DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

G••••• • D••• F••• L•••••

Former SEC-registered adviserNew York, New YorkCRD 148285SEC 801-69949IAPD
Legal name T•• G••••• • D••• F••• L•••••
Latest filing Oct 17, 2016
First filing on the tape Mar 17, 2012 · 13 filings
RAUM
$3.9M
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
5
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$3.9M as of Mar 29, 2016
Mar 17, 2012$124M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Feb 28, 20130 then
Employees (5.A)5 as of Mar 29, 2016
Feb 28, 20137 then
Private funds: no history
RAUM -10% over the last fiscal year-71% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 17, 2016; 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
$355,179derivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-10%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • 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
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
11reported
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
      • M••••••••• D••••• M•••••• M••••• · Managing Director And Chief Investment Officercontrol
        since 09/2003 · owns 75% or more
      • R••••••• C••••••••• M•••••• · Chief Compliance Officer, Chief Operating Officer, Managing Directorcontrol
        since 01/2013 · owns less than 5%
      • R•••• L••••• G•••••• · Partial Ownercontrol
        since 02/2015 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 12 to 11
        Mar 31, 2015 to Mar 29, 2016
      • Discretionary RAUM · $4.4M to $3.9M
        Mar 31, 2015 to Mar 29, 2016
      • RAUM · $4.4M to $3.9M
        Mar 31, 2015 to Mar 29, 2016
      • Discretionary RAUM · $34.0M to $4.4M
        Sep 8, 2014 to Mar 31, 2015
      • RAUM · $34.0M to $4.4M
        Sep 8, 2014 to Mar 31, 2015
      • Accounts · 19 to 12
        Feb 28, 2013 to Mar 28, 2014
      • Employees · 7 to 5
        Feb 28, 2013 to Mar 28, 2014
      • Discretionary RAUM · $155M to $34.0M
        Feb 28, 2013 to Mar 28, 2014
      • RAUM · $155M to $34.0M
        Feb 28, 2013 to Mar 28, 2014
      • Accounts · 6 to 19
        Jan 22, 2013 to Feb 28, 2013
      • Advisory employees · 3 to 4
        Jan 22, 2013 to Feb 28, 2013
      • Employees · 3 to 7
        Jan 22, 2013 to Feb 28, 2013
      • Discretionary RAUM · $124M to $155M
        Jan 22, 2013 to Feb 28, 2013
      • RAUM · $124M to $155M
        Jan 22, 2013 to Feb 28, 2013
      • Advisory employees · unset to 3.0
        Sep 14, 2012 to Jan 22, 2013
      • Employees · unset to 3.0
        Sep 14, 2012 to Jan 22, 2013
      • State-registered IARs · unset to 0.0
        Sep 14, 2012 to Jan 22, 2013
      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