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•••••• L••••••• L•••••

Former SEC-registered adviserAustin, TexasCRD 158215SEC 801-73565IAPD
Latest filing Mar 31, 2021
First filing on the tape Feb 14, 2012 · 23 filings
RAUM
$152M
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
5
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
5
$115M gross assets
History
23 filings and snapshots on the tape
RAUM$152M as of Mar 31, 2021
Mar 28, 2013$864M then
HNW client RAUM$0 as of Mar 31, 2021
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 28, 20130 then
Employees (5.A)5 as of Mar 31, 2021
Mar 28, 201316 then
Private funds5 as of Mar 31, 2021
Mar 28, 201317 then
RAUM -11% over the last fiscal year-32% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Mar 31, 2021; 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
$30.5MderivedRAUM 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
-11%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
$1.4M, 1 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$152M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.4M for 1 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
      Every departureEvery arrival
      Private funds
      28 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••••••• F•••• L••• ••••• B•no longer reportedPrivate Equity Fund$340M5Feb 14, 2012
      S•••••••• F•••• L•••no longer reportedPrivate Equity Fund$196M1Mar 31, 2015
      C•• I••••••••• L••no longer reportedPrivate Equity Fund$112M3Mar 31, 2015
      G•••••• C•••••• P••••••• I••• L•••no longer reportedPrivate Equity Fund$110M57Feb 14, 2012
      S•••••• H•••••••• L••no longer reportedPrivate Equity Fund$97.9M6Mar 31, 2015
      S•••••••• F••• I••• L•••Private Equity Fund$59.4M2Oct 2, 2014
      S•••••••• F••• I•• L•••no longer reportedPrivate Equity Fund$54.4M1Feb 14, 2012
      D•••• A••••••••• L••no longer reportedPrivate Equity Fund$53.6M4Mar 31, 2015
      G•••••• C•••••• I••••••••• P••••••• I••• L••• •••••• 6•no longer reportedPrivate Equity Fund$10.4M4Feb 14, 2012
      G•••••• C•••••• I••••••••• P••••••• I••• L••• •••••• 6••••no longer reportedPrivate Equity Fund$9.0M3Feb 14, 2012
      S•••••••• F••• I••• L••• ••••• B•no longer reportedPrivate Equity Fund$7.9M2Mar 31, 2015
      S•••••••• S•••••••• H•••••••• L•••Private Equity Fund$7.0M2Oct 2, 2014
      S•••••••• F•••• L••• ••••• A•no longer reportedPrivate Equity Fund$5.5M2Feb 14, 2012
      G•••••• C•••••• M••••••• O••••••••• F•••• L•••Private Equity Fund$3.3M3Feb 14, 2012
      G•••••• C•••••• I••••••••• P••••••• I••• L••• •••••• 5•no longer reportedPrivate Equity Fund$3.2M3Feb 14, 2012
      S•••••••• F••• I••• L••• ••••• C•no longer reportedPrivate Equity Fund$1.4M2Mar 31, 2017
      G•••••• C•••••• I••••••••• P••••••• I••• L••• •••••• 6••no longer reportedPrivate Equity Fund$974,0913Feb 14, 2012
      G•••••• G••••• C••••••••• B••••••• F•••• L•••no longer reportedPrivate Equity Fund$296,32711Feb 14, 2012
      R•••••• I••••••••• L•••••no longer reportedPrivate Equity Fund$296,0005Mar 31, 2015
      C••••••••• P•••••••• L•••no longer reportedPrivate Equity Fund$200,0002Feb 14, 2012
      G•••••• C•••••• I••••••••• P••••••• I••• L••• •••••• 7•no longer reportedPrivate Equity Fund$55,5372Feb 14, 2012
      G•••••• C•••••• I••••••••• P••••••• I••• L••• •••••• 2•no longer reportedPrivate Equity Fund$20,6373Feb 14, 2012
      G•••••• C•••••• I••••••••• P••••••• I••• L••• •••••• 2••no longer reportedPrivate Equity Fund$19,9412Feb 14, 2012
      G•••••• C•••••• I••••••••• P••••••• I••• L••• •••••• 2•••no longer reportedPrivate Equity Fund$1,4002Feb 14, 2012
      G•••••• C•••••• I••••••••• P••••••• I••• L••• •••••• 2••no longer reportedPrivate Equity Fund$502Feb 14, 2012
      M•• H••••••• L•••••Private Equity Fund$00Mar 31, 2015
      D••••••••• L••no longer reportedPrivate Equity Fund$018Mar 31, 2017
      G•••••• C•••••• P••••••• I•• L•••no longer reportedPrivate Equity Fund$00Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • E••••• D••••• S• · President & Ceocontrol
        since 07/1998 · owns less than 5%
      • I•••••• N•••• R••••• · Vp - Accounting And Chief Compliance Officercontrol
