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.

Former SEC-registered adviser

Goldman Sachs Global Advisory Products LLC

Former SEC-registered adviserNew York, New YorkCRD 160223SEC 801-73043IAPD
Latest filing Nov 8, 2019
First filing on the tape Jan 10, 2012 · 19 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
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM: $68.0M
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Mar 28, 201318 then
Employees (5.A)0 as of Mar 28, 2019
Mar 28, 201354 then
Private funds: 1
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Nov 8, 2019; 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
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
otherreportedItem 5.E
Advisory activities
otherreportedItem 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)
  • 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)
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Goldman Sachs Alpha Strategies Bond Calendar Strategy (US) Limitedno longer reportedHedge Fund$68.0M1May 29, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • Scott Eric Lane · Co-Head, Consumer Investment Management Division (Co-Chief Executive Officer)control
        since 12/2011 · owns less than 5%
      • Joseph Timothy Oneill · Co-Head, Consumer Investment Management Division (Co-Chief Executive Officer)control
        since 12/2011 · owns less than 5%
      • Randy Ellen Porges · General Counsel,Consumer Investment Management Division (Chief Legal Officer)
        since 12/2011 · owns less than 5%
      • Leah Judith Shandling · Chief Compliance Officer
        since 12/2011 · owns less than 5%
      Entity owners
      • Gsam Holdings LLC · Member
        direct · owns 75% or more
      • The Goldman Sachs Group, Inc. · Member
        indirect · owns 75% or more of Gsam Holdings LLC · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Goldman Sachs Global Advisory Products LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Charity clients · unset to 0.0
        Feb 2, 2018 to Mar 29, 2018
      • Corporate clients · unset to 0.0
        Feb 2, 2018 to Mar 29, 2018
      • HNW clients · unset to 0.0
        Feb 2, 2018 to Mar 29, 2018
      • Individual clients · unset to 0.0
        Feb 2, 2018 to Mar 29, 2018
      • Pension plan clients · unset to 0.0
        Feb 2, 2018 to Mar 29, 2018
      • Pooled vehicle clients · unset to 0.0
        Feb 2, 2018 to Mar 29, 2018
      • HNW RAUM · 0.0 to unset
        Feb 2, 2018 to Mar 29, 2018
      • Individual RAUM · 0.0 to unset
        Feb 2, 2018 to Mar 29, 2018
      • Pension RAUM · 0.0 to unset
        Feb 2, 2018 to Mar 29, 2018
      • Pooled vehicle RAUM · 0.0 to unset
        Feb 2, 2018 to Mar 29, 2018
      • Other offices · unset to 0.0
        Sep 6, 2017 to Feb 2, 2018
      • HNW RAUM · unset to 0.0
        Sep 6, 2017 to Feb 2, 2018
      • Individual RAUM · unset to 0.0
        Sep 6, 2017 to Feb 2, 2018
      • Pension RAUM · unset to 0.0
        Sep 6, 2017 to Feb 2, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Sep 6, 2017 to Feb 2, 2018
      • Advisory employees · 66 to 0
        Jan 9, 2017 to Mar 31, 2017
      • BD registered reps · 42 to 0
        Jan 9, 2017 to Mar 31, 2017
      • Employees · 74 to 0
        Jan 9, 2017 to Mar 31, 2017
      • Accounts · 1.0 to unset
        Oct 30, 2015 to Mar 30, 2016
      • Advisory employees · 41 to 66
        Oct 30, 2015 to Mar 30, 2016
      • Advisory activities · 2 to 1
        Oct 30, 2015 to Mar 30, 2016
      • BD registered reps · 27 to 42
        Oct 30, 2015 to Mar 30, 2016
      • Assets in custody · $68.0M to $0
        Oct 30, 2015 to Mar 30, 2016
      • Custody of client assets · true to false
        Oct 30, 2015 to Mar 30, 2016
      • Employees · 60 to 74
        Oct 30, 2015 to Mar 30, 2016
      • Insurance-licensed employees · 19 to 0
        Oct 30, 2015 to Mar 30, 2016
      • State-registered IARs · 19 to 0
        Oct 30, 2015 to Mar 30, 2016
      • Private funds · 1 to unset
        Oct 30, 2015 to Mar 30, 2016
      • Discretionary RAUM · 68017963.0 to unset
        Oct 30, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · 0.0 to unset
        Oct 30, 2015 to Mar 30, 2016
      • RAUM · 68017963.0 to unset
        Oct 30, 2015 to Mar 30, 2016
      • Accounts · unset to 1.0
        May 29, 2014 to Mar 31, 2015
      • Advisory employees · 50 to 41
        May 29, 2014 to Mar 31, 2015
      • Advisory activities · 1 to 2
        May 29, 2014 to Mar 31, 2015
      • Assets in custody · unset to 68017963.0
        May 29, 2014 to Mar 31, 2015
      • Custody of client assets · false to true
        May 29, 2014 to Mar 31, 2015
      • Employees · 50 to 60
        May 29, 2014 to Mar 31, 2015
      • Insurance-licensed employees · 20 to 19
        May 29, 2014 to Mar 31, 2015
      • Financial planning clients · unset to 0
        May 29, 2014 to Mar 31, 2015
      • State-registered IARs · 20 to 19
        May 29, 2014 to Mar 31, 2015
      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