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••••• O••••• F•• G•••••
Legal name G••••• O••••• F•• G•••••• L••
Latest filing Oct 15, 2012
First filing on the tape Feb 24, 2012 · 5 filings
RAUM
$296M
reported, Item 5.F
Discretionary
39%
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$139M gross assets
History
5 filings and snapshots on the tape
RAUM$296M as of Oct 15, 2012
Feb 24, 2012$545M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds3 as of Oct 15, 2012
Feb 24, 20126 then
Practice profile
derived from the filing of Oct 15, 2012; 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
- $42.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 39%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
- 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 individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
- 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
- 7reported
- 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
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••• G••••• I••••••••• L• | Hedge Fund | $102M | 11 | Feb 24, 2012 |
| S•••••• P•••••• V•••••• A• | Private Equity Fund | $25.0M | 5 | Feb 24, 2012 |
| F••••• F••• A• | Hedge Fund | $12.1M | 14 | Feb 24, 2012 |
| R••• E••••• F••• A• | Real Estate Fund | $9.5M | 7 | Feb 24, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G•••••• V•••••••• A•• · Managing Membercontrolsince 09/2004 · owns 75% or more
- M•••••• G•••• L•••• · Chief Compliance Officersince 02/2012 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Seattle, WA
What changed
consecutive filings, newest first
- Accounts · 14 to 7Jul 9, 2012 to Oct 15, 2012
- Advisory activities · 4 to 3Jul 9, 2012 to Oct 15, 2012
- Private funds · 4 to 3Jul 9, 2012 to Oct 15, 2012
- Discretionary RAUM · $132M to $114MJul 9, 2012 to Oct 15, 2012
- Non-discretionary RAUM · $212M to $182MJul 9, 2012 to Oct 15, 2012
- RAUM · $344M to $296MJul 9, 2012 to Oct 15, 2012
- Accounts · 16 to 14Feb 27, 2012 to Jul 9, 2012
- Private funds · 6 to 4Feb 27, 2012 to Jul 9, 2012
- Discretionary RAUM · $174M to $132MFeb 27, 2012 to Jul 9, 2012
- Non-discretionary RAUM · $371M to $212MFeb 27, 2012 to Jul 9, 2012
- RAUM · $545M to $344MFeb 27, 2012 to Jul 9, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- G••••• O••••• f•• G••••• · 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
Across the graphs
G••••• O••••• F•• G••••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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