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•••••• B•• A•••••••• L•••
Latest filing Mar 29, 2018
First filing on the tape Mar 29, 2012 · 11 filings
RAUM
$12.1M
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
1
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$12.1M gross assets
History
11 filings and snapshots on the tape
RAUM$12.1M as of Mar 29, 2018
Mar 29, 2012$12.4M then
HNW client RAUM: $0
State-registered IARs (5.B.3)1 as of Mar 29, 2018
Apr 1, 20130 then
Employees (5.A)1 as of Mar 29, 2018
Apr 1, 20130 then
Private funds1 as of Mar 29, 2018
Mar 29, 20121 then
RAUM -11% over the last fiscal year-15% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 29, 2018; every figure names its basis
- RAUM per advisor
- $12.1MderivedRAUM 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
- $12.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%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
- Custody
- $12.1M, 1 clientsreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$12.1M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $12.1M for 1 clientsreported
- 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•••••• B•• L••••••••• C••••• M••••• F•••• L••• | Hedge Fund | $12.1M | 6 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• J••••• D•••• · L•••••• Partnercontrolsince 07/2010 · owns 25% to 50%
- O••••• M•••• K•••••• · President / L•••••• Partnercontrolsince 07/2010 · owns 50% to 75%
- P•••••• L••• B•••••••• · Secretarycontrolsince 02/2012 · owns less than 5%
- W••••••••• F••••• G••••• · Treasurercontrolsince 06/2014 · owns less than 5%
- O••••• M•••• K•••••• · Membercontrolsince 07/2010 · owns 75% or more of G•••••• B•• A••••••• G•• L••
- S••••••• T•••••• J••••• · Chief Compliance Officersince 10/2011 · owns less than 5%
Entity owners
- G•••••• B•• A••••••• G•• L•• · G•••••• Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- A••• C•••••• M••••••••• L•••investment adviserbankpooled vehicle sponsornRAUM $2.8M
- A••• C•• M••••••••• G•• L••pooled vehicle sponsorn
- A••• F•••••• G•• L•••pooled vehicle sponsorn
- B•••••• S•••••••• C••••• P••••••• I• G•• L••pooled vehicle sponsorn
- B•••••• S•••••••• C••••• P••••••• I• S•• G•• L••pooled vehicle sponsorn
- F••••• E• • P• O••••••••• G•• L••investment adviserbankpooled vehicle sponsornRAUM $74.1M
- G••••••••• R•• L••real estaten
- G•••••• B•• L••••••••• C••••• G•• L••pooled vehicle sponsorn
- H••••••• C•••••• F•••• D••••••••• I•••broker-dealern
- H••••••• C•••••• H••••••••• A•••••••• L•••investment adviserbanknRAUM $26.0M
- H••••••• C•••••• L••• G•• L••pooled vehicle sponsorn
- N••••••• Asset Management, L.P.investment adviserbanknRAUM $2.8B
- H••••••• C•••••• M••••••••• K•••• L••••••pooled vehicle sponsorn
- H••••••• C•••••• M••••••••• L•••investment adviserbankpooled vehicle sponsornRAUM $127M
- H••••••• G•••••• P••••••• L•••pooled vehicle sponsorn
- H••••••• M•••• S••••••• C••••• F••• G•• L•••pooled vehicle sponsorn
- H••••••• R••••••••• C•••••• P••••••• G•• L••pooled vehicle sponsorn
- N•••••• W••••• A•••••••broker-dealerinvestment adviserinvestment companynRAUM $882,487
