mar 20, 2018 to Jul 19, 2018
Advisory employees · 1 to 4
Mar 20, 2018 to Jul 19, 2018
Individual clients · 12.0 to unset
Mar 20, 2018 to Jul 19, 2018
Pension plan clients · 2.0 to unset
Mar 20, 2018 to Jul 19, 2018
Pooled vehicle clients · unset to 2.0
Mar 20, 2018 to Jul 19, 2018
Assets in custody · unset to 322698939.0
Mar 20, 2018 to Jul 19, 2018
Custody of client assets · false to true
Mar 20, 2018 to Jul 19, 2018
Employees · 6 to 8
Mar 20, 2018 to Jul 19, 2018
Private funds · 1 to 2
Mar 20, 2018 to Jul 19, 2018
Discretionary RAUM · $286M to $323M
Mar 20, 2018 to Jul 19, 2018
Individual RAUM · 3245092.0 to unset
Mar 20, 2018 to Jul 19, 2018
Individual clients · unset to 12.0
Feb 23, 2017 to Mar 20, 2018
Pension plan clients · unset to 2.0
Feb 23, 2017 to Mar 20, 2018

Signals

2 dated events

Francis Cyril J•••son (Chairman) appeared on Schedule A of G• I••••••••• P••••••• L••
Nov 16, 2021 · Control person joined · fact
Robert Peter Butler (Founder Member And Designated Member) no longer on Schedule A of G• I••••••••• P••••••• L•• (listed 2021-03-31, absent 2021-11-16)
Nov 16, 2021 · Control person left · inference

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