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•••• C•••••• A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 161663SEC 801-76922IAPD
Latest filing Mar 19, 2014
First filing on the tape Jul 12, 2012 · 9 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
4
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 19, 2014
Apr 2, 20130 then
Employees (5.A)4 as of Mar 19, 2014
Apr 2, 20132 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 2
Practice profile
derived from the filing of Mar 19, 2014; 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
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 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
subscription, otherreportedItem 5.E
Advisory activities
selection of other advisers, publicationsreportedItem 5.G
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
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
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • M•••• D•••• · Secretary / Chief Compliance Officercontrol
    since 02/2012 · owns 25% to 50%
  • U•••••••• J•••• C•••• · Presidentcontrol
    since 05/2012 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · 0 to 1
    Jan 28, 2014 to Mar 19, 2014
  • Advisory activities · 1 to 2
    Jan 28, 2014 to Mar 19, 2014
  • Employees · 3 to 4
    Jan 28, 2014 to Mar 19, 2014
  • Insurance-licensed employees · 1 to 2
    Jan 28, 2014 to Mar 19, 2014
  • Financial planning clients · unset to 0
    Jan 28, 2014 to Mar 19, 2014
  • State-registered IARs · 1 to 2
    Jan 28, 2014 to Mar 19, 2014
  • Employees · 2 to 3
    Apr 16, 2013 to Jan 28, 2014
  • Insurance-licensed employees · 0 to 1
    Apr 16, 2013 to Jan 28, 2014
  • State-registered IARs · 0 to 1
    Apr 16, 2013 to Jan 28, 2014
  • Advisory employees · unset to 0.0
    Jul 12, 2012 to Jan 29, 2013
  • BD registered reps · unset to 2.0
    Jul 12, 2012 to Jan 29, 2013
  • Employees · unset to 2.0
    Jul 12, 2012 to Jan 29, 2013
  • HQ city · unset to NEW YORK
    Jul 12, 2012 to Jan 29, 2013
  • HQ state · unset to NY
    Jul 12, 2012 to Jan 29, 2013
  • State-registered IARs · unset to 0.0
    Jul 12, 2012 to Jan 29, 2013
  • Related broker-dealer · true to false
    Jul 12, 2012 to Jan 29, 2013
Signals
1 dated events
  • G•••• C•••••• A••••••• L•• filed its initial SEC registration (Form ADV)
    Jul 12, 2012 · First SEC registration · fact
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