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•••••• A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 157827SEC 801-72375IAPD
Latest filing Jul 16, 2020
First filing on the tape Mar 30, 2012 · 16 filings
RAUM
$464M
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
47
20 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$464M as of Mar 27, 2020
Mar 30, 2012$391M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2020
Mar 30, 20120 then
Employees (5.A)47 as of Mar 27, 2020
Apr 1, 201357 then
Private funds: no history
RAUM -7.8% over the last fiscal year+4.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 16, 2020; 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
$464MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-7.8%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 investment companiesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
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
1reported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H•••• D•••••• J•••• · Cco/Cfocontrol
        since 07/2020 · owns less than 5%
      • T•••••• J•••••• B• · Presidentcontrol
        since 11/2010 · owns less than 5%
      • T•••••• J•••••• B• · Member And M••••••control
        since 07/2016 · owns 25% to 50% of J••• B••••••• L••
      Entity owners
      • G••••••• C•••••• A••••••• M• L•• · Managing Member
        direct · owns 75% or more
      • G••••••• C•••••• A••••••• H••••••• M• L•• · Member
        indirect · owns 75% or more of G••••••• C•••••• A••••••• M• L••
      • J••• B••••••• L•• · Member
        indirect · owns 50% to 75% of G••••••• C•••••• A••••••• H••••••• M• L••
      Related persons
      Schedule D 7.A
      • F•••••••• O••••••• M••••• F••• G• L••
        pooled vehicle sponsorn
      • F•••••••• O••••••• M••••• G• I• L••
        pooled vehicle sponsorn
      • G••••••• A•••• C••••••••• F••• G• L••
        pooled vehicle sponsorn
      • G••••••• B••••••• F•••••• G• L••
        pooled vehicle sponsorn
      • G••••••• B••••••• M••••••••• L••
        investment advisern
      • G••••••• B•• C•• 2••••• M•••••• L••
        investment advisern
      • G••••••• C••••• O••••••••• G• L••
        pooled vehicle sponsorn
      • G••••••• C••••• O••••••••• M••••• G• L••
        pooled vehicle sponsorn
      • G••••••• E•••••••• C•••••••• G• L••
        pooled vehicle sponsorn
      • G••••••• E••••••• R••• E••••• L•••••• F••• I• M• L••
        pooled vehicle sponsorn
      • G••••••• F•••••••• A••••• M• L••
        pooled vehicle sponsorn
      • G••••••• F•••••• 2••••• M•••••• L••
        investment advisern
      • G••••••• F•••••• 2••••• M•••••• L••
        investment advisern
      • G••••••• I••••••••• G•••• I••••••••• A••••••• L••
        investment advisern
      • G••••••• I••••••••• G•••• L•
        investment advisernRAUM $195M
      • G••••••• I••••••••• M••••••••• L••
        investment advisern
      • G••••••• L••••• F•••••• G• L••
        pooled vehicle sponsorn
      • G••••••• L••• M••••••••• L••
        investment advisernRAUM $1.2B
      • G••••••• M••••• M••••• F•••••• G• L••
        pooled vehicle sponsorn
      • G••••••• M••••• M••••• F•••••• I• G• L••
        pooled vehicle sponsorn
      • G••••••• M••••• M••••• I• G• L••
        investment advisern
      • G••••••• M••••• M••••• I• L•••
        pooled vehicle sponsorn
      • G••••••• M•• C••••••••• F••• G• L••
        pooled vehicle sponsorn
      • G••••••• O••••••••• F••• I•• A• M• L••
        pooled vehicle sponsorn
      • G••••••• O••••••••• F••• I•• B• G• L••
        pooled vehicle sponsorn
      • G••••••• O••••••••• F••• I• A• M• L••
        pooled vehicle sponsorn
      • G••••••• O••••••••• F••• I• A• P• 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••••••• O••••••••• G• I• C• L••
        pooled vehicle sponsorn
