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•••••••• C•••••• M•••••••••
Wealth manager with institutional or fund businessMillburn, New JerseyCRD 156032SEC 801-72093websiteIAPD
Legal name G•••••••• C•••••• M••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Mar 29, 2012 · 21 filings
SEC status approved since Jan 20, 2011
RAUM
$405M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
27%
$111M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$405M as of Mar 26, 2026
Mar 29, 2012$163M then
HNW client RAUM$103M as of Mar 26, 2026
Mar 29, 2018$55.1M then
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 29, 20120 then
Employees (5.A)5 as of Mar 26, 2026
Mar 28, 20137 then
Private funds1 as of Mar 26, 2026
Mar 27, 20241 then
RAUM -6.8% over the last fiscal year+30% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- 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
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $5.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.2%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
- -6.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- $250MreportedItem 5.I
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$260M64%
- High-net-worth individuals$103M26%
- Pooled investment vehicles$13.0M3.2%
- Corporations and businesses$12.2M3.0%
- Pension and profit-sharing plans$8.8M2.2%
- Individuals$7.9M1.9%
- Individual clients
- 46reported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 78reported
- Financial planning clients
- reported
- Wrap fee programs
- $125M sponsored, $125M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.27 fund_share=0.67 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
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• O••••••••• F••• L• | Hedge Fund | $9.6M | 6 | Mar 27, 2024 |
Owners and control persons
Schedule A and B, latest filing
- K•••• A•••• · Managing Directorcontrolsince 01/2022 · owns 5% to 10%
- M•••••• B••••••••• · Chief Compliance Officercontrolsince 12/2019 · owns less than 5%
- P••••••••• L••••• S••••• · Managing Membercontrolsince 11/2010 · owns less than 5%
- P••••••••• L••••• S••••• · Managing Membercontrolsince 11/2010 · owns 75% or more of G•••••••• M••••••••• L••
- T••••••• K••••• D•••• · Membersince 12/2019 · owns 5% to 10%
Entity owners
- G•••••••• M••••••••• L•• · Memberdirect · owns 50% to 75%
- M••••• C••••••••• · Memberdirect · owns 10% to 25% · public reporting company
Related persons
Schedule D 7.A
- G• O••••••••• G•• L••pooled vehicle sponsory
- M••••• C•••••••••real estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Mar 26, 2026RAUM per account of $5,195,605 against a peer median of $439,994 (5433 comparable advisers, 99.0th percentile, 3.2 robust deviations)peers: independent wealth managers, $100M to $500M (5,433) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 71 to 78Mar 25, 2025 to Mar 26, 2026
- HNW clients · 25 to 27Mar 25, 2025 to Mar 26, 2026
- Individual clients · 41 to 46Mar 25, 2025 to Mar 26, 2026
- Discretionary RAUM · $435M to $405MMar 25, 2025 to Mar 26, 2026
- HNW RAUM · $104M to $103MMar 25, 2025 to Mar 26, 2026
- Individual RAUM · $8.5M to $7.9MMar 25, 2025 to Mar 26, 2026
- Pension RAUM · $8.7M to $8.8MMar 25, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $11.8M to $13.0MMar 25, 2025 to Mar 26, 2026
- RAUM · $435M to $405MMar 25, 2025 to Mar 26, 2026
- Wrap assets (manager) · $127M to $125MMar 25, 2025 to Mar 26, 2026
- Wrap assets (sponsor) · $127M to $125MMar 25, 2025 to Mar 26, 2026
- Accounts · 68 to 71Mar 27, 2024 to Mar 25, 2025
- HNW clients · 24 to 25Mar 27, 2024 to Mar 25, 2025
- Individual clients · 40 to 41Mar 27, 2024 to Mar 25, 2025
- Custody of client assets · true to falseMar 27, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 25, 2025
- Discretionary RAUM · $336M to $435MMar 27, 2024 to Mar 25, 2025
- HNW RAUM · $86.8M to $104MMar 27, 2024 to Mar 25, 2025
- Individual RAUM · $7.2M to $8.5MMar 27, 2024 to Mar 25, 2025
- Pension RAUM · $6.9M to $8.7MMar 27, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $9.6M to $11.8MMar 27, 2024 to Mar 25, 2025
- RAUM · $336M to $435MMar 27, 2024 to Mar 25, 2025
- Wrap assets (manager) · $99.6M to $127MMar 27, 2024 to Mar 25, 2025
- Wrap assets (sponsor) · $99.6M to $127MMar 27, 2024 to Mar 25, 2025
- Advisory activities · 3 to 4Mar 27, 2023 to Mar 27, 2024
- HNW clients · 19 to 24Mar 27, 2023 to Mar 27, 2024
- Individual clients · 44 to 40Mar 27, 2023 to Mar 27, 2024
- Pooled vehicle clients · unset to 1.0Mar 27, 2023 to Mar 27, 2024
- Assets in custody · unset to 0.0Mar 27, 2023 to Mar 27, 2024
- Custody of client assets · false to trueMar 27, 2023 to Mar 27, 2024
- Private funds · unset to 1Mar 27, 2023 to Mar 27, 2024
- Discretionary RAUM · $183M to $336MMar 27, 2023 to Mar 27, 2024
- HNW RAUM · $58.3M to $86.8MMar 27, 2023 to Mar 27, 2024
- Individual RAUM · $8.9M to $7.2MMar 27, 2023 to Mar 27, 2024
- Pension RAUM · $5.2M to $6.9MMar 27, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · unset to 9554698.0Mar 27, 2023 to Mar 27, 2024
- RAUM · $183M to $336MMar 27, 2023 to Mar 27, 2024
- Wrap assets (manager) · $77.6M to $99.6MMar 27, 2023 to Mar 27, 2024
- Wrap assets (sponsor) · $77.6M to $99.6MMar 27, 2023 to Mar 27, 2024
- Accounts · 69 to 68Mar 25, 2022 to Mar 27, 2023
Signals
6 dated events
- G•••••••• C•••••• M••••••••• reported RAUM $336.4M, up 84% from $182.7M (2023-03-27 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- Artie Kwok (Managing Director) appeared on Schedule A of G•••••••• C•••••• M•••••••••Mar 25, 2022 · Control person joined · fact
- David Keith Trauner (Managing Member) no longer on Schedule A of G•••••••• C•••••• M••••••••• (listed 2019-03-26, absent 2019-12-10)Dec 10, 2019 · Control person left · inference
- Bernadette Murphy (Chief Compliance Officer) appeared on Schedule A of G•••••••• C•••••• M•••••••••Dec 10, 2019 · Control person joined · fact
- G•••••••• C•••••• M••••••••• reported RAUM $178.8M, down 43% from $312.7M (2018-03-29 to 2019-03-26)Mar 26, 2019 · RAUM change · derived
- Marie Sarah Gillespie (Chief Compliance Officer) no longer on Schedule A of G•••••••• C•••••• M••••••••• (listed 2018-03-29, absent 2019-03-26)Mar 26, 2019 · Control person left · inference
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
- Business phone
- 305-677-7650reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 305-677-7666reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/G••••••••reportedpublic record, Form ADV, Sep 19, 2026
- Website
- G••••••••LLC.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 305-677-7650reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- g•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- Wealth manager with institutional or fund businessderiveda 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