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••• H••• P••••••• L•
Latest filing Sep 28, 2021
First filing on the tape Mar 26, 2012 · 17 filings
RAUM
$233M
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
13
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$161M gross assets
History
17 filings and snapshots on the tape
RAUM$2.0B as of Mar 29, 2021
Mar 26, 2012$569M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2021
Mar 26, 20120 then
Employees (5.A)25 as of Mar 29, 2021
Mar 26, 201314 then
Private funds3 as of Mar 29, 2021
Mar 26, 20122 then
RAUM -92% over the last fiscal year-48% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 28, 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
- $77.7MderivedRAUM 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
- -31%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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$233M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G••• H••• M••••• F••• I• L•no longer reported | Hedge Fund | $142M | 12 | Mar 26, 2012 |
| G••• H••• M••••• F••• L• | Hedge Fund | $105M | 355 | Mar 26, 2012 |
| G••• H••• S••••• O••••••••• F••• I• L• | Hedge Fund | $29.9M | 13 | Mar 29, 2021 |
| G••• H••• M•••••••• B••• O••••••••• F••• L•no longer reported | Hedge Fund | $16.5M | 21 | Mar 29, 2016 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• B•••• · Partnercontrolsince 04/2007 · owns 25% to 50%
- C••••••• F•••••••• J•••• · Partnercontrolsince 09/2006 · owns 25% to 50%
- B•••••• B•••• · Membercontrolsince 04/2007 · owns 25% to 50% of G••• H••• C•••••• G• L••
- C••••••• F•••••••• J•••• · Membercontrolsince 09/2006 · owns 25% to 50% of G••• H••• Captial Gp LLC
- D••••••••• J•••••• M•••••• · Chief Compliance Officersince 10/2012 · owns less than 5%
- H•••• W••••••• G• · Chief Operating Officersince 11/2006 · owns 10% to 25%
Entity owners
- G••• H••• C•••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- G••• H••• C•••••• I• L••investment adviserpooled vehicle sponsory
- G••• H••• C•••••• L••investment adviserpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · NEWTON to NEWTOWNAug 12, 2021 to Sep 28, 2021
- Accounts · 17 to 3Jun 1, 2021 to Aug 12, 2021
- Advisory employees · 12 to 6Jun 1, 2021 to Aug 12, 2021
- Advisory activities · 3 to 1Jun 1, 2021 to Aug 12, 2021
- Corporate clients · 2 to 0Jun 1, 2021 to Aug 12, 2021
- Pooled vehicle clients · 13 to 3Jun 1, 2021 to Aug 12, 2021
- Employees · 25 to 13Jun 1, 2021 to Aug 12, 2021
- HQ city · GREENWICH to NEWTONJun 1, 2021 to Aug 12, 2021
- HQ state · CT to PAJun 1, 2021 to Aug 12, 2021
- Private funds · 3 to 2Jun 1, 2021 to Aug 12, 2021
- Discretionary RAUM · $2.0B to $233MJun 1, 2021 to Aug 12, 2021
- Non-discretionary RAUM · $15.8M to $0Jun 1, 2021 to Aug 12, 2021
- Pooled vehicle RAUM · $1.3B to $233MJun 1, 2021 to Aug 12, 2021
- RAUM · $2.0B to $233MJun 1, 2021 to Aug 12, 2021
- Related bank · true to falseJun 1, 2021 to Aug 12, 2021
- Accounts · 15 to 17Mar 30, 2020 to Mar 29, 2021
- Corporate clients · 1 to 2Mar 30, 2020 to Mar 29, 2021
- Pooled vehicle clients · 12 to 13Mar 30, 2020 to Mar 29, 2021
- Employees · 28 to 25Mar 30, 2020 to Mar 29, 2021
- Private funds · 2 to 3Mar 30, 2020 to Mar 29, 2021
- Discretionary RAUM · $2.9B to $2.0BMar 30, 2020 to Mar 29, 2021
- Non-discretionary RAUM · $16.1M to $15.8MMar 30, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $1.8B to $1.3BMar 30, 2020 to Mar 29, 2021
- RAUM · $2.9B to $2.0BMar 30, 2020 to Mar 29, 2021
- Accounts · 13 to 15Mar 28, 2019 to Mar 30, 2020
- Pooled vehicle clients · 11 to 12Mar 28, 2019 to Mar 30, 2020
- Employees · 24 to 28Mar 28, 2019 to Mar 30, 2020
- Discretionary RAUM · $2.0B to $2.9BMar 28, 2019 to Mar 30, 2020
- Non-discretionary RAUM · $5.0M to $16.1MMar 28, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $1.4B to $1.8BMar 28, 2019 to Mar 30, 2020
- RAUM · $2.0B to $2.9BMar 28, 2019 to Mar 30, 2020
- Related bank · false to trueMar 28, 2019 to Mar 30, 2020
- Accounts · 14 to 13Mar 29, 2018 to Mar 28, 2019
- Corporate clients · 3 to 1Mar 29, 2018 to Mar 28, 2019
- Employees · 23 to 24Mar 29, 2018 to Mar 28, 2019
- Discretionary RAUM · $1.6B to $2.0BMar 29, 2018 to Mar 28, 2019
- Non-discretionary RAUM · $21.4M to $5.0MMar 29, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $1.0B to $1.4BMar 29, 2018 to Mar 28, 2019
- RAUM · $1.6B to $2.0BMar 29, 2018 to Mar 28, 2019
- Accounts · 13 to 14Mar 28, 2017 to Mar 29, 2018
Signals
3 dated events
- G••• H••• P••••••• L• reported RAUM $233.0M, down 88% from $2.0B (2021-06-01 to 2021-08-12)Aug 12, 2021 · RAUM change · derived
- G••• H••• P••••••• L• reported RAUM $2.0B, down 31% from $2.9B (2020-03-30 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- G••• H••• P••••••• L• reported RAUM $2.9B, up 42% from $2.0B (2019-03-28 to 2020-03-30)Mar 30, 2020 · 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