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••••••• I••••••••• L••
Latest filing Mar 29, 2024
First filing on the tape Nov 8, 2011 · 36 filings
RAUM
$329M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
7.7%
$25.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$329M as of Mar 29, 2024
Mar 13, 2012$333M then
HNW client RAUM$22.7M as of Mar 29, 2024
Mar 29, 2018$190M then
State-registered IARs (5.B.3)2 as of Mar 29, 2024
Mar 25, 20133 then
Employees (5.A)4 as of Mar 29, 2024
Mar 25, 20138 then
Private funds1 as of Mar 28, 2023
Mar 30, 20161 then
RAUM +2.3% over the last fiscal year-9.5% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 29, 2024; every figure names its basis
- RAUM per advisor
- $164MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $612,615derivedHNW RAUM over HNW clients
- Average account
- $3.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 49%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -17%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$131M41%
- State and municipal entities$122M38%
- Charitable organizations$23.3M7.2%
- High-net-worth individuals$22.7M7.0%
- Insurance companies$13.4M4.2%
- Other investment advisers$3.8M1.2%
- Investment companies$2.8M0.9%
- Individuals$2.6M0.8%
- Pension and profit-sharing plans$1.6M0.5%
- Individual clients
- 3reported
- HNW clients
- 37reported
- Pension plan clients
- 2reported
- Charitable clients
- 6reported
- Accounts
- 93reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $55.7M managedreported
- Custody of client assets
- noreported
- 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
- C••••• M••••• A••••• to G••••••• I••••••••• P••••• R•••Jun 7, 2024 · Other
- E•••••• F••••••• to V•••••• W••••• P•••••••• L••Dec 31, 2017 · Other
- C••••••••• M•••••• C••••• to V•••••• W••••• P•••••••• L••Dec 31, 2017 · Other
Joined, latest
- C••••••••• M•••••• C••••• from C•••••••• G••••• M•••••• I•••Jun 18, 2013 · Other
- E•••••• F••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 16, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for V•••••• W••••• P•••••••• L••Dec 31, 2017 · Anaheim, Ca
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G••••••• M••••• F••• L•no longer reported | Hedge Fund | $24.3M | 2 | Mar 29, 2018 |
| G••••••• E••••••• M•••••• E••••••• F•••no longer reported | Other Private Fund | $7.9M | 11 | Mar 30, 2016 |
| T•• G••••• T••••••• A•••• A••••••••• 2••••• F••• | Other Private Fund | $868,792 | 7 | Mar 30, 2021 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• C•••••• M••••• · Elected Manager; Chief Investment Officercontrolsince 05/2007 · owns less than 5%
- B••••• D••••••• N••••••• · Elected Manager; Deputy Chief Investment Officercontrolsince 05/2007 · owns less than 5%
- M•••••• T•••••• K•••••• · Elected Manager; Chief Compliance Officer And General Counselcontrolsince 01/2014 · owns less than 5%
- A•••••• C•••••• M••••• · Ownercontrolsince 03/2017 · owns 50% to 75% of G••••••• I••••••••• H••••••• L•
- A•••••• C•••••• M••••• · Ownercontrolsince 03/2017 · owns 50% to 75% of G••••••• I••••••••• H••••••• G• L••
- B••••• D••••••• N••••••• · Ownercontrolsince 03/2017 · owns 25% to 50% of G••••••• I••••••••• H••••••• L•
- B••••• D••••••• N••••••• · Ownercontrolsince 03/2017 · owns 25% to 50% of G••••••• I••••••••• H••••••• G• L••
- P•••• B••••••• C•••••• · Membercontrolsince 10/2006 · owns 50% to 75% of S••••••• R••• F•••••••• P•••••••• L••
Entity owners
- G••••••• I••••••••• H••••••• L• · Ownerdirect · owns 75% or more
- S••••••• R••• A•••• M••••••••• L•• · Ownerdirect · owns 10% to 25%
- G••••••• I••••••••• H••••••• G• L•• · Ownerindirect · owns F of G••••••• I••••••••• H••••••• L•
