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•• P•••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 151207SEC 801-70518websiteIAPD
Latest filing Mar 16, 2026
First filing on the tape Mar 30, 2012 · 25 filings
SEC status approved since Sep 9, 2009
RAUM
$1.1B
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
10
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$1.1B as of Mar 16, 2026
Mar 30, 2012$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 16, 2026
Mar 30, 20120 then
Employees (5.A)10 as of Mar 16, 2026
Mar 28, 201311 then
Private funds1 as of Mar 28, 2017
Mar 30, 20121 then
RAUM +7.5% over the last fiscal year-22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 16, 2026; 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
$62.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
72%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
+7.5%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
  • 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)
  • 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
  • State and municipal entities$763M99%
  • Corporations and businesses$10.6M1.4%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
17reported
Financial planning clients
reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G•• G••••• H••• Y•••• F••• L•••no longer reportedOther Private Fund$18,0001Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• E••••••• L••• · Chief Investment Officercontrol
        since 07/2009 · owns 50% to 75%
      • E••••• D••••• T• · Managing Directorcontrol
        since 07/2009 · owns 10% to 25%
      • T•••• H•••••• · Managing Directorcontrol
        since 07/2009 · owns 10% to 25%
      • T••••• A•••••• K• · Managing Director & Deputy Ciocontrol
        since 07/2009 · owns 10% to 25%
      • V••••••••• O••••••• V•••••••• L••• · Chief Compliance Officer & Chief Operating Officercontrol
        since 07/2009 · owns less than 5%
      • E••••••• M••••• · Director, Anaylst/Manager
        since 01/2020 · owns less than 5%
      • K•••••••• A••••• · Director, Analyst/Manager
        since 02/2019 · owns less than 5%
      • W•••• A•••••• B•••••• · Director, Institutional Relationships
        since 09/2014 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list G•• P•••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $985M to $1.1B
        Mar 18, 2025 to Mar 16, 2026
      • RAUM · $985M to $1.1B
        Mar 18, 2025 to Mar 16, 2026
      • Accounts · 19 to 17
        Mar 28, 2024 to Mar 18, 2025
      • Advisory employees · 6 to 5
        Mar 28, 2024 to Mar 18, 2025
      • Pension plan clients · 3.0 to unset
        Mar 28, 2024 to Mar 18, 2025
      • Employees · 11 to 10
        Mar 28, 2024 to Mar 18, 2025
      • Financial planning clients · unset to
        Mar 28, 2024 to Mar 18, 2025
      • Discretionary RAUM · $1.6B to $985M
        Mar 28, 2024 to Mar 18, 2025
      • Pension RAUM · 673072482.0 to unset
        Mar 28, 2024 to Mar 18, 2025
      • RAUM · $1.6B to $985M
        Mar 28, 2024 to Mar 18, 2025
      • Accounts · 20 to 19
        Feb 8, 2024 to Mar 28, 2024
      • Pension plan clients · 6 to 3
        Feb 8, 2024 to Mar 28, 2024
      • Employees · 13 to 11
        Feb 8, 2024 to Mar 28, 2024
      • Discretionary RAUM · $2.3B to $1.6B
        Feb 8, 2024 to Mar 28, 2024
      • Pension RAUM · $1.4B to $673M
        Feb 8, 2024 to Mar 28, 2024
      • RAUM · $2.3B to $1.6B
        Feb 8, 2024 to Mar 28, 2024
      • Related adviser · true to false
        Feb 8, 2024 to Mar 28, 2024
      • Related bank · true to false
        Feb 8, 2024 to Mar 28, 2024
      • Accounts · 17 to 20
        Jan 10, 2023 to Mar 17, 2023
