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••••• C••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jun 5, 2013 · 16 filings
SEC status approved since Aug 3, 2022
RAUM
$186M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$186M as of Mar 30, 2026
Mar 26, 2014$521M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 26, 20140 then
Employees (5.A)4 as of Mar 30, 2026
Mar 26, 20148 then
Private funds1 as of Mar 30, 2026
Mar 26, 20141 then
RAUM +14% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $46.5MderivedRAUM 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
- +14%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
- $86.1M, 3 clientsreportedItem 9.A
- 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
- Pooled investment vehicles$186M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $86.1M for 3 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G••••• C•••••• C••••••••• M••••• F••• L•• | Hedge Fund | $97.1M | 26 | Mar 30, 2016 |
| G•• L• I• L••no longer reported | Hedge Fund | $54.5M | 1 | Jan 29, 2019 |
| G••••• F•••••••• F••• L•no longer reported | Hedge Fund | $28.6M | 4 | Mar 31, 2022 |
| G••••• S•••••• O••••••••• 5•• L•no longer reported | Hedge Fund | $15.7M | 2 | Mar 30, 2021 |
| G••••• C•••••• P••••••• M••••• F••• L••no longer reported | Hedge Fund | $3.8M | 20 | Jan 8, 2013 |
| G••••• C•••••• P•••••••• L•no longer reported | Hedge Fund | $3.4M | 4 | Jan 8, 2013 |
Owners and control persons
Schedule A and B, latest filing
- S••••••• G•••••• K••• · Member And Chief Compliance Officercontrolsince 05/2019 · owns 10% to 25%
- S•••••• P••• Y••••••• · Managing Membercontrolsince 03/2012 · owns 75% or more
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
- Assets in custody · $83.8M to $86.1MMar 28, 2025 to Mar 30, 2026
- Employees · 3 to 4Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $163M to $186MMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $163M to $186MMar 28, 2025 to Mar 30, 2026
- RAUM · $163M to $186MMar 28, 2025 to Mar 30, 2026
- Assets in custody · $75.3M to $83.8MMar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $134M to $163MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $134M to $163MMar 28, 2024 to Mar 28, 2025
- RAUM · $134M to $163MMar 28, 2024 to Mar 28, 2025
- Related bank · true to falseMar 28, 2024 to Mar 28, 2025
- Assets in custody · $69.0M to $75.3MMar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $125M to $134MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $125M to $134MMar 31, 2023 to Mar 28, 2024
- RAUM · $125M to $134MMar 31, 2023 to Mar 28, 2024
- Accounts · 6 to 4Jun 30, 2022 to Mar 31, 2023
- Pooled vehicle clients · 6 to 4Jun 30, 2022 to Mar 31, 2023
- Assets in custody · $75.3M to $69.0MJun 30, 2022 to Mar 31, 2023
- Private funds · 6 to 1Jun 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $186M to $125MJun 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $186M to $125MJun 30, 2022 to Mar 31, 2023
- RAUM · $186M to $125MJun 30, 2022 to Mar 31, 2023
- Accounts · 4 to 6Jun 20, 2019 to Jun 30, 2022
- Advisory activities · 2 to 1Jun 20, 2019 to Jun 30, 2022
- Pooled vehicle clients · 3 to 6Jun 20, 2019 to Jun 30, 2022
- Assets in custody · $26.3M to $75.3MJun 20, 2019 to Jun 30, 2022
- Employees · 5 to 3Jun 20, 2019 to Jun 30, 2022
- Private funds · 3 to 6Jun 20, 2019 to Jun 30, 2022
- Discretionary RAUM · $106M to $186MJun 20, 2019 to Jun 30, 2022
- Pooled vehicle RAUM · $97.7M to $186MJun 20, 2019 to Jun 30, 2022
- RAUM · $106M to $186MJun 20, 2019 to Jun 30, 2022
- Accounts · 2 to 4Mar 22, 2018 to Jan 29, 2019
- Advisory employees · 5 to 3Mar 22, 2018 to Jan 29, 2019
- Advisory activities · 1 to 2Mar 22, 2018 to Jan 29, 2019
- Pooled vehicle clients · 2 to 3Mar 22, 2018 to Jan 29, 2019
- Assets in custody · $236M to $26.3MMar 22, 2018 to Jan 29, 2019
- Employees · 9 to 5Mar 22, 2018 to Jan 29, 2019
- Private funds · 2 to 3Mar 22, 2018 to Jan 29, 2019
- Discretionary RAUM · $360M to $106MMar 22, 2018 to Jan 29, 2019
- Pooled vehicle RAUM · $360M to $97.7MMar 22, 2018 to Jan 29, 2019
Signals
5 dated events
- Ira Seth Berman (Chief Financial Officer; Chief Compliance Officer) no longer on Schedule A of G••••• C••••••• L•• (listed 2019-01-29, absent 2019-06-20)Jun 20, 2019 · Control person left · inference
- G••••• C••••••• L•• reported RAUM $106.1M, down 71% from $360.5M (2018-03-22 to 2019-01-29)Jan 29, 2019 · RAUM change · derived
- Robert Matthew Schutzman (Member) no longer on Schedule A of G••••• C••••••• L•• (listed 2018-03-22, absent 2019-01-29)Jan 29, 2019 · Control person left · inference
- G••••• C••••••• L•• reported RAUM $360.5M, down 27% from $492.7M (2017-06-16 to 2018-03-22)Mar 22, 2018 · RAUM change · derived
- G••••• C••••••• L•• filed its initial SEC registration (Form ADV)Jun 5, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- G••••• C••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 310-733-2500reportedpublic record, Form ADV, Sep 14, 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