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
C••••• G••••• I••••••••• L••
Latest filing Sep 16, 2015
First filing on the tape Mar 22, 2012 · 8 filings
RAUM
$70.0M
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
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$215M as of Mar 31, 2014
Mar 22, 2012$212M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2014
Feb 6, 20130 then
Employees (5.A)6 as of Mar 31, 2014
Feb 6, 20136 then
Private funds2 as of Mar 31, 2014
Mar 22, 20122 then
RAUM -62% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 16, 2015; 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
- $14.0MderivedRAUM 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
- +17%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 individuals, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I•• M•••••••• 2• L••••••no longer reported | Hedge Fund | $56.8M | 1 | Mar 22, 2012 |
| W•••••• C•••••• S••••• F••• L•• • S••••• L••no longer reported | Hedge Fund | $20.0M | 1 | Oct 18, 2012 |
| C••••• M••••• F•••no longer reported | Hedge Fund | $11.5M | 11 | Mar 22, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••• B••••• M•••••• · Managing Membercontrolsince 07/2009 · owns 25% to 50%
- D••••• E•••••• W••••• · Founder And Portfolio Managercontrolsince 07/2009 · owns 50% to 75%
- W••••• K•••• · Chief Compliance Officer/Chief Financial Officersince 05/2015 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 5 to 7Jun 19, 2015 to Sep 16, 2015
- Employees · 6 to 5Mar 31, 2014 to Apr 21, 2015
- Private funds · 2 to unsetMar 31, 2014 to Apr 21, 2015
- Discretionary RAUM · $215M to $70.0MMar 31, 2014 to Apr 21, 2015
- RAUM · $215M to $70.0MMar 31, 2014 to Apr 21, 2015
- Accounts · 6 to 5Dec 18, 2013 to Mar 31, 2014
- Discretionary RAUM · $183M to $215MDec 18, 2013 to Mar 31, 2014
- RAUM · $183M to $215MDec 18, 2013 to Mar 31, 2014
- Accounts · 3 to 6Oct 18, 2012 to Feb 6, 2013
- Advisory employees · unset to 5.0Oct 18, 2012 to Feb 6, 2013
- Employees · unset to 6.0Oct 18, 2012 to Feb 6, 2013
- State-registered IARs · unset to 0.0Oct 18, 2012 to Feb 6, 2013
- Discretionary RAUM · $170M to $183MOct 18, 2012 to Feb 6, 2013
- RAUM · $170M to $183MOct 18, 2012 to Feb 6, 2013
- Discretionary RAUM · $212M to $170MMar 22, 2012 to Oct 18, 2012
- RAUM · $212M to $170MMar 22, 2012 to Oct 18, 2012
Signals
1 dated events
- C••••• G••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Apr 21, 2015 · 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.
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