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••••••••• G•••• L•
Latest filing Mar 25, 2024
First filing on the tape Mar 30, 2012 · 41 filings
RAUM
$195M
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
7
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
9
$195M gross assets
History
41 filings and snapshots on the tape
RAUM$195M as of Mar 25, 2024
Mar 30, 2012$2.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2024
Mar 30, 20120 then
Employees (5.A)7 as of Mar 25, 2024
Feb 28, 201357 then
Private funds9 as of Mar 25, 2024
Mar 30, 201218 then
RAUM -79% over the last fiscal year-52% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2024; 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
- $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
- -79%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
- Custody
- yesreportedItem 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
- 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$195M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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
39 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G••••••• M•• C•• 2••••• L•no longer reported | Securitized Asset Fund | $362M | 4 | Mar 2, 2020 |
| G••••••• F•••••• 2••••• L•no longer reported | Securitized Asset Fund | $356M | 4 | Mar 29, 2018 |
| G••••••• R••• E••••• F••• I•• L• | Hedge Fund | $89.8M | 29 | Mar 31, 2014 |
| G••••••• R••• E••••• F••• I• L• | Hedge Fund | $46.0M | 35 | Mar 30, 2012 |
| G••••••• O••••••••• F••• I• A• L•• | Hedge Fund | $43.0M | 10 | Mar 31, 2014 |
| G•• F••• B••••••• L•no longer reported | Hedge Fund | $37.5M | 1 | Jul 26, 2019 |
| G••••••• O••••••••• M••••• F••• I•• B• L•••no longer reported | Hedge Fund | $34.1M | 18 | Mar 30, 2012 |
| G••••••• R••• E••••• F••• L•no longer reported | Hedge Fund | $25.2M | 2 | Mar 30, 2012 |
| G••••••• C• F•••••••• A••••• F••• L••no longer reported | Hedge Fund | $23.2M | 4 | Mar 30, 2012 |
| G••••••• O••••••••• F••• I• A• L•• | Hedge Fund | $23.1M | 42 | Mar 30, 2012 |
| G••••••• O••••••••• F••• I•• A• L•• | Hedge Fund | $22.8M | 23 | Mar 30, 2012 |
| G••••••• E••••••• R••• E••••• L•••••• F••• I• L•• | Hedge Fund | $22.1M | 2 | Mar 29, 2018 |
| G••••••• R••• E••••• F••• A•• L•no longer reported | Real Estate Fund | $15.2M | 4 | Mar 30, 2012 |
| G••••••• A•••• C••••••••• F••• L• | Hedge Fund | $12.6M | 1 | Nov 29, 2016 |
| G••••••• S• S•••••••• I••••••••• L• | Hedge Fund | $12.4M | 1 | May 11, 2015 |
| G••••••• L••••• F•••••• L•no longer reported | Hedge Fund | $11.9M | 1 | Jul 26, 2019 |
| G••••••• O••••••••• M•• C•••••••• L••no longer reported | Hedge Fund | $11.4M | 1 | Nov 19, 2014 |
| G••••••• B••••••• F•••••• L• | Hedge Fund | $8.1M | 1 | Nov 29, 2016 |
| G••••••• P•••••• C•••••••• L•no longer reported | Hedge Fund | $5.1M | 6 | Mar 31, 2014 |
| G••••••• R••• E••••• F••• I• A• L• | Hedge Fund | $4.6M | 3 | Mar 30, 2012 |
| G••••••• R••• E••••• F••• I• B• L• | Hedge Fund | $4.2M | 1 | Mar 30, 2012 |
| F•••••••• O••••••• M••••• F••• I• L•••no longer reported | Hedge Fund | $3.5M | 1 | Mar 30, 2012 |