- S••••••• R••• F•••••••• P•••••••• L•• · Ownerindirect · owns 75% or more of S••••••• R••• A•••• M••••••••• L••
Related persons
Schedule D 7.A
- G••••••• I••••••••• A•••• M••••••••• L••investment adviseryRAUM $151M
- S••••••• R••• A•••• M••••••••• L••investment adviseryRAUM $455M
Advisers that list G••••••• I••••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Jersey City, Nj · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Coral Gables, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 111 to 93Sep 12, 2023 to Mar 29, 2024
- Advisory employees · 4 to 2Sep 12, 2023 to Mar 29, 2024
- Advisory activities · 3 to 2Sep 12, 2023 to Mar 29, 2024
- Charity clients · 8 to 6Sep 12, 2023 to Mar 29, 2024
- Corporate clients · 25 to 21Sep 12, 2023 to Mar 29, 2024
- HNW clients · 45 to 37Sep 12, 2023 to Mar 29, 2024
- Pooled vehicle clients · 1.0 to unsetSep 12, 2023 to Mar 29, 2024
- Employees · 5 to 4Sep 12, 2023 to Mar 29, 2024
- Private funds · 1 to unsetSep 12, 2023 to Mar 29, 2024
- Discretionary RAUM · $287M to $287MSep 12, 2023 to Mar 29, 2024
- HNW RAUM · $21.0M to $22.7MSep 12, 2023 to Mar 29, 2024
- Individual RAUM · $3.0M to $2.6MSep 12, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $34.5M to $41.4MSep 12, 2023 to Mar 29, 2024
- Pension RAUM · $1.4M to $1.6MSep 12, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · 868792.0 to unsetSep 12, 2023 to Mar 29, 2024
- RAUM · $321M to $329MSep 12, 2023 to Mar 29, 2024
- Wrap assets (manager) · $74.1M to $55.7MSep 12, 2023 to Mar 29, 2024
- Accounts · 130 to 111Mar 29, 2022 to Mar 28, 2023
- Advisory employees · 3 to 4Mar 29, 2022 to Mar 28, 2023
- Charity clients · 10 to 8Mar 29, 2022 to Mar 28, 2023
- Corporate clients · 34 to 25Mar 29, 2022 to Mar 28, 2023
- HNW clients · 52 to 45Mar 29, 2022 to Mar 28, 2023
- Individual clients · unset to 3.0Mar 29, 2022 to Mar 28, 2023
- Employees · 6 to 5Mar 29, 2022 to Mar 28, 2023
- Discretionary RAUM · $441M to $287MMar 29, 2022 to Mar 28, 2023
- HNW RAUM · $62.1M to $21.0MMar 29, 2022 to Mar 28, 2023
- Individual RAUM · unset to 2988414.0Mar 29, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $39.5M to $34.5MMar 29, 2022 to Mar 28, 2023
- Pension RAUM · $1.6M to $1.4MMar 29, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $2.7M to $868,792Mar 29, 2022 to Mar 28, 2023
- RAUM · $480M to $321MMar 29, 2022 to Mar 28, 2023
- Wrap assets (manager) · $102M to $74.1MMar 29, 2022 to Mar 28, 2023
- Accounts · 226 to 130Aug 17, 2021 to Mar 29, 2022
- Advisory employees · 6 to 3Aug 17, 2021 to Mar 29, 2022
- Charity clients · 8 to 10Aug 17, 2021 to Mar 29, 2022
- Corporate clients · 30 to 34Aug 17, 2021 to Mar 29, 2022
- HNW clients · 131 to 52Aug 17, 2021 to Mar 29, 2022
- Pension plan clients · 4 to 2Aug 17, 2021 to Mar 29, 2022
- Employees · 9 to 6Aug 17, 2021 to Mar 29, 2022
- State-registered IARs · 4 to 2Aug 17, 2021 to Mar 29, 2022
Signals
5 dated events
- C••••• M••••• A••••• left G••••••• I••••••••• L•• for G••••••• I••••••••• P••••• R••• (registered 2019-03-05)Jun 7, 2024 · Advisor changed firm · fact
- G••••••• I••••••••• L•• reported RAUM $321.2M, down 33% from $480.2M (2022-03-29 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- Chapman Blakely Page (Member) appeared on Schedule A of G••••••• I••••••••• L••Aug 17, 2021 · Control person joined · fact
- Alberto Pagan-Matos (Elected Manager; Managing Director) no longer on Schedule A of G••••••• I••••••••• L•• (listed 2019-11-18, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- G••••••• I••••••••• L•• reported RAUM $524.9M, down 27% from $723.8M (2018-07-05 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
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