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••••• E••••• C•••••• H•••••••• I•••
Latest filing Feb 24, 2026
First filing on the tape May 9, 2013 · 21 filings
SEC status approved since Jun 21, 2013
RAUM
$339M
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
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$339M as of Feb 24, 2026
Mar 31, 2014$190M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 24, 2026
Mar 31, 20140 then
Employees (5.A)7 as of Feb 24, 2026
Mar 31, 20146 then
Private funds1 as of Feb 24, 2026
Mar 31, 20141 then
RAUM +13% over the last fiscal year+24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 24, 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
- $170MderivedRAUM 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
- +13%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- Pooled investment vehicles$339M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| L••••• C•••••• F•••• L• | Hedge Fund | $240M | 87 | Mar 9, 2021 |
| T••••••••• C•••••• P•••••••• L••• | Hedge Fund | $146M | 51 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••• D••••• A• · Secretary; Treasurercontrolsince 02/1994 · owns 25% to 50%
- C••••• J•••••• A• · President; Director; Chief Compliance Officercontrolsince 02/1994 · owns 50% to 75%
- M•••••• C•••• · Chief Financial Officersince 10/2022 · owns less than 5%
- S•••••• A••••••• M••••• · Portfolio Managersince 11/2020 · owns less than 5%
Related persons
Schedule D 7.A
- G••••• E••••• C•••••• G• L••pooled vehicle sponsorn
- L••••• C•••••• F••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3 to 2May 15, 2025 to Feb 24, 2026
- Advisory activities · 2 to 1May 15, 2025 to Feb 24, 2026
- Discretionary RAUM · $299M to $339MMay 15, 2025 to Feb 24, 2026
- Pooled vehicle RAUM · $298M to $339MMay 15, 2025 to Feb 24, 2026
- RAUM · $299M to $339MMay 15, 2025 to Feb 24, 2026
- Financial planning clients · unset to Mar 28, 2025 to May 15, 2025
- Discretionary RAUM · $241M to $299MJul 25, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $240M to $298MJul 25, 2024 to Mar 28, 2025
- RAUM · $241M to $299MJul 25, 2024 to Mar 28, 2025
- Related adviser · false to trueJul 25, 2024 to Mar 28, 2025
- Advisory employees · 3 to 4Mar 27, 2024 to Jul 25, 2024
- Assets in custody · $146M to $0Mar 27, 2024 to Jul 25, 2024
- Employees · 4 to 7Mar 27, 2024 to Jul 25, 2024
- Private funds · 2 to 1Mar 27, 2024 to Jul 25, 2024
- Discretionary RAUM · $212M to $241MMar 27, 2024 to Jul 25, 2024
- Pooled vehicle RAUM · $211M to $240MMar 27, 2024 to Jul 25, 2024
- RAUM · $212M to $241MMar 27, 2024 to Jul 25, 2024
- Accounts · 2 to 3Dec 15, 2023 to Mar 27, 2024
- Advisory activities · 1 to 2Dec 15, 2023 to Mar 27, 2024
- Assets in custody · $126M to $146MDec 15, 2023 to Mar 27, 2024
- Discretionary RAUM · $178M to $212MDec 15, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $178M to $211MDec 15, 2023 to Mar 27, 2024
- RAUM · $178M to $212MDec 15, 2023 to Mar 27, 2024
- Assets in custody · unset to 126138361.0Nov 23, 2022 to Mar 28, 2023
- Custody of client assets · false to trueNov 23, 2022 to Mar 28, 2023
- Employees · 5 to 4Nov 23, 2022 to Mar 28, 2023
- Discretionary RAUM · $220M to $178MNov 23, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $220M to $178MNov 23, 2022 to Mar 28, 2023
- RAUM · $220M to $178MNov 23, 2022 to Mar 28, 2023
- Advisory employees · 2 to 3Mar 9, 2021 to Mar 14, 2022
- Employees · 3 to 5Mar 9, 2021 to Mar 14, 2022
- Discretionary RAUM · $190M to $220MMar 9, 2021 to Mar 14, 2022
- Pooled vehicle RAUM · $190M to $220MMar 9, 2021 to Mar 14, 2022
- RAUM · $190M to $220MMar 9, 2021 to Mar 14, 2022
- Accounts · 1 to 2Jul 28, 2020 to Mar 9, 2021
- Pooled vehicle clients · 1 to 2Jul 28, 2020 to Mar 9, 2021
- Private funds · 1 to 2Jul 28, 2020 to Mar 9, 2021
- Discretionary RAUM · $143M to $190MJul 28, 2020 to Mar 9, 2021
- Pooled vehicle RAUM · $143M to $190MJul 28, 2020 to Mar 9, 2021
- RAUM · $143M to $190MJul 28, 2020 to Mar 9, 2021
Signals
1 dated events
- G••••• E••••• C•••••• H•••••••• I••• filed its initial SEC registration (Form ADV)May 9, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- G••••• E••••• C•••••• H•••••••• I••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-755-7577reportedpublic record, Form ADV, Feb 24, 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