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••••••• I••••••••• A•••••• L•••••

Former SEC-registered adviserEnglewood, New JerseyCRD 152525SEC 801-71024IAPD
Latest filing Mar 31, 2019
First filing on the tape Mar 30, 2012 · 16 filings
RAUM
$147M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.8%
$1.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$145M gross assets
History
16 filings and snapshots on the tape
RAUM$147M as of Mar 31, 2019
Mar 30, 2012$195M then
HNW client RAUM$1.2M as of Mar 31, 2019
Mar 29, 2018$3.7M then
State-registered IARs (5.B.3)0 as of Mar 31, 2019
Apr 1, 20130 then
Employees (5.A)5 as of Mar 31, 2019
Apr 1, 20137 then
Private funds2 as of Mar 31, 2019
Mar 30, 20122 then
RAUM -65% over the last fiscal year-27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2019; 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
$593,629derivedHNW RAUM over HNW clients
Average account
$24.4MderivedRAUM 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
-65%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
  • 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)
  • 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$145M99%
  • High-net-worth individuals$1.2M0.8%
Individual clients
n/areported
HNW clients
2reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G••••••• H••••• V•••• ••••••• F••• L•••••no longer reportedHedge Fund$147M167Mar 30, 2012
      G••••••• H••••• V•••• ••••••• F••• L•••••Hedge Fund$66.2M72Mar 28, 2014
      G••••••• E••••••• A•••• F••• L•••no longer reportedHedge Fund$19.8M57Mar 30, 2012
      G••••••• E••••••• A•••• F••• L•••Hedge Fund$11.0M33Mar 28, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• T•••••• F•••••• · Director Of Trading Operationscontrol
        since 01/2017 · owns less than 5%
      • I••••• W••••••• J••••• · Chief Executive Officer And Chief Compliance Officercontrol
        since 01/2019 · owns less than 5%
      • M••••••••• A•••• S•••••• · Chief Financial Officercontrol
        since 03/2007 · owns less than 5%
      • S•••••••• A•••• L•• · President And Chief Investment Officercontrol
        since 01/2018 · owns less than 5%
      • C••••••••• T•••••• F•••••• · Principal Membercontrol
        since 12/2016 · owns F of G••••••• G•••• H••••••• L•••••
      • I••••• W••••••• J••••• · Principal Membercontrol
        since 12/2016 · owns F of G••••••• G•••• H••••••• L•••••
      • M••••••••• A•••• S•••••• · Principal Membercontrol
        since 01/2010 · owns F of G••••••• G•••• H••••••• L•••••
      • M•••••• P••••••• S•••••• · Principal Membercontrol
        since 01/2010 · owns F of G••••••• G•••• H••••••• L•••••
      • S•••••••• A•••• L•• · Principal Membercontrol
        since 01/2010 · owns F of G••••••• G•••• H••••••• L•••••
      Entity owners
      • G••••••• G•••• H••••••• L••••• · Managing Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • G••••••• A•••• M••••••••• L•••••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 13 to 6
        Mar 29, 2018 to Mar 31, 2019
      • Advisory employees · 10 to 5
        Mar 29, 2018 to Mar 31, 2019
      • Advisory activities · 4 to 2
        Mar 29, 2018 to Mar 31, 2019
      • Charity clients · 1.0 to unset
        Mar 29, 2018 to Mar 31, 2019
      • HNW clients · 1 to 2
        Mar 29, 2018 to Mar 31, 2019
      • Pension plan clients · 1.0 to unset
        Mar 29, 2018 to Mar 31, 2019
      • Pooled vehicle clients · 5 to 4
        Mar 29, 2018 to Mar 31, 2019
      • Employees · 10 to 5
        Mar 29, 2018 to Mar 31, 2019
      • Discretionary RAUM · $419M to $147M
        Mar 29, 2018 to Mar 31, 2019
      • HNW RAUM · $3.7M to $1.2M
        Mar 29, 2018 to Mar 31, 2019
      • Pension RAUM · 102124122.0 to unset
        Mar 29, 2018 to Mar 31, 2019
      • Pooled vehicle RAUM · $244M to $145M
        Mar 29, 2018 to Mar 31, 2019
      • RAUM · $419M to $147M
        Mar 29, 2018 to Mar 31, 2019
      • Accounts · 8 to 13
        Jul 14, 2017 to Mar 29, 2018
      • Advisory employees · 5 to 10
        Jul 14, 2017 to Mar 29, 2018
      • Charity clients · unset to 1.0
        Jul 14, 2017 to Mar 29, 2018
      • HNW clients · unset to 1.0
        Jul 14, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 1.0
        Jul 14, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 5.0
        Jul 14, 2017 to Mar 29, 2018
      • Assets in custody · 195109442.0 to unset
        Jul 14, 2017 to Mar 29, 2018
      • Custody of client assets · true to false
        Jul 14, 2017 to Mar 29, 2018
      • Employees · 14 to 10
        Jul 14, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Jul 14, 2017 to Mar 29, 2018
      • Discretionary RAUM · $317M to $419M
        Jul 14, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 3699462.0
        Jul 14, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 102124122.0
        Jul 14, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 243760951.0
        Jul 14, 2017 to Mar 29, 2018
      • RAUM · $317M to $419M
        Jul 14, 2017 to Mar 29, 2018
      • Related adviser · true to false
        Jul 14, 2017 to Mar 29, 2018
      • Accounts · 7 to 8
        Apr 13, 2016 to Mar 29, 2017
      • BD registered reps · 1 to 0
        Apr 13, 2016 to Mar 29, 2017
      • Assets in custody · $166M to $195M
        Apr 13, 2016 to Mar 29, 2017
      • Discretionary RAUM · $375M to $317M
        Apr 13, 2016 to Mar 29, 2017
      • RAUM · $375M to $317M
        Apr 13, 2016 to Mar 29, 2017
      • Related broker-dealer · true to false
        Apr 13, 2016 to Mar 29, 2017
      • Accounts · 5 to 7
        Aug 24, 2015 to Mar 30, 2016
      • Advisory employees · 3 to 5
        Aug 24, 2015 to Mar 30, 2016
      • Assets in custody · $187M to $166M
        Aug 24, 2015 to Mar 30, 2016
      • Discretionary RAUM · $411M to $375M
        Aug 24, 2015 to Mar 30, 2016
      • RAUM · $411M to $375M
        Aug 24, 2015 to Mar 30, 2016
      Signals
      3 dated events
      • Benjamin Joshua Parker (Co-Chief Executive Officer) no longer on Schedule A of G••••••• I••••••••• A•••••• L••••• (listed 2018-03-29, absent 2019-03-31)
        Mar 31, 2019 · Control person left · inference
      • G••••••• I••••••••• A•••••• L••••• reported RAUM $146.5M, down 65% from $418.7M (2018-03-29 to 2019-03-31)
        Mar 31, 2019 · RAUM change · derived
      • G••••••• I••••••••• A•••••• L••••• reported RAUM $418.7M, up 32% from $316.7M (2017-07-14 to 2018-03-29)
        Mar 29, 2018 · 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