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•••••• C•••••• M••••••••• L••
Latest filing Mar 30, 2023
First filing on the tape Mar 28, 2012 · 16 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$211M gross assets
History
16 filings and snapshots on the tape
RAUM$263M as of Mar 28, 2022
Mar 28, 2012$380M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2023
Mar 28, 20120 then
Employees (5.A)4 as of Mar 30, 2023
Mar 28, 20135 then
Private funds1 as of Mar 30, 2023
Mar 28, 20121 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2023; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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 pooled vehiclesreportedItem 5.G
- Custody
- $211M, 3 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)
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
- n/areported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $211M for 3 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 |
|---|---|---|---|---|
| P••••••••• M••••• F••• I••••••••• L••• | Hedge Fund | $211M | 8 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••• K•••••• · Chief Compliance Officer/Chief Operating Officercontrolsince 06/2008 · owns less than 5%
- G••••• N••••• L•••• · Chief Executive Officercontrolsince 06/2008 · owns less than 5%
- G••••• N••••• L•••• · Limited Partnercontrolsince 01/2018 · owns 75% or more of G•••••• M••••••••• L•
Entity owners
- G•••••• M••••••••• L• · Sole Memberdirect · owns 75% or more
- G•••••• G• L•• · General Partnerindirect · owns F of G•••••• M••••••••• L•
Related persons
Schedule D 7.A
- P••••••••• A•••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 3.0 to unsetMar 28, 2022 to Mar 30, 2023
- Assets in custody · $263M to $211MMar 28, 2022 to Mar 30, 2023
- Discretionary RAUM · 262533636.0 to unsetMar 28, 2022 to Mar 30, 2023
- Non-discretionary RAUM · 0.0 to unsetMar 28, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $263M to $0Mar 28, 2022 to Mar 30, 2023
- RAUM · 262533636.0 to unsetMar 28, 2022 to Mar 30, 2023
- Assets in custody · $215M to $263MMar 30, 2021 to Mar 28, 2022
- Discretionary RAUM · $215M to $263MMar 30, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $215M to $263MMar 30, 2021 to Mar 28, 2022
- RAUM · $215M to $263MMar 30, 2021 to Mar 28, 2022
- Assets in custody · $433M to $215MMar 30, 2020 to Mar 30, 2021
- Discretionary RAUM · $433M to $215MMar 30, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $433M to $215MMar 30, 2020 to Mar 30, 2021
- RAUM · $433M to $215MMar 30, 2020 to Mar 30, 2021
- Assets in custody · $347M to $433MMar 26, 2019 to Mar 30, 2020
- Discretionary RAUM · $347M to $433MMar 26, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $347M to $433MMar 26, 2019 to Mar 30, 2020
- RAUM · $347M to $433MMar 26, 2019 to Mar 30, 2020
- Assets in custody · $393M to $347MMar 28, 2018 to Mar 26, 2019
- Discretionary RAUM · $393M to $347MMar 28, 2018 to Mar 26, 2019
- Pooled vehicle RAUM · $393M to $347MMar 28, 2018 to Mar 26, 2019
- RAUM · $393M to $347MMar 28, 2018 to Mar 26, 2019
- Pooled vehicle clients · unset to 3.0Jan 29, 2018 to Mar 28, 2018
- Assets in custody · $343M to $393MJan 29, 2018 to Mar 28, 2018
- Discretionary RAUM · $343M to $393MJan 29, 2018 to Mar 28, 2018
- Pooled vehicle RAUM · unset to 392530714.0Jan 29, 2018 to Mar 28, 2018
- RAUM · $343M to $393MJan 29, 2018 to Mar 28, 2018
- Other offices · unset to 1.0Mar 22, 2017 to Jan 24, 2018
- Assets in custody · $316M to $343MMar 16, 2016 to Mar 22, 2017
- Discretionary RAUM · $316M to $343MMar 16, 2016 to Mar 22, 2017
- RAUM · $316M to $343MMar 16, 2016 to Mar 22, 2017
- Assets in custody · $342M to $316MMar 16, 2015 to Mar 16, 2016
- Discretionary RAUM · $342M to $316MMar 16, 2015 to Mar 16, 2016
- RAUM · $342M to $316MMar 16, 2015 to Mar 16, 2016
- Assets in custody · $400M to $342MJan 2, 2015 to Mar 16, 2015
- Discretionary RAUM · $400M to $342MJan 2, 2015 to Mar 16, 2015
- RAUM · $400M to $342MJan 2, 2015 to Mar 16, 2015
- Advisory employees · 4 to 3Apr 3, 2013 to Mar 20, 2014
- Assets in custody · unset to 399753799.0Apr 3, 2013 to Mar 20, 2014
- Custody of client assets · false to trueApr 3, 2013 to Mar 20, 2014
Signals
1 dated events
- G•••••• C•••••• M••••••••• L•• reported RAUM $214.9M, down 50% from $432.8M (2020-03-30 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
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