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••••••••• A••••••••• L••
Latest filing Oct 1, 2021
First filing on the tape Mar 30, 2012 · 28 filings
RAUM
$15B
reported, Item 5.F
Discretionary
100%
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
127
53 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
87
$18B gross assets
History
28 filings and snapshots on the tape
RAUM$15B as of Mar 29, 2021
Mar 30, 2012$2.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2021
Mar 30, 20120 then
Employees (5.A)127 as of Mar 29, 2021
Mar 28, 201320 then
Private funds87 as of Mar 29, 2021
Mar 30, 201221 then
RAUM +23% over the last fiscal year+21% a year over threeIARs 0 to 0offices 1 to 2
Practice profile
derived from the filing of Oct 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
- $131MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 28%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%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
- 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)
- 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)
- 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$11B72%
- Sovereign wealth funds$3.0B20%
- State and municipal entities$1.2B7.8%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 117reported
- 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
Private funds
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A• V•• L••• | Venture Capital Fund | $55.8M | 2 | Mar 19, 2019 |
| P• H••••••• I••• L••• | Venture Capital Fund | $37.2M | 23 | Mar 19, 2019 |
| S••••••• H••••••••• I• L•••no longer reported | Private Equity Fund | $18.2M | 3 | Mar 30, 2012 |
| G••••••••• G••••• P••••••• I• L•••no longer reported | Venture Capital Fund | $16.3M | 76 | Mar 30, 2012 |
| G••••••••• S•• V••• L••• | Private Equity Fund | $15.1M | 10 | Mar 19, 2020 |
| G••••••••• G••••• P••••••• I••••• L••• | Venture Capital Fund | $8.2M | 46 | Mar 30, 2012 |
| G••••••••• G••••• P••••••• I•• L••• | Venture Capital Fund | $5.5M | 92 | Mar 30, 2012 |
| G••••••••• S•• V••••• L••• | Venture Capital Fund | $2.8M | 10 | Mar 29, 2021 |
| G••••••••• G••••• P••••••• I••••• L••• | Venture Capital Fund | $1.8M | 3 | Mar 30, 2012 |
| G••••••••• G••••• P••••••• I•••• L••• | Venture Capital Fund | $1.3M | 24 | Mar 30, 2012 |
| G••••••••• G••••• P••••••• I••• L••• | Venture Capital Fund | $538,872 | 64 | Mar 30, 2012 |
| G••••••••• G••••• P••••••• I•••• L••• | Venture Capital Fund | $210,635 | 2 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• C••••••••• R••••• · Chief Compliance Officer & Counselcontrolsince 08/2019 · owns less than 5%
- M•••••••• C•••••• S•••••• · Chief Financial Officercontrolsince 01/2021 · owns less than 5%
- R•••••••• L•••••• · G•••••• Partner & Secretarycontrolsince 01/2021 · owns less than 5%
- T•••••••• E••• · Coo & Treasurercontrolsince 02/2008 · owns less than 5%
Entity owners
- G••••••••• A••••••••• L••• · Sole Memberdirect · owns 75% or more
- G••••••••• A••••••••• I••• · Limited Partnerindirect · owns 75% or more of G••••••••• A••••••••• L•••
- S•••••••• G•••• H••••••• L•• · G•••••• Partnerindirect · owns F of S•••••••• G•••• L•
- S•••••••• G•••• L• · Limited Partnerindirect · owns 25% to 50% of G••••••••• A••••••••• L•••
- S•••••••• G•••• I•• · Sole Managing Memberindirect · owns 75% or more of S•••••••• G•••• H••••••• L•• · public reporting company
Related persons
Schedule D 7.A
- G••••••••• A••• G•••••• P•••••• I• L•••pooled vehicle sponsory
- G••••••••• A••• G• I• L••pooled vehicle sponsory
- G••••••••• A• G• I•• L•••pooled vehicle sponsory
- G••••••••• C•••••••• I• G•• L•••pooled vehicle sponsory
- G••••••••• C•••••••• I• G•• L••pooled vehicle sponsory
- G••••••••• D•••••••• G•••••• P•••••• I• L•••pooled vehicle sponsory
- G••••••••• D•••••••• G• I• L••pooled vehicle sponsory
- G••••••••• E•••• S•••• G•••••• P•••••• I• L•••pooled vehicle sponsory
- G••••••••• E•••• S•••• G•••••• P•••••• I•• L•••pooled vehicle sponsory
- G••••••••• E•••• S•••• G• I• L••pooled vehicle sponsory
- G••••••••• E•••• S•••• G• I•• L••pooled vehicle sponsory
- G••••••••• E•••• S•••• I•• G•• L••pooled vehicle sponsory
- G••••••••• F•••• I• •••••••• L•••pooled vehicle sponsory
- G••••••••• F•••• I•• L•••pooled vehicle sponsory
- G••••••••• F•••• I•• L••pooled vehicle sponsory
- G••••••••• F•••• I•• L••pooled vehicle sponsory
- G••••••••• F•••• I••• L•••pooled vehicle sponsory
- G••••••••• F•••• I••• L••pooled vehicle sponsory
- G••••••••• F•••• I•• L•••pooled vehicle sponsory