      Advisers that list G••••••• C•••••• A••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 32 to 20
        Oct 17, 2019 to Mar 27, 2020
      • BD registered reps · 3 to 2
        Oct 17, 2019 to Mar 27, 2020
      • Employees · 63 to 47
        Oct 17, 2019 to Mar 27, 2020
      • Discretionary RAUM · $504M to $464M
        Oct 17, 2019 to Mar 27, 2020
      • RAUM · $504M to $464M
        Oct 17, 2019 to Mar 27, 2020
      • Related broker-dealer · true to false
        Oct 17, 2019 to Mar 27, 2020
      • Advisory employees · 36 to 32
        Jan 31, 2019 to Mar 28, 2019
      • Employees · 71 to 63
        Jan 31, 2019 to Mar 28, 2019
      • Discretionary RAUM · $424M to $504M
        Jan 31, 2019 to Mar 28, 2019
      • RAUM · $424M to $504M
        Jan 31, 2019 to Mar 28, 2019
      • Advisory employees · 42 to 36
        Mar 31, 2017 to Mar 29, 2018
      • Employees · 79 to 71
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $407M to $424M
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $407M to $424M
        Mar 31, 2017 to Mar 29, 2018
      • Related bank · false to true
        Mar 31, 2017 to Mar 29, 2018
      • Advisory employees · 44 to 42
        Sep 6, 2016 to Mar 31, 2017
      • BD registered reps · 4 to 3
        Sep 6, 2016 to Mar 31, 2017
      • Employees · 81 to 79
        Sep 6, 2016 to Mar 31, 2017
      • Discretionary RAUM · $437M to $407M
        Sep 6, 2016 to Mar 31, 2017
      • RAUM · $437M to $407M
        Sep 6, 2016 to Mar 31, 2017
      • Employees · 80 to 81
        Mar 30, 2016 to Sep 6, 2016
      • Discretionary RAUM · $465M to $437M
        Mar 30, 2016 to Sep 6, 2016
      • RAUM · $465M to $437M
        Mar 30, 2016 to Sep 6, 2016
      • Advisory employees · 46 to 44
        May 1, 2015 to Mar 30, 2016
      • BD registered reps · 5 to 4
        May 1, 2015 to Mar 30, 2016
      • Discretionary RAUM · $506M to $465M
        May 1, 2015 to Mar 30, 2016
      • RAUM · $506M to $465M
        May 1, 2015 to Mar 30, 2016
      • Advisory employees · 45 to 46
        Nov 19, 2014 to Mar 20, 2015
      • Employees · 72 to 80
        Nov 19, 2014 to Mar 20, 2015
      • Discretionary RAUM · $485M to $506M
        Nov 19, 2014 to Mar 20, 2015
      • RAUM · $485M to $506M
        Nov 19, 2014 to Mar 20, 2015
      • Advisory employees · 33 to 45
        Apr 1, 2013 to Mar 31, 2014
      • BD registered reps · 6 to 5
        Apr 1, 2013 to Mar 31, 2014
      • Employees · 57 to 72
        Apr 1, 2013 to Mar 31, 2014
      • Discretionary RAUM · $316M to $485M
        Apr 1, 2013 to Mar 31, 2014
      • RAUM · $316M to $485M
        Apr 1, 2013 to Mar 31, 2014
      • Advisory employees · 0 to 33
        Mar 30, 2012 to Apr 1, 2013
      • Advisory activities · 2 to 1
        Mar 30, 2012 to Apr 1, 2013
      • BD registered reps · 0 to 6
        Mar 30, 2012 to Apr 1, 2013
      Signals
      5 dated events
      • James Daniel Hahn (Cco/Cfo) appeared on Schedule A of G••••••• C•••••• A••••••• L••
        Jul 16, 2020 · Control person joined · fact
      • Steven Brian Chase (Chief Financial Officer / Chief Compliance Officer) no longer on Schedule A of G••••••• C•••••• A••••••• L•• (listed 2020-03-27, absent 2020-07-16)
        Jul 16, 2020 · Control person left · inference
      • Joseph Matthew Lambert (Chief Compliance Officer) no longer on Schedule A of G••••••• C•••••• A••••••• L•• (listed 2019-10-17, absent 2020-03-27)
        Mar 27, 2020 · Control person left · inference
      • M••• K•••••• B••••••••• (Chief Compliance Officer) no longer on Schedule A of G••••••• C•••••• A••••••• L•• (listed 2018-03-29, absent 2019-01-31)
        Jan 31, 2019 · Control person left · inference
      • Joseph Matthew Lambert (Chief Compliance Officer) appeared on Schedule A of G••••••• C•••••• A••••••• L••
        Jan 31, 2019 · Control person joined · 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