        since 01/2019 · owns less than 5%
      • E••••• D••••• S• · Trusteecontrol
        since 12/1994 · owns 75% or more of W•••••••• T••••
      Entity owners
      • G•••••• C•••••• H••••••• L•• S••••• A• · Member
        direct · owns 75% or more
      • G•••••• C•••••• H••••••• L•• S••••• B• · Member
        direct · owns 75% or more
      • W•••••••• T•••• · Member
        indirect · owns 75% or more of G•••••• C•••••• H••••••• L•• S••••• A•
      Related persons
      Schedule D 7.A
      • G• M•• M••••••• L••
        pooled vehicle sponsory
      • G•••••• M•••••••• L••
        pooled vehicle sponsory
      • S•••••••• M••••••• I••• L••
        pooled vehicle sponsory
      • S•••••••• S•••••••• M•••••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 2 to 1
        Nov 6, 2020 to Mar 31, 2021
      • Employees · 6 to 5
        Nov 6, 2020 to Mar 31, 2021
      • Discretionary RAUM · $172M to $152M
        Nov 6, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $172M to $152M
        Nov 6, 2020 to Mar 31, 2021
      • RAUM · $172M to $152M
        Nov 6, 2020 to Mar 31, 2021
      • HQ city · CHICAGO to AUSTIN
        Mar 30, 2020 to Nov 6, 2020
      • HQ state · IL to TX
        Mar 30, 2020 to Nov 6, 2020
      • Other offices · 0 to 1
        Mar 30, 2020 to Nov 6, 2020
      • Advisory employees · 6 to 2
        May 30, 2019 to Mar 30, 2020
      • Employees · 11 to 6
        May 30, 2019 to Mar 30, 2020
      • Discretionary RAUM · $171M to $172M
        May 30, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $171M to $172M
        May 30, 2019 to Mar 30, 2020
      • RAUM · $171M to $172M
        May 30, 2019 to Mar 30, 2020
      • Accounts · 9 to 5
        Aug 9, 2018 to Mar 29, 2019
      • Advisory employees · 7 to 6
        Aug 9, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 9 to 5
        Aug 9, 2018 to Mar 29, 2019
      • Assets in custody · $270M to $1.4M
        Aug 9, 2018 to Mar 29, 2019
      • Employees · 12 to 11
        Aug 9, 2018 to Mar 29, 2019
      • Private funds · 9 to 5
        Aug 9, 2018 to Mar 29, 2019
      • Discretionary RAUM · $492M to $171M
        Aug 9, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $492M to $171M
        Aug 9, 2018 to Mar 29, 2019
      • RAUM · $492M to $171M
        Aug 9, 2018 to Mar 29, 2019
      • Accounts · 12 to 9
        Apr 27, 2017 to Mar 30, 2018
      • Advisory employees · 8 to 7
        Apr 27, 2017 to Mar 30, 2018
      • Charity clients · unset to 0.0
        Apr 27, 2017 to Mar 30, 2018
      • Corporate clients · unset to 0.0
        Apr 27, 2017 to Mar 30, 2018
      • HNW clients · unset to 0.0
        Apr 27, 2017 to Mar 30, 2018
      • Individual clients · unset to 0.0
        Apr 27, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 0.0
        Apr 27, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 9.0
        Apr 27, 2017 to Mar 30, 2018
      • Assets in custody · $215M to $270M
        Apr 27, 2017 to Mar 30, 2018
      • Employees · 13 to 12
        Apr 27, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Apr 27, 2017 to Mar 30, 2018
      • Private funds · 11 to 9
        Apr 27, 2017 to Mar 30, 2018
      • Discretionary RAUM · $440M to $492M
        Apr 27, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 0.0
        Apr 27, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 0.0
        Apr 27, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 0.0
        Apr 27, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 491800000.0
        Apr 27, 2017 to Mar 30, 2018
      • RAUM · $440M to $492M
        Apr 27, 2017 to Mar 30, 2018
      Signals
      2 dated events
      • G•••••• L••••••• L••••• reported RAUM $171.3M, down 65% from $491.8M (2018-08-09 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • Robert Nick Iovino (Controller And Chief Compliance Officer) appeared on Schedule A of G•••••• L••••••• L•••••
        Mar 29, 2019 · Control person joined · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      G••••••.COMreportedpublic record, Form ADV, Sep 18, 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
      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