- N•••••• S••custodiann
- N•••••• T••••• I•••real estaten
- N••••••• A•••••••• L•••investment adviserbanknRAUM $131M
- N••••••• H••••••••• T••••• I•••n
- N••••••• M•••• F••••• C•••••• T••••• I•••n
- N••••••• R• F•••••• A•••••• G•• L••pooled vehicle sponsorn
- N••••••• R••• E••••• A••••••• G•• L••pooled vehicle sponsorn
- N••••••• R••• E••••• A••••••• I•• L•••broker-dealerinvestment adviserbankinvestment companypooled vehicle sponsorreal estatenRAUM $47.0M
- N••••••• R••• E••••• A•••••••• L•••investment advisernRAUM $976M
- S•••••••• G•• L••pooled vehicle sponsorn
Advisers that list G•••••• B•• A•••••••• L••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Charity clients · unset to 0.0Mar 30, 2017 to Mar 29, 2018
- Corporate clients · unset to 0.0Mar 30, 2017 to Mar 29, 2018
- HNW clients · unset to 0.0Mar 30, 2017 to Mar 29, 2018
- Individual clients · unset to 0.0Mar 30, 2017 to Mar 29, 2018
- Pension plan clients · unset to 0.0Mar 30, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 1.0Mar 30, 2017 to Mar 29, 2018
- Assets in custody · $13.5M to $12.1MMar 30, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Mar 30, 2017 to Mar 29, 2018
- Discretionary RAUM · $13.5M to $12.1MMar 30, 2017 to Mar 29, 2018
- HNW RAUM · unset to 0.0Mar 30, 2017 to Mar 29, 2018
- Individual RAUM · unset to 0.0Mar 30, 2017 to Mar 29, 2018
- Pension RAUM · unset to 0.0Mar 30, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 12105000.0Mar 30, 2017 to Mar 29, 2018
- RAUM · $13.5M to $12.1MMar 30, 2017 to Mar 29, 2018
- Assets in custody · $16.4M to $13.5MMar 28, 2016 to Mar 30, 2017
- Employees · 0 to 1Mar 28, 2016 to Mar 30, 2017
- State-registered IARs · 0 to 1Mar 28, 2016 to Mar 30, 2017
- Discretionary RAUM · $16.4M to $13.5MMar 28, 2016 to Mar 30, 2017
- RAUM · $16.4M to $13.5MMar 28, 2016 to Mar 30, 2017
- Assets in custody · $19.7M to $16.4MAug 27, 2015 to Mar 28, 2016
- Discretionary RAUM · $19.7M to $16.4MAug 27, 2015 to Mar 28, 2016
- RAUM · $19.7M to $16.4MAug 27, 2015 to Mar 28, 2016
- Assets in custody · $18.3M to $19.7MMar 31, 2014 to Mar 31, 2015
- Discretionary RAUM · $18.3M to $19.7MMar 31, 2014 to Mar 31, 2015
- RAUM · $18.3M to $19.7MMar 31, 2014 to Mar 31, 2015
- Related bank · false to trueMar 31, 2014 to Mar 31, 2015
- Assets in custody · $31.3M to $18.3MApr 18, 2013 to Mar 31, 2014
- Discretionary RAUM · $31.3M to $18.3MApr 18, 2013 to Mar 31, 2014
- RAUM · $31.3M to $18.3MApr 18, 2013 to Mar 31, 2014
- Advisory employees · unset to 0.0May 14, 2012 to Apr 1, 2013
- Assets in custody · $29.7M to $31.3MMay 14, 2012 to Apr 1, 2013
- Employees · unset to 0.0May 14, 2012 to Apr 1, 2013
- State-registered IARs · unset to 0.0May 14, 2012 to Apr 1, 2013
- Discretionary RAUM · $29.7M to $31.3MMay 14, 2012 to Apr 1, 2013
- RAUM · $29.7M to $31.3MMay 14, 2012 to Apr 1, 2013
- Assets in custody · $12.4M to $29.7MMar 29, 2012 to May 14, 2012
- Discretionary RAUM · $12.4M to $29.7MMar 29, 2012 to May 14, 2012
- RAUM · $12.4M to $29.7MMar 29, 2012 to May 14, 2012
Signals
No event on the tape.
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