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

B••••••••• C•••••• P••••••• G• I• L••

Former SEC-registered adviserChicago, IllinoisCRD 152971SEC 801-71130IAPD
Latest filing Mar 26, 2020
First filing on the tape Mar 27, 2012 · 11 filings
RAUM
$105M
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$105M gross assets
History
11 filings and snapshots on the tape
RAUM$105M as of Mar 26, 2020
Mar 27, 2012$105M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 26, 2020
Mar 27, 20120 then
Employees (5.A)2 as of Mar 26, 2020
Mar 7, 20135 then
Private funds1 as of Mar 26, 2020
Mar 27, 20121 then
RAUM +0.0% over the last fiscal year+0.0% a year over threeIARs 1 to 1offices 1 to 0
Practice profile
derived from the filing of Mar 26, 2020; every figure names its basis
RAUM per advisor
$105MderivedRAUM 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
$105MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 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)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$105M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    B••••••••• C•••••• P••••••• F••• I• L•••Venture Capital Fund$105M2Mar 27, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • P•••••••• G••••••• A•••• · Chief Compliance Officercontrol
      since 01/2010 · owns less than 5%
    • O•••••• J•••• W•••••• · Managing Membercontrol
      since 04/2008 · owns 75% or more of J•• I••••••••• L••
    • P•••••••• G••••••• A•••• · Managing Membercontrol
      since 08/2009 · owns 50% to 75% of G•••••, LLC
    • V•• D•••••• G•••••• N••••••• · Managing Membercontrol
      since 08/2009 · owns 50% to 75% of G•••••••••
    Entity owners
    • G••••••••• · Managing Member
      direct · owns 50% to 75%
    • J•• I••••••••• L•• · Managing Member
      direct · owns 50% to 75%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Custody of client assets · true to false
      Feb 28, 2019 to Mar 26, 2020
    • Other offices · 1 to 0
      Feb 28, 2019 to Mar 26, 2020
    • Advisory employees · 3 to 1
      Feb 28, 2018 to Feb 28, 2019
    • BD registered reps · 5 to 2
      Feb 28, 2018 to Feb 28, 2019
    • Employees · 5 to 2
      Feb 28, 2018 to Feb 28, 2019
    • Other offices · unset to 1.0
      Mar 13, 2017 to Feb 28, 2018
    • HQ city · SKOKIE to CHICAGO
      Mar 7, 2013 to Oct 28, 2013
    • Advisory employees · unset to 3.0
      Mar 27, 2012 to Mar 7, 2013
    • BD registered reps · unset to 5.0
      Mar 27, 2012 to Mar 7, 2013
    • Employees · unset to 5.0
      Mar 27, 2012 to Mar 7, 2013
    • State-registered IARs · 0 to 1
      Mar 27, 2012 to Mar 7, 2013
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    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