DFX Intelligence
RIA Intelligence
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Former SEC-registered adviser
G••••• I••••••••• L•••••
Latest filing May 24, 2013
First filing on the tape Feb 13, 2012 · 3 filings
RAUM
$579M
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
6
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$579M gross assets
History
3 filings and snapshots on the tape
RAUM$579M as of May 24, 2013
Feb 13, 2012$209M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 24, 2013
Mar 26, 20130 then
Employees (5.A)6 as of May 24, 2013
Mar 26, 20136 then
Private funds5 as of May 24, 2013
Feb 13, 20123 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 24, 2013; 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
- $116MderivedRAUM 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
- 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
- $514M, 5 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.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
- 5reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $514M for 5 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G• M••••• L••• | Hedge Fund | $68.0M | 8 | Feb 13, 2012 |
| G••••• G••••• E•••••• L••• | Hedge Fund | $14.1M | 13 | Feb 13, 2012 |
| G••••• G••••• E••••• O•••••••• L••• | Hedge Fund | $4.1M | 3 | Feb 13, 2012 |
| T•• L• H••••••• L••• | Other Private Fund | $2.6M | 227 | Feb 14, 2012 |
| T• A••• L• H••••••• L••• | Other Private Fund | $1.7M | 323 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• E••••••••• F• · Chief Compliance Officercontrolsince 01/2012 · owns less than 5%
- B•••• C••••••••• J••• · Managing Membercontrolsince 08/2006 · owns 75% or more
- C••••• A•••••• E••• · Managing Directorcontrolsince 09/2010 · owns less than 5%
- G•••••• M••••••• P• · Chief Financial Officercontrolsince 08/2006 · owns less than 5%
Related persons
Schedule D 7.A
- G••••• G••••• E••••• G•• L••investment adviserbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $487M to $514MMar 26, 2013 to May 24, 2013
- Discretionary RAUM · $516M to $579MMar 26, 2013 to May 24, 2013
- RAUM · $516M to $579MMar 26, 2013 to May 24, 2013
- Accounts · 3 to 5Feb 13, 2012 to Mar 26, 2013
- Advisory employees · unset to 5.0Feb 13, 2012 to Mar 26, 2013
- BD registered reps · unset to 0.0Feb 13, 2012 to Mar 26, 2013
- Assets in custody · $175M to $487MFeb 13, 2012 to Mar 26, 2013
- Employees · unset to 6.0Feb 13, 2012 to Mar 26, 2013
- Financial planning clients · 0 to unsetFeb 13, 2012 to Mar 26, 2013
- State-registered IARs · unset to 0.0Feb 13, 2012 to Mar 26, 2013
- Private funds · 3 to 5Feb 13, 2012 to Mar 26, 2013
- Discretionary RAUM · $209M to $516MFeb 13, 2012 to Mar 26, 2013
- RAUM · $209M to $516MFeb 13, 2012 to Mar 26, 2013
Signals
No event on the tape.
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