- G••••••••• F•••• I•• L••pooled vehicle sponsory
- G••••••••• F••••• L•••pooled vehicle sponsory
- G••••••••• F••••• L••pooled vehicle sponsory
- G••••••••• G• V• G•• L••pooled vehicle sponsory
- G••••••••• G•••••• P•••••• G•• L••pooled vehicle sponsory
- G••••••••• G•••••• P•••••• I•• L•••pooled vehicle sponsory
- G••••••••• G•••••• P•••••• I••• L•••pooled vehicle sponsory
- G••••••••• G•••••• P•••••• I•• L•••pooled vehicle sponsory
- G••••••••• G•••••• P•••••• I•• L•••pooled vehicle sponsory
- G••••••••• G•••••• P•••••• V• L•••pooled vehicle sponsory
- G••••••••• G•••••• P•••••• V•• L•••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Manalapan, FL1 employees
- Palo Alto, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 89 to 117Mar 19, 2020 to Mar 29, 2021
- Advisory employees · 41 to 53Mar 19, 2020 to Mar 29, 2021
- Pooled vehicle clients · 84 to 110Mar 19, 2020 to Mar 29, 2021
- Employees · 94 to 127Mar 19, 2020 to Mar 29, 2021
- Financial planning clients · 0 to unsetMar 19, 2020 to Mar 29, 2021
- Other offices · 1 to 2Mar 19, 2020 to Mar 29, 2021
- Private funds · 69 to 87Mar 19, 2020 to Mar 29, 2021
- Discretionary RAUM · $12B to $15BMar 19, 2020 to Mar 29, 2021
- Non-discretionary RAUM · $14.4M to $28.7MMar 19, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $8.4B to $11BMar 19, 2020 to Mar 29, 2021
- RAUM · $12B to $15BMar 19, 2020 to Mar 29, 2021
- Non-discretionary RAUM · $16.8M to $14.4MNov 11, 2019 to Mar 19, 2020
- Pooled vehicle RAUM · $6.7B to $8.4BNov 11, 2019 to Mar 19, 2020
- RAUM · $12B to $12BNov 11, 2019 to Mar 19, 2020
- Succession · true to falseNov 11, 2019 to Mar 19, 2020
- Accounts · 77 to 89Nov 11, 2019 to Mar 19, 2020
- Advisory employees · 39 to 41Nov 11, 2019 to Mar 19, 2020
- Business name · G••••••••• A••••••••• I••• to G••••••••• A••••••••• L••Nov 11, 2019 to Mar 19, 2020
- Pooled vehicle clients · 72 to 84Nov 11, 2019 to Mar 19, 2020
- Employees · 70 to 94Nov 11, 2019 to Mar 19, 2020
- Legal name · G••••••••• A••••••••• I••• to G••••••••• A••••••••• L••Nov 11, 2019 to Mar 19, 2020
- Private funds · 60 to 69Nov 11, 2019 to Mar 19, 2020
- Discretionary RAUM · $12B to $12BNov 11, 2019 to Mar 19, 2020
- Organization form · Corporation to Limited Liability CompanyAug 14, 2019 to Nov 11, 2019
- Succession · false to trueAug 14, 2019 to Nov 11, 2019
- Accounts · 63 to 77Apr 24, 2018 to Mar 19, 2019
- Advisory employees · 32 to 39Apr 24, 2018 to Mar 19, 2019
- Pooled vehicle clients · 60 to 72Apr 24, 2018 to Mar 19, 2019
- Employees · 59 to 70Apr 24, 2018 to Mar 19, 2019
- Private funds · 46 to 60Apr 24, 2018 to Mar 19, 2019
- Discretionary RAUM · $8.6B to $12BApr 24, 2018 to Mar 19, 2019
- Non-discretionary RAUM · $19.0M to $16.8MApr 24, 2018 to Mar 19, 2019
- Pooled vehicle RAUM · $5.0B to $6.7BApr 24, 2018 to Mar 19, 2019
- RAUM · $8.6B to $12BApr 24, 2018 to Mar 19, 2019
- Accounts · 66 to 63Aug 17, 2017 to Mar 8, 2018
- Advisory employees · 25 to 32Aug 17, 2017 to Mar 8, 2018
- Pooled vehicle clients · unset to 60.0Aug 17, 2017 to Mar 8, 2018
- Employees · 37 to 59Aug 17, 2017 to Mar 8, 2018
- Financial planning clients · unset to 0Aug 17, 2017 to Mar 8, 2018
- Other offices · unset to 1.0Aug 17, 2017 to Mar 8, 2018
Signals
7 dated events
- Ashton Charles Newhall (President & Manager) no longer on Schedule A of G••••••••• A••••••••• L•• (listed 2021-03-29, absent 2021-10-01)Oct 1, 2021 · Control person left · inference
- Jin James Lim (Vice President & Manager) no longer on Schedule A of G••••••••• A••••••••• L•• (listed 2021-03-29, absent 2021-10-01)Oct 1, 2021 · Control person left · inference
- S•••••• C••••• Mcintyre (Chief Financial Officer) appeared on Schedule A of G••••••••• A••••••••• L••Mar 29, 2021 · Control person joined · fact
- G••••••••• A••••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Nov 11, 2019 · Succession (Item 4) · fact
- Robert Christopher Ancona (Chief Compliance Officer & Counsel) appeared on Schedule A of G••••••••• A••••••••• L••Aug 14, 2019 · Control person joined · fact
- G••••••••• A••••••••• L•• reported RAUM $12.4B, up 44% from $8.6B (2018-04-24 to 2019-03-19)Mar 19, 2019 · RAUM change · derived
- G••••••••• A••••••••• L•• reported RAUM $8.6B, up 45% from $5.9B (2017-08-17 to 2018-03-08)Mar 8, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- G••••••••• A••••••••• L•• · Private Equityshared crd · organization
- G••••••••• A••••••••• L•• · Venture Capitalshared crd · organization
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