| G••••••• O••••••••• F••• I• B• A•• L• | Hedge Fund | $3.1M | 7 | Feb 20, 2015 |
| F•••••••• O••••••• M••••• F••• L•••no longer reported | Hedge Fund | $1.8M | 1 | Mar 30, 2012 |
| G••• I•• C•••••••• L• | Hedge Fund | $1.8M | 2 | Feb 20, 2015 |
| E••••• O••••••••• D••••••••• R••• E••••• F••• L•no longer reported | Real Estate Fund | $1.6M | 68 | Dec 2, 2013 |
| G••••••• S•••••• O••••••••• F••• L•no longer reported | Hedge Fund | $735,081 | 56 | Mar 30, 2012 |
| G••••••• F•••••••• A••••• F••• L••no longer reported | Hedge Fund | $542,517 | 5 | Mar 30, 2012 |
| G••••••• H•••••••• C•••••••• L• | Hedge Fund | $348,548 | 1 | Feb 20, 2015 |
| G••••••• O••••••••• C•• C•••••••• L••no longer reported | Hedge Fund | $247,557 | 1 | Nov 19, 2014 |
| G••••••• S•••••• O••••••••• I••••••••• F••• L•no longer reported | Hedge Fund | $155,506 | 4 | Mar 30, 2012 |
| G••••••• C••••••••• F•••••• I• C•••••••• L••no longer reported | Hedge Fund | $106,254 | 12 | Mar 30, 2012 |
| G••••••• C••••• O••••••••• H••••••• L•••no longer reported | Hedge Fund | $38,633 | 16 | Mar 30, 2012 |
| G••••••• E•••••••• C•••••••• L•no longer reported | Hedge Fund | $6,992 | 1 | Feb 20, 2015 |
| G••••••• O••••••••• F••• L•• | Hedge Fund | $0 | 17 | Mar 30, 2012 |
| G••••••• M•• C••••••••• F••• L• | Hedge Fund | $0 | 1 | Mar 31, 2017 |
| G••••••• O••••••••• M••••• F••• I• C• L••• | Hedge Fund | $0 | 20 | Mar 30, 2012 |
| G••••••• O••••••••• F••• I• B• L• | Hedge Fund | $0 | 7 | Mar 31, 2021 |
| G••••••• O••••••••• M••••• F••• I• B• L• | Hedge Fund | $0 | 7 | Feb 20, 2015 |
Owners and control persons
Schedule A and B, latest filing
- T•••••• J•••••• B• · Partner/Presidentcontrolsince 05/2007 · owns 75% or more
- T•••••• K••••• J••••• · Cfo/Coocontrolsince 03/2020 · owns less than 5%
- T•••••• J•••••• B• · Membercontrolsince 05/2007 · owns 75% or more of G•• G• L••
- W•••••• L•••• A•• · Ccosince 11/2022 · owns less than 5%
Entity owners
- G•• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- G••••••• E••••••• R••• E••••• L•••••• F••• I• M• L••pooled vehicle sponsorn
- G••••••• O••••••••• F••• I•• A• M• L••pooled vehicle sponsorn
- G••••••• O••••••••• F••• I• A• M• L••pooled vehicle sponsorn
- G••••••• O••••••••• F••• I• B• A•• G• L••pooled vehicle sponsorn
- G••••••• O••••••••• F••• I• B• G• L••pooled vehicle sponsorn
- G••••••• R••• E••••• F••• I•• G• L••pooled vehicle sponsorn
- G••••••• S• S•••••••• I••••••••• G• L••pooled vehicle sponsorn
- G••• I•• C•••••••• G• L••pooled vehicle sponsorn
Advisers that list G••••••• I••••••••• G•••• L• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 34 to 8Mar 30, 2023 to Mar 25, 2024
- Advisory employees · 6 to 2Mar 30, 2023 to Mar 25, 2024
- Pooled vehicle clients · 34 to 8Mar 30, 2023 to Mar 25, 2024
- Employees · 11 to 7Mar 30, 2023 to Mar 25, 2024
- Private funds · 22 to 9Mar 30, 2023 to Mar 25, 2024
- Discretionary RAUM · $936M to $195MMar 30, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $936M to $195MMar 30, 2023 to Mar 25, 2024
- RAUM · $936M to $195MMar 30, 2023 to Mar 25, 2024
