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••••••• L••• M•••••••••

Former SEC-registered adviserSan Juan, PRCRD 150886SEC 801-70440IAPD
Legal name U••••••• C••••• A••••••• L••
Latest filing Mar 30, 2021
First filing on the tape Mar 28, 2012 · 22 filings
RAUM
$977M
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
9
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$977M gross assets
History
22 filings and snapshots on the tape
RAUM$977M as of Mar 30, 2021
Mar 28, 2012$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2021
Mar 28, 20120 then
Employees (5.A)9 as of Mar 30, 2021
Mar 22, 20138 then
Private funds2 as of Mar 30, 2021
Mar 28, 20123 then
RAUM -4.8% over the last fiscal year+18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
$488MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-4.8%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 businesses and institutions, 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$977M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
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
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G••••••• C•• I• 2••••• L•••no longer reportedSecuritized Asset Fund$307M11Mar 28, 2012
      G••••••• C•• I•• 2••••• L••no longer reportedSecuritized Asset Fund$182M11Mar 28, 2012
      G••••••• C•• I• 2••••• L••no longer reportedSecuritized Asset Fund$63.8M9Mar 28, 2012
      G••••••• C•• I• 2•••••• L••no longer reportedSecuritized Asset Fund$016Mar 22, 2013
      G••••••• C•• V• 2•••••• L••no longer reportedSecuritized Asset Fund$015Mar 21, 2014
      G••••••• C•• V• 2•••••• L•••no longer reportedSecuritized Asset Fund$022Mar 21, 2014
      G••••••• C•• V•• 2••••• L•••no longer reportedSecuritized Asset Fund$018Mar 26, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • W•••••••• W•••••• H••••• · Cco/Coo/Managercontrol
        since 03/2019 · owns less than 5%
      • B••••• J••••••• R••••• · Managercontrol
        since 09/2017 · owns 25% to 50% of G••••••• L••• M••••••••• L••
      • W•••••••• W•••••• H••••• · Manager And Chief Operating Officercontrol
        since 09/2017 · owns 25% to 50% of G••••••• L••• M••••••••• L••
      • D•••••••• J•••••• L••••••• · Manager And Chief Executive Officer
        since 09/2017 · owns less than 5%
      Entity owners
      • G••••••• L••• M••••••••• L•• · Sole Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Stamford, CT3 employees
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $1.0B to $977M
        Jul 8, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $1.0B to $977M
        Jul 8, 2020 to Mar 30, 2021
      • RAUM · $1.0B to $977M
        Jul 8, 2020 to Mar 30, 2021
      • Discretionary RAUM · $1.0B to $1.0B
        Aug 1, 2019 to Mar 31, 2020
      • Pooled vehicle RAUM · $1.0B to $1.0B
        Aug 1, 2019 to Mar 31, 2020
      • RAUM · $1.0B to $1.0B
        Aug 1, 2019 to Mar 31, 2020
      • Business name · D••••••••• C•••••• M••••••••• to G••••••• L••• M•••••••••
        Apr 8, 2019 to Aug 1, 2019
      • Private funds · 6 to 2
        Apr 8, 2019 to Aug 1, 2019
      • Related adviser · true to false
        Apr 8, 2019 to Aug 1, 2019
      • Accounts · 1 to 2
        Jun 25, 2018 to Apr 8, 2019
      • Advisory employees · 7 to 8
        Jun 25, 2018 to Apr 8, 2019
      • Pooled vehicle clients · 1 to 2
        Jun 25, 2018 to Apr 8, 2019
      • Private funds · 5 to 6
        Jun 25, 2018 to Apr 8, 2019
      • Discretionary RAUM · $601M to $1.0B
        Jun 25, 2018 to Apr 8, 2019
      • Pooled vehicle RAUM · $601M to $1.0B
        Jun 25, 2018 to Apr 8, 2019
      • RAUM · $601M to $1.0B
        Jun 25, 2018 to Apr 8, 2019
      • Business name · D••••••••• C•••••• M••••••••• P•• I••• to D••••••••• C•••••• M•••••••••
        Mar 31, 2018 to Jun 25, 2018
      • Accounts · 4 to 1
        Oct 7, 2017 to Mar 31, 2018
      • Advisory employees · 6 to 7
        Oct 7, 2017 to Mar 31, 2018
      • Pooled vehicle clients · unset to 1.0
        Oct 7, 2017 to Mar 31, 2018
      • Employees · 8 to 9
        Oct 7, 2017 to Mar 31, 2018
      • Private funds · 4 to 5
        Oct 7, 2017 to Mar 31, 2018
      • Discretionary RAUM · $757M to $601M
        Oct 7, 2017 to Mar 31, 2018
      • Pooled vehicle RAUM · unset to 601211000.0
        Oct 7, 2017 to Mar 31, 2018
      • RAUM · $757M to $601M
        Oct 7, 2017 to Mar 31, 2018
      • Business name · U••••••• C••••• A••••••• L•• to D••••••••• C•••••• M••••••••• P•• I•••
        May 8, 2017 to Oct 7, 2017
      • Other offices · unset to 1.0
        May 8, 2017 to Oct 7, 2017
      • Advisory employees · 3 to 6
        Feb 14, 2017 to May 8, 2017
      • Employees · 4 to 8
        Feb 14, 2017 to May 8, 2017
      • HQ city · NEW YORK to SAN JUAN
        Feb 14, 2017 to May 8, 2017
      • HQ state · NY to PR
        Feb 14, 2017 to May 8, 2017
      • Discretionary RAUM · $1.3B to $757M
        Feb 14, 2017 to May 8, 2017
      • RAUM · $1.3B to $757M
        Feb 14, 2017 to May 8, 2017
      • Advisory employees · 6 to 3
        Mar 14, 2016 to Feb 14, 2017
      • Employees · 9 to 4
        Mar 14, 2016 to Feb 14, 2017
      • Discretionary RAUM · $1.3B to $1.3B
        Mar 14, 2016 to Feb 14, 2017
      • RAUM · $1.3B to $1.3B
        Mar 14, 2016 to Feb 14, 2017
      • Accounts · 5 to 4
        Mar 26, 2015 to Mar 14, 2016
      • Private funds · 5 to 4
        Mar 26, 2015 to Mar 14, 2016
      • Discretionary RAUM · $1.5B to $1.3B
        Mar 26, 2015 to Mar 14, 2016
      Signals
      1 dated events
      • G••••••• L••• M••••••••• reported RAUM $1.0B, up 71% from $601.2M (2018-06-25 to 2019-04-08)
        Apr 8, 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