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Former SEC-registered adviser

G•• C•••••• L••

Former SEC-registered adviserLondon, CRD 146411SEC 801-68918IAPD
Latest filing Jul 1, 2021
First filing on the tape Mar 27, 2012 · 13 filings
RAUM
$1.0B
reported, Item 5.F
Discretionary
95%
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
14
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$78.0M gross assets
History
13 filings and snapshots on the tape
RAUM$1.0B as of Jul 1, 2021
Jun 27, 2012$705M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 1, 2021
Jun 27, 20120 then
Employees (5.A)14 as of Jul 1, 2021
Jun 26, 201316 then
Private funds3 as of Jul 1, 2021
Jun 27, 20127 then
RAUM +10.0% over the last fiscal year+20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 1, 2021; 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
$174MderivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+10.0%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 pooled vehicles, portfolio management for investment companies, otherreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$968M93%
  • Pooled investment vehicles$77.4M7.4%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E•••••• A•• S••••••• A•••••• T•••• F•••Other Private Fund$54.9M2Jun 30, 2020
      R••••••• G•• T•••• F•••••• I••••• F••• L••no longer reportedHedge Fund$20.2M73Mar 27, 2012
      H•••••• M••••• H••••••• I•no longer reportedHedge Fund$20.2M42Mar 27, 2012
      G••••• C••••• F••• I•Hedge Fund$17.4M37Jun 26, 2013
      A••• M••••• H••••••• I•no longer reportedHedge Fund$14.4M17Mar 27, 2012
      G••••• M••••• H••••••• I•Hedge Fund$5.7M187Mar 27, 2012
      F•••••••• M••••• F••• L••••••no longer reportedHedge Fund$3.5M2Mar 27, 2012
      G•• A••••••••• C•••••••• T•••• F•••••• F••• L••no longer reportedHedge Fund$2.3M2Mar 27, 2012
      K••••• M••••• H••••••• I•Hedge Fund$1022Mar 27, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • I••••• K••••• C••••••••• · Co-Chief Operating Officercontrol
        since 05/2011 · owns less than 5%
      • J••••• B••••• C•••••••• · Co-Chief Operating Officercontrol
        since 05/2011 · owns less than 5%
      • P•••••• S•••••• P••• · Chief Executive Officer & Chief Compliance Officercontrol
        since 03/2007 · owns 10% to 25%
      • P•••••• S•••••• P••• · Ubocontrol
        since 07/1995 · owns 75% or more of G•• ••••••••• L••
      Entity owners
      • G•• I••••••••• L•••••• · Managing Member
        direct · owns 75% or more
      • G•• ••••••••• L•• · Ultimate Parent Undertaking
        indirect · owns 75% or more of G•• I••••••••• L••••••
      Related persons
      Schedule D 7.A
      • E•••••• A•• S••••••• A•••••• T•••• A••••••• L••••••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 9 to 6
        Jun 30, 2020 to Jul 1, 2021
      • Pooled vehicle clients · 7 to 4
        Jun 30, 2020 to Jul 1, 2021
      • Employees · 16 to 14
        Jun 30, 2020 to Jul 1, 2021
      • Private funds · 4 to 3
        Jun 30, 2020 to Jul 1, 2021
      • Discretionary RAUM · $899M to $990M
        Jun 30, 2020 to Jul 1, 2021
      • Non-discretionary RAUM · $50.9M to $54.9M
        Jun 30, 2020 to Jul 1, 2021
      • Pooled vehicle RAUM · $74.5M to $77.4M
        Jun 30, 2020 to Jul 1, 2021
      • RAUM · $950M to $1.0B
        Jun 30, 2020 to Jul 1, 2021
      • Accounts · 6 to 9
        Jun 28, 2019 to Jun 30, 2020
      • Pooled vehicle clients · 6 to 7
        Jun 28, 2019 to Jun 30, 2020
      • Private funds · 3 to 4
        Jun 28, 2019 to Jun 30, 2020
      • Discretionary RAUM · $677M to $899M
        Jun 28, 2019 to Jun 30, 2020
      • Non-discretionary RAUM · $0 to $50.9M
        Jun 28, 2019 to Jun 30, 2020
      • Pooled vehicle RAUM · $39.4M to $74.5M
        Jun 28, 2019 to Jun 30, 2020
      • RAUM · $677M to $950M
        Jun 28, 2019 to Jun 30, 2020
      • Accounts · 7 to 6
        Jun 29, 2018 to Jun 28, 2019
      • Advisory employees · 7 to 8
        Jun 29, 2018 to Jun 28, 2019
      • Employees · 14 to 16
        Jun 29, 2018 to Jun 28, 2019
      • Discretionary RAUM · $608M to $677M
        Jun 29, 2018 to Jun 28, 2019
      • Pooled vehicle RAUM · $42.6M to $39.4M
        Jun 29, 2018 to Jun 28, 2019
      • RAUM · $608M to $677M
        Jun 29, 2018 to Jun 28, 2019
      • Accounts · 8 to 7
        Jun 14, 2017 to Jun 29, 2018
      • Advisory employees · 6 to 7
        Jun 14, 2017 to Jun 29, 2018
      • Advisory activities · 2 to 3
        Jun 14, 2017 to Jun 29, 2018
      • Pooled vehicle clients · unset to 6.0
        Jun 14, 2017 to Jun 29, 2018
      • Employees · 13 to 14
        Jun 14, 2017 to Jun 29, 2018
      • Other offices · unset to 0.0
        Jun 14, 2017 to Jun 29, 2018
      • Discretionary RAUM · $462M to $608M
        Jun 14, 2017 to Jun 29, 2018
      • Pooled vehicle RAUM · unset to 42636147.0
        Jun 14, 2017 to Jun 29, 2018
      • RAUM · $462M to $608M
        Jun 14, 2017 to Jun 29, 2018
      • Related adviser · false to true
        Jun 14, 2017 to Jun 29, 2018
      • Accounts · 9 to 8
        Jun 13, 2016 to Jun 14, 2017
      • Discretionary RAUM · $410M to $462M
        Jun 13, 2016 to Jun 14, 2017
      • RAUM · $410M to $462M
        Jun 13, 2016 to Jun 14, 2017
      • Accounts · 12 to 9
        Jun 11, 2015 to Jun 13, 2016
      • Assets in custody · 3935803.0 to unset
        Jun 11, 2015 to Jun 13, 2016
      • Custody of client assets · true to false
        Jun 11, 2015 to Jun 13, 2016
      • Private funds · 4 to 3
        Jun 11, 2015 to Jun 13, 2016
      • Discretionary RAUM · $387M to $410M
        Jun 11, 2015 to Jun 13, 2016
      • RAUM · $387M to $410M
        Jun 11, 2015 to Jun 13, 2016
      Signals
      2 dated events
      • G•• C•••••• L•• reported RAUM $950.3M, up 40% from $677.0M (2019-06-28 to 2020-06-30)
        Jun 30, 2020 · RAUM change · derived
      • G•• C•••••• L•• reported RAUM $607.6M, up 32% from $461.6M (2017-06-14 to 2018-06-29)
        Jun 29, 2018 · 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