- Advisory employees · 8 to 6Nov 11, 2022 to Mar 30, 2023
- Employees · 14 to 11Nov 11, 2022 to Mar 30, 2023
- Private funds · 26 to 22Nov 11, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.7B to $936MNov 11, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $2.6M to $0Nov 11, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $1.7B to $936MNov 11, 2022 to Mar 30, 2023
- RAUM · $1.7B to $936MNov 11, 2022 to Mar 30, 2023
- Private funds · 25 to 26Mar 31, 2022 to Jun 3, 2022
- Accounts · 35 to 34Jan 25, 2022 to Mar 31, 2022
- Employees · 16 to 14Jan 25, 2022 to Mar 31, 2022
- Private funds · 26 to 25Jan 25, 2022 to Mar 31, 2022
- Discretionary RAUM · $1.8B to $1.7BJan 25, 2022 to Mar 31, 2022
- Non-discretionary RAUM · $1.3M to $2.6MJan 25, 2022 to Mar 31, 2022
- Pooled vehicle RAUM · $1.8B to $1.7BJan 25, 2022 to Mar 31, 2022
- RAUM · $1.8B to $1.7BJan 25, 2022 to Mar 31, 2022
- Accounts · 40 to 35Jul 16, 2020 to Mar 31, 2021
- Advisory employees · 20 to 8Jul 16, 2020 to Mar 31, 2021
- BD registered reps · 2 to 0Jul 16, 2020 to Mar 31, 2021
- Pooled vehicle clients · 39 to 34Jul 16, 2020 to Mar 31, 2021
- Assets in custody · $1.4B to $0Jul 16, 2020 to Mar 31, 2021
- Employees · 47 to 16Jul 16, 2020 to Mar 31, 2021
- Other offices · 3 to 0Jul 16, 2020 to Mar 31, 2021
- Private funds · 39 to 26Jul 16, 2020 to Mar 31, 2021
- Discretionary RAUM · $2.8B to $1.8BJul 16, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $1.6M to $1.3MJul 16, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $2.8B to $1.8BJul 16, 2020 to Mar 31, 2021
- RAUM · $2.8B to $1.8BJul 16, 2020 to Mar 31, 2021
- Accounts · 37 to 40Mar 2, 2020 to Mar 30, 2020
- Advisory employees · 32 to 20Mar 2, 2020 to Mar 30, 2020
- BD registered reps · 3 to 2Mar 2, 2020 to Mar 30, 2020
- Pooled vehicle clients · 36 to 39Mar 2, 2020 to Mar 30, 2020
- Assets in custody · $1.8B to $1.4BMar 2, 2020 to Mar 30, 2020
Signals
6 dated events
- G••••••• I••••••••• G•••• L• reported RAUM $195.4M, down 79% from $935.6M (2023-03-30 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- G••••••• I••••••••• G•••• L• reported RAUM $935.6M, down 45% from $1.7B (2022-11-11 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- G••••••• I••••••••• G•••• L• reported RAUM $1.8B, down 37% from $2.8B (2020-07-16 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Joseph Kevin Treacy (Cfo/Coo) appeared on Schedule A of G••••••• I••••••••• G•••• L•Mar 31, 2021 · Control person joined · fact
- Steven Brian Chase (Chief Operating Officer) no longer on Schedule A of G••••••• I••••••••• G•••• L• (listed 2020-07-16, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Joseph Matthew Lambert (Chief Compliance Officer) no longer on Schedule A of G••••••• I••••••••• G•••• L• (listed 2020-03-02, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- G••••••• I••••••••• G•••• L• · Private Equityshared crd · organization
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
Across the graphs
G••••••• I••••••••• G•••• L• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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