DFX Intelligence
RIA Intelligence
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SEC-registered adviser
G••••••• L••• C•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 14, 2018 · 12 filings
SEC status approved since Jul 13, 2018
RAUM
$462M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$462M as of Mar 31, 2026
Mar 20, 2019$115M then
HNW client RAUM$0 as of Mar 31, 2026
Mar 20, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 20, 20190 then
Employees (5.A)2 as of Mar 31, 2026
Mar 20, 20192 then
Private funds2 as of Mar 31, 2026
Mar 20, 20191 then
RAUM -3.6% over the last fiscal year+27% 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
- $154MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.2%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
- -3.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
- Pooled investment vehicles$419M91%
- Pension and profit-sharing plans$42.7M9.2%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.91 institutional_share=0.09 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 |
|---|---|---|---|---|
| G••••••• L••• C•••••• P•••••••• L• | Hedge Fund | $207M | 93 | Apr 21, 2016 |
| C•••••• P•••••••• L••• • G••••••• L••• C•••••• M••••••••• L•• S••••• | Hedge Fund | $128M | 2 | Mar 26, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• C••••••••• T•••••••• · Chief Operating Officercontrolsince 02/2019 · owns less than 5%
- T•••••••• J•••• D•••• · Managing Member & Chief Compliance Officercontrolsince 09/2006 · owns 75% or more
Related persons
Schedule D 7.A
- G••••••• L••• C•••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 1 to 2Mar 26, 2025 to Mar 31, 2026
- Pension plan clients · 1.0 to unsetMar 26, 2025 to Mar 31, 2026
- Employees · 1 to 2Mar 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $479M to $462MMar 26, 2025 to Mar 31, 2026
- Pension RAUM · $40.8M to $42.7MMar 26, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $438M to $419MMar 26, 2025 to Mar 31, 2026
- RAUM · $479M to $462MMar 26, 2025 to Mar 31, 2026
- Employees · 2 to 1Mar 26, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 26, 2025
- HQ city · unset to Mar 26, 2024 to Mar 26, 2025
- HQ state · unset to Mar 26, 2024 to Mar 26, 2025
- Discretionary RAUM · $366M to $479MMar 26, 2024 to Mar 26, 2025
- Pension RAUM · $30.7M to $40.8MMar 26, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $335M to $438MMar 26, 2024 to Mar 26, 2025
- RAUM · $366M to $479MMar 26, 2024 to Mar 26, 2025
- Charity clients · unset to 0.0Feb 22, 2023 to Mar 26, 2024
- Pension plan clients · unset to 1.0Feb 22, 2023 to Mar 26, 2024
- Pooled vehicle clients · 1 to 2Feb 22, 2023 to Mar 26, 2024
- Private funds · 1 to 2Feb 22, 2023 to Mar 26, 2024
- Discretionary RAUM · $223M to $366MFeb 22, 2023 to Mar 26, 2024
- Pension RAUM · $18.4M to $30.7MFeb 22, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $126M to $335MFeb 22, 2023 to Mar 26, 2024
- RAUM · $223M to $366MFeb 22, 2023 to Mar 26, 2024
- Accounts · 4 to 3Mar 15, 2022 to Feb 22, 2023
- Charity clients · 2.0 to unsetMar 15, 2022 to Feb 22, 2023
- Pension plan clients · 0.0 to unsetMar 15, 2022 to Feb 22, 2023
- Discretionary RAUM · $525M to $223MMar 15, 2022 to Feb 22, 2023
- Pension RAUM · $0 to $18.4MMar 15, 2022 to Feb 22, 2023
- Pooled vehicle RAUM · $196M to $126MMar 15, 2022 to Feb 22, 2023
- RAUM · $525M to $223MMar 15, 2022 to Feb 22, 2023
- Assets in custody · 0.0 to unsetJun 4, 2021 to Mar 15, 2022
- Discretionary RAUM · $371M to $525MJun 4, 2021 to Mar 15, 2022
- Pooled vehicle RAUM · $127M to $196MJun 4, 2021 to Mar 15, 2022
- RAUM · $371M to $525MJun 4, 2021 to Mar 15, 2022
- Accounts · 2 to 4Dec 9, 2020 to Mar 18, 2021
- Charity clients · 1 to 2Dec 9, 2020 to Mar 18, 2021
- Discretionary RAUM · $214M to $371MDec 9, 2020 to Mar 18, 2021
- Pooled vehicle RAUM · $109M to $127MDec 9, 2020 to Mar 18, 2021
- RAUM · $214M to $371MDec 9, 2020 to Mar 18, 2021
- Discretionary RAUM · $115M to $214MMar 20, 2019 to Mar 12, 2020
Signals
7 dated events
- G••••••• L••• C•••••• M••••••••• L•• reported RAUM $479.1M, up 31% from $366.1M (2024-03-26 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- G••••••• L••• C•••••• M••••••••• L•• reported RAUM $366.1M, up 64% from $222.8M (2023-02-22 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- G••••••• L••• C•••••• M••••••••• L•• reported RAUM $222.8M, down 58% from $524.7M (2022-03-15 to 2023-02-22)Feb 22, 2023 · RAUM change · derived
- G••••••• L••• C•••••• M••••••••• L•• reported RAUM $524.7M, up 41% from $371.0M (2021-06-04 to 2022-03-15)Mar 15, 2022 · RAUM change · derived
- G••••••• L••• C•••••• M••••••••• L•• reported RAUM $371.0M, up 73% from $213.8M (2020-12-09 to 2021-03-18)Mar 18, 2021 · RAUM change · derived
- Tsao-Swan Catherine Burroughs (Chief Operating Officer) appeared on Schedule A of G••••••• L••• C•••••• M••••••••• L••Mar 12, 2020 · Control person joined · fact
- G••••••• L••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 14, 2018 · 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.
How to reach
public business contact points only, each with its source
- Website
- G•••••••L•••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 646-450-9248reportedpublic 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