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•• P••••••• L•

Former SEC-registered adviserGreenwich, ConnecticutCRD 162433SEC 801-79564IAPD
Latest filing May 11, 2015
First filing on the tape Apr 1, 2014 · 4 filings
RAUM
$361M
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
9
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$409M gross assets
History
4 filings and snapshots on the tape
RAUM$361M as of May 11, 2015
Apr 1, 2014$234M then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of May 11, 2015
Apr 1, 20148 then
Employees (5.A)9 as of May 11, 2015
Apr 1, 201410 then
Private funds3 as of May 11, 2015
Apr 1, 20143 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 11, 2015; every figure names its basis
RAUM per advisor
$51.6MderivedRAUM 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
$181MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
7.0derived1 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
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • an independent public accountant performs a surprise examination (9.C.1)
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
2reported
Financial planning clients
0reported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    3 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    G•• M••••• F••• L•Hedge Fund$360M2Apr 1, 2014
    G•• D••••••• F••• L•Hedge Fund$49.0M10Apr 1, 2014
    G•• O••••••• F••• L••Hedge Fund$00Apr 1, 2014
    Owners and control persons
    Schedule A and B, latest filing
    • K••••••• G••• · Chairmancontrol
      since 02/2012 · owns 50% to 75%
    • K••••••••• R••••• D•••••••• · Chief Investment Officercontrol
      since 02/2012 · owns 50% to 75%
    • D••••••••• A•••• M•••••••• · Chief Administrative Officer
      since 02/2012 · owns less than 5%
    • G••••• J•••••• · Chief Financial Officer / Chief Compliance Officer
      since 02/2012 · owns less than 5%
    • K••••••• V••••• A• · Director Of Operations
      since 02/2012 · owns less than 5%
    • S•••••• F••••• M••• · Portfolio Manager
      since 02/2012 · owns less than 5%
    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
    • Business name · G•• P•••••••• L• to G•• P••••••• L•
      Mar 31, 2015 to May 11, 2015
    • Accounts · 1 to 2
      Apr 16, 2014 to Mar 31, 2015
    • Employees · 10 to 9
      Apr 16, 2014 to Mar 31, 2015
    • State-registered IARs · 8 to 7
      Apr 16, 2014 to Mar 31, 2015
    • Discretionary RAUM · $234M to $361M
      Apr 16, 2014 to Mar 31, 2015
    • RAUM · $234M to $361M
      Apr 16, 2014 to Mar 31, 2015
    • Legal name · G•• P•••••••• L• to G•• P••••••• L•
      Apr 1, 2014 to Apr 16, 2014
    Signals
    1 dated events
    • G•• P•••••••• L• filed its initial SEC registration (Form ADV)
      Apr 1, 2014 · 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