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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
G•• F•••••••• M••••••••• I•• L••
Latest filing Apr 1, 2015
First filing on the tape Feb 14, 2012 · 8 filings
RAUM
$756M
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
13
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$756M gross assets
History
8 filings and snapshots on the tape
RAUM$756M as of Mar 31, 2015
Apr 1, 2013$417M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Apr 1, 20130 then
Employees (5.A)13 as of Mar 31, 2015
Apr 1, 20139 then
Private funds1 as of Mar 31, 2015
Apr 1, 20131 then
RAUM +0.1% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2015; 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
- $756MderivedRAUM 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
- +0.1%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 pooled vehiclesreportedItem 5.G
- Custody
- $756M, 1 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)
- 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
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $756M 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F••• F•••••••• F••• I•• L••• | Private Equity Fund | $756M | 33 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F•••• G•••••• J•• · Elected Manager And Senior Principalcontrolsince 02/2011 · owns less than 5%
- P••••••••• C••••• G•••••• · Chief Compliance Officercontrolsince 01/2012 · owns less than 5%
- W•••• C•••• B• · Senior Principalcontrolsince 02/2012 · owns less than 5%
- F•••• G•••••• J•• · Settlor And Trusteecontrolsince 02/2012 · owns F of 2••• T•••
Entity owners
- 2••• T••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- F•••• A••••••••• C•••••••••real estaten
- F••• M••••••••• I•• L•••pooled vehicle sponsorn
- H•••••• H••••••• I•••broker-dealerinvestment adviserLP sponsorreal estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $755M to $756MMay 22, 2014 to Mar 31, 2015
- Employees · 9 to 13May 22, 2014 to Mar 31, 2015
- Discretionary RAUM · $755M to $756MMay 22, 2014 to Mar 31, 2015
- RAUM · $755M to $756MMay 22, 2014 to Mar 31, 2015
- Assets in custody · $417M to $755MApr 1, 2013 to Apr 1, 2014
- Discretionary RAUM · $417M to $755MApr 1, 2013 to Apr 1, 2014
- RAUM · $417M to $755MApr 1, 2013 to Apr 1, 2014
- Advisory employees · unset to 7.0Apr 20, 2012 to Apr 1, 2013
- BD registered reps · unset to 0.0Apr 20, 2012 to Apr 1, 2013
- Assets in custody · $223M to $417MApr 20, 2012 to Apr 1, 2013
- Employees · unset to 9.0Apr 20, 2012 to Apr 1, 2013
- State-registered IARs · unset to 0.0Apr 20, 2012 to Apr 1, 2013
- Discretionary RAUM · $223M to $417MApr 20, 2012 to Apr 1, 2013
- RAUM · $223M to $417MApr 20, 2012 to Apr 1, 2013
- Related broker-dealer · false to trueApr 20, 2012 to Apr 1, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- G•• F•••••••• M••••••••• I•• L•• · Private Equityshared crd · organization
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