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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SEC-registered adviser
G•• I••••••••
Legal name G•• I••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 5, 2015 · 26 filings
SEC status approved since Mar 17, 2015
RAUM
$184M
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
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$184M as of Mar 31, 2026
Mar 30, 2016$153M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20160 then
Employees (5.A)3 as of Mar 31, 2026
Mar 30, 20163 then
Private funds5 as of Mar 31, 2026
Mar 30, 20164 then
RAUM -2.5% over the last fiscal year-0.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $36.8MderivedRAUM 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
- -2.5%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
- $188M, 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$184M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $188M for 5 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•• I•••••••• I•• L••• | Other Private Fund | $72.0M | 38 | Mar 27, 2012 |
| G•• I••••••••• L•• | Other Private Fund | $56.4M | 49 | Mar 27, 2012 |
| G•• I••••••••• L•• | Other Private Fund | $25.7M | 30 | Mar 27, 2012 |
| G•• H••••• S••••••• F••• L•• | Other Private Fund | $22.6M | 21 | Dec 1, 2016 |
| G•• H••••• S••••••• F••• L•• | Other Private Fund | $10.4M | 16 | Mar 30, 2017 |
| G•• S••••• S•••••••• L•••no longer reported | Other Private Fund | $354,705 | 62 | Mar 27, 2012 |
| T•• P•••••• F•••• L•••no longer reported | Other Private Fund | $0 | 0 | Mar 27, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G•••••• J••••• R••••• · Director Of Operations, Chief Compliance Officer, Secretary, Treasurer, And Managing Membercontrolsince 03/2009 · owns 10% to 25%
- G•••••• W•• S•••••• · Director Of Investments, President And Managing Membercontrolsince 10/1994 · owns 75% or more
- N••••••••• M••••••• S• · Director Of Investments, Vice President And Managing Membercontrolsince 03/2009 · owns 10% to 25%
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
- Discretionary RAUM · $189M to $184MApr 1, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $189M to $184MApr 1, 2025 to Mar 31, 2026
- RAUM · $189M to $184MApr 1, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 27, 2024 to Apr 1, 2025
- Discretionary RAUM · $188M to $189MMar 27, 2024 to Apr 1, 2025
- Pooled vehicle RAUM · $188M to $189MMar 27, 2024 to Apr 1, 2025
- RAUM · $188M to $189MMar 27, 2024 to Apr 1, 2025
- Assets in custody · $187M to $188MMar 23, 2023 to Mar 27, 2024
- Discretionary RAUM · $187M to $188MMar 23, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $187M to $188MMar 23, 2023 to Mar 27, 2024
- RAUM · $187M to $188MMar 23, 2023 to Mar 27, 2024
- Assets in custody · $247M to $187MMar 23, 2022 to Mar 23, 2023
- Discretionary RAUM · $247M to $187MMar 23, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $247M to $187MMar 23, 2022 to Mar 23, 2023
- RAUM · $247M to $187MMar 23, 2022 to Mar 23, 2023
- Assets in custody · $249M to $247MMay 3, 2021 to Mar 23, 2022
- Discretionary RAUM · $249M to $247MMay 3, 2021 to Mar 23, 2022
- Pooled vehicle RAUM · $249M to $247MMay 3, 2021 to Mar 23, 2022
- RAUM · $249M to $247MMay 3, 2021 to Mar 23, 2022
- Accounts · 6 to 5Mar 31, 2020 to Mar 29, 2021
- Pooled vehicle clients · 6 to 5Mar 31, 2020 to Mar 29, 2021
- Assets in custody · $223M to $249MMar 31, 2020 to Mar 29, 2021
- Private funds · 6 to 5Mar 31, 2020 to Mar 29, 2021
- Discretionary RAUM · $223M to $249MMar 31, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $223M to $249MMar 31, 2020 to Mar 29, 2021
- RAUM · $223M to $249MMar 31, 2020 to Mar 29, 2021
- Assets in custody · $160M to $223MApr 17, 2019 to Mar 30, 2020
- Employees · 4 to 3Apr 17, 2019 to Mar 30, 2020
- Discretionary RAUM · $160M to $223MApr 17, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $160M to $223MApr 17, 2019 to Mar 30, 2020
- RAUM · $160M to $223MApr 17, 2019 to Mar 30, 2020
- Assets in custody · $161M to $160MMar 29, 2018 to Mar 28, 2019
- Discretionary RAUM · $161M to $160MMar 29, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $161M to $160MMar 29, 2018 to Mar 28, 2019
- RAUM · $161M to $160MMar 29, 2018 to Mar 28, 2019
- Accounts · 5 to 6Mar 30, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 6.0Mar 30, 2017 to Mar 29, 2018
- Assets in custody · $16.1M to $161MMar 30, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Mar 30, 2017 to Mar 29, 2018
- Discretionary RAUM · $138M to $161MMar 30, 2017 to Mar 29, 2018
Signals
1 dated events
- G•• I•••••••• filed its initial SEC registration (Form ADV)Mar 5, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- G•• I•••••••• · Independent Sponsorsshared crd · capital_provider
- G•• I•••••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- w••.g•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 773-525-3038reportedpublic record, Form ADV, Mar 31, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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