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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SEC-registered adviser
G•••••••• I•••••••• L••
Latest filing Jul 14, 2026
First filing on the tape Mar 30, 2018 · 14 filings
SEC status approved since Apr 27, 2018
RAUM
$180M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
4.2%
$7.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$180M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
10
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$180M as of Jul 14, 2026
May 4, 2018$34.2M then
HNW client RAUM$5.3M as of Jul 14, 2026
May 4, 2018$455,703 then
State-registered IARs (5.B.3)1 as of Jul 14, 2026
May 4, 20181 then
Employees (5.A)4 as of Jul 14, 2026
May 4, 20183 then
Private funds10 as of Jul 14, 2026
May 4, 20183 then
RAUM +54% over the last fiscal year+31% a year over threeIARs 1 to 1offices 0 to 1
Practice profile
derived from the filing of Jul 14, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $180MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $750,333derivedHNW RAUM over HNW clients
- Average account
- $4.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +54%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$168M94%
- High-net-worth individuals$5.3M2.9%
- Corporations and businesses$2.5M1.4%
- Individuals$2.3M1.3%
- Individual clients
- 23reported
- HNW clients
- 7reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 43reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.04 fund_share=0.94 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• D••••• W•••Chartered Financial Analyst | New York, Ny | Apr 15, 2011 | 15 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•••••••• B••••••• F••• I• L• | Hedge Fund | $39.0M | 39 | Mar 30, 2018 |
| G•••••••• B••••••• F••• I• L• | Hedge Fund | $22.7M | 24 | Aug 5, 2021 |
| G•••••••• O••••••• B••••••• F••• I• | Hedge Fund | $18.3M | 10 | Mar 30, 2018 |
| G•••••••• G••••• M•••• F•••• L• | Hedge Fund | $3.9M | 23 | Mar 30, 2018 |
| G•••••••• O••••••• B••••••• F••• I• | Hedge Fund | $3.1M | 9 | Aug 5, 2021 |
| A••••••••• F••• S•••• S•••• • R••• • G•• G••••• F••• | Hedge Fund | $1.4M | 13 | Mar 16, 2021 |
| G•••••••• G••••• F••• | Hedge Fund | $304,884 | 4 | Mar 21, 2019 |
| G•••••••• B••••••• F••• I•• L• | Hedge Fund | $296,652 | 4 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- W•••• S•••••• D••••• · Managing Membercontrolsince 09/2010 · owns 75% or more
- C••••••• G•••• · Silent Membersince 01/2014 · owns 5% to 10%
- C••••••• J•••••• E••••• · Silent Membersince 01/2014 · owns 5% to 10%
- G•••••• K••••••••• · Chief Compliance Officersince 03/2020 · owns less than 5%
- T•••••• C••••••••• · Membersince 01/2020 · owns less than 5%
Related persons
Schedule D 7.A
- G•••••••• B••••••• F••• I• L•pooled vehicle sponsory
- G•••••••• B••••••• F••• I• L•pooled vehicle sponsory
- G•••••••• B••••••• F••• I•• L•pooled vehicle sponsory
- G•••••••• G••••• M•••• F•••• L•pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $116,493,122 to $179,785,599 (+54.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +4.0% (1147 comparable advisers, 92.0th percentile of changes)peers: asset managers, $100M to $500M (1,147) · 92% percentile
What changed
consecutive filings, newest first
- Accounts · 37 to 43Dec 23, 2025 to Mar 31, 2026
- Advisory employees · 3 to 2Dec 23, 2025 to Mar 31, 2026
- HNW clients · 6 to 7Dec 23, 2025 to Mar 31, 2026
- Individual clients · 24 to 23Dec 23, 2025 to Mar 31, 2026
- Other offices · 0 to 1Dec 23, 2025 to Mar 31, 2026
- Private funds · 11 to 10Dec 23, 2025 to Mar 31, 2026
- Discretionary RAUM · $115M to $176MDec 23, 2025 to Mar 31, 2026
- HNW RAUM · $2.3M to $5.3MDec 23, 2025 to Mar 31, 2026
- Individual RAUM · $1.6M to $2.3MDec 23, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $1.6M to $3.9MDec 23, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $111M to $168MDec 23, 2025 to Mar 31, 2026
- RAUM · $116M to $180MDec 23, 2025 to Mar 31, 2026
- Private funds · 9 to 11Mar 31, 2025 to Dec 23, 2025
- Accounts · 38 to 37Mar 31, 2024 to Mar 31, 2025
- Individual clients · 25 to 24Mar 31, 2024 to Mar 31, 2025
- Pooled vehicle clients · 4 to 5Mar 31, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 31, 2024 to Mar 31, 2025
- Private funds · 7 to 9Mar 31, 2024 to Mar 31, 2025
- Discretionary RAUM · $69.2M to $115MMar 31, 2024 to Mar 31, 2025
- HNW RAUM · $2.0M to $2.3MMar 31, 2024 to Mar 31, 2025
- Individual RAUM · $1.2M to $1.6MMar 31, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $1.4M to $1.6MMar 31, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $65.9M to $111MMar 31, 2024 to Mar 31, 2025
- RAUM · $70.6M to $116MMar 31, 2024 to Mar 31, 2025
- Accounts · 42 to 38Mar 31, 2023 to Mar 31, 2024
- Advisory employees · 2 to 3Mar 31, 2023 to Mar 31, 2024
- Advisory activities · 4 to 3Mar 31, 2023 to Mar 31, 2024
- HNW clients · 8 to 6Mar 31, 2023 to Mar 31, 2024
- Individual clients · 24 to 25Mar 31, 2023 to Mar 31, 2024
- Pooled vehicle clients · 5 to 4Mar 31, 2023 to Mar 31, 2024
- Employees · 3 to 4Mar 31, 2023 to Mar 31, 2024
- Private funds · 8 to 7Mar 31, 2023 to Mar 31, 2024
- Discretionary RAUM · $63.5M to $69.2MMar 31, 2023 to Mar 31, 2024
- HNW RAUM · $1.8M to $2.0MMar 31, 2023 to Mar 31, 2024
- Individual RAUM · $1.0M to $1.2MMar 31, 2023 to Mar 31, 2024
- Non-discretionary RAUM · $16.4M to $1.4MMar 31, 2023 to Mar 31, 2024
- Pooled vehicle RAUM · $60.3M to $65.9MMar 31, 2023 to Mar 31, 2024
- RAUM · $79.9M to $70.6MMar 31, 2023 to Mar 31, 2024
- Accounts · 45 to 42Mar 31, 2022 to Mar 31, 2023
- Corporate clients · 5.0 to unsetMar 31, 2022 to Mar 31, 2023
Signals
1 dated events
- G•••••••• I•••••••• L•• filed its initial SEC registration (Form ADV)Mar 30, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- w••.g•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-920-4207reportedpublic record, Form ADV, Jul 14, 2026
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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $180Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026