      • Discretionary RAUM · $2.5B to $2.3B
        Jan 10, 2023 to Mar 17, 2023
      • Pension RAUM · $1.6B to $1.4B
        Jan 10, 2023 to Mar 17, 2023
      • RAUM · $2.5B to $2.3B
        Jan 10, 2023 to Mar 17, 2023
      • Accounts · 18 to 17
        Apr 12, 2021 to Mar 30, 2022
      • Discretionary RAUM · $2.4B to $2.5B
        Apr 12, 2021 to Mar 30, 2022
      • Pension RAUM · $1.6B to $1.6B
        Apr 12, 2021 to Mar 30, 2022
      • RAUM · $2.4B to $2.5B
        Apr 12, 2021 to Mar 30, 2022
      • Accounts · 21 to 18
        Jan 4, 2021 to Mar 19, 2021
      • Pension plan clients · 7 to 6
        Jan 4, 2021 to Mar 19, 2021
      • Discretionary RAUM · $1.9B to $2.4B
        Jan 4, 2021 to Mar 19, 2021
      • Pension RAUM · $1.1B to $1.6B
        Jan 4, 2021 to Mar 19, 2021
      • RAUM · $1.9B to $2.4B
        Jan 4, 2021 to Mar 19, 2021
      • Related adviser · false to true
        Jan 4, 2021 to Mar 19, 2021
      • Related bank · false to true
        Jan 4, 2021 to Mar 19, 2021
      • State-registered IARs · 1 to 0
        Aug 3, 2020 to Dec 24, 2020
      • Accounts · 23 to 21
        Mar 27, 2019 to Mar 19, 2020
      • Advisory employees · 7 to 6
        Mar 27, 2019 to Mar 19, 2020
      • Pension plan clients · 9 to 7
        Mar 27, 2019 to Mar 19, 2020
      • Employees · 14 to 13
        Mar 27, 2019 to Mar 19, 2020
      • Discretionary RAUM · $2.3B to $1.9B
        Mar 27, 2019 to Mar 19, 2020
      • Pension RAUM · $1.6B to $1.1B
        Mar 27, 2019 to Mar 19, 2020
      Signals
      13 dated events
      • G•• P•••••••• L••• no longer on the SEC adviser roster (last listed 2026-08-03, RAUM $1.1B)
        Sep 1, 2026 · Left the SEC roster · derived
      • G•• P•••••••• L••• reported RAUM $984.7M, down 40% from $1.6B (2024-03-28 to 2025-03-18)
        Mar 18, 2025 · RAUM change · derived
      • G•• P•••••••• L••• reported RAUM $1.6B, down 28% from $2.3B (2024-02-08 to 2024-03-28)
        Mar 28, 2024 · RAUM change · derived
      • Thomas John Hailer (Member/Manager) no longer on Schedule A of G•• P•••••••• L••• (listed 2024-02-08, absent 2024-03-28)
        Mar 28, 2024 · Control person left · inference
      • James Christopher Maguire (Member) no longer on Schedule A of G•• P•••••••• L••• (listed 2024-02-08, absent 2024-03-28)
        Mar 28, 2024 · Control person left · inference
      • Arthur Ross Michael Wilson (Member) no longer on Schedule A of G•• P•••••••• L••• (listed 2024-02-08, absent 2024-03-28)
        Mar 28, 2024 · Control person left · inference
      • Albert Charles Brizius (Member/Manager) no longer on Schedule A of G•• P•••••••• L••• (listed 2024-02-08, absent 2024-03-28)
        Mar 28, 2024 · Control person left · inference
      • G•• P•••••••• L••• reported RAUM $2.4B, up 28% from $1.9B (2021-01-04 to 2021-03-19)
        Mar 19, 2021 · RAUM change · derived
      • James Christopher Maguire (Member) appeared on Schedule A of G•• P•••••••• L•••
        Dec 24, 2020 · Control person joined · fact
      • Thomas John Hailer (Member/Manager) appeared on Schedule A of G•• P•••••••• L•••
        Dec 24, 2020 · Control person joined · fact
      • Arthur Ross Michael Wilson (Member) appeared on Schedule A of G•• P•••••••• L•••
        Dec 24, 2020 · Control person joined · fact
      • Albert Charles Brizius (Member/Manager) appeared on Schedule A of G•• P•••••••• L•••
        Dec 24, 2020 · Control person joined · fact
      • Hamilton Hadden (Managing Director) no longer on Schedule A of G•• P•••••••• L••• (listed 2019-03-27, absent 2020-03-19)
        Mar 19, 2020 · Control person left · inference
      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