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• A•••• M••••••••• L••••••

Former SEC-registered adviserLondon, CRD 164164SEC 801-76722IAPD
Latest filing Mar 29, 2016
First filing on the tape May 18, 2012 · 19 filings
RAUM
$886M
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
10
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$886M as of Mar 29, 2016
Mar 28, 2013$1.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Mar 28, 20130 then
Employees (5.A)10 as of Mar 29, 2016
Mar 28, 201314 then
Private funds: no history
RAUM -13% over the last fiscal year-15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2016; 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
$295MderivedRAUM 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
unknownderived2 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, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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)
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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• M••••••• L•••• · Director, Chief Compliance Officercontrol
        since 05/2013 · owns less than 5%
      • C••••••• P•••• M••••• · Chairmancontrol
        since 12/2007 · owns less than 5%
      • F•••• R••••• · Directorcontrol
        since 02/2015 · owns less than 5%
      Entity owners
      • G• A•••• M••••••••• I••••••••• · Sh
        direct · owns 75% or more
      • G•••••• E••••••• C•••••• · Sh
        indirect · owns 75% or more of G• A•••• M••••••••• I••••••••• · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list G• A•••• M••••••••• L•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Munich, Germany
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 3
        Mar 26, 2015 to Mar 29, 2016
      • Advisory employees · 7 to 8
        Mar 26, 2015 to Mar 29, 2016
      • Employees · 9 to 10
        Mar 26, 2015 to Mar 29, 2016
      • Discretionary RAUM · $1.0B to $886M
        Mar 26, 2015 to Mar 29, 2016
      • RAUM · $1.0B to $886M
        Mar 26, 2015 to Mar 29, 2016
      • Accounts · 16 to 4
        Feb 20, 2015 to Mar 26, 2015
      • Advisory employees · 8 to 7
        Feb 20, 2015 to Mar 26, 2015
      • Advisory activities · 2 to 1
        Feb 20, 2015 to Mar 26, 2015
      • Employees · 10 to 9
        Feb 20, 2015 to Mar 26, 2015
      • Discretionary RAUM · $1.4B to $1.0B
        Feb 20, 2015 to Mar 26, 2015
      • RAUM · $1.4B to $1.0B
        Feb 20, 2015 to Mar 26, 2015
      • Accounts · 18 to 16
        Jan 22, 2014 to Mar 27, 2014
      • Advisory employees · 7 to 8
        Jan 22, 2014 to Mar 27, 2014
      • Employees · 13 to 10
        Jan 22, 2014 to Mar 27, 2014
      • Discretionary RAUM · $1.5B to $1.4B
        Jan 22, 2014 to Mar 27, 2014
      • RAUM · $1.5B to $1.4B
        Jan 22, 2014 to Mar 27, 2014
      • Employees · 14 to 13
        Apr 11, 2013 to Jun 12, 2013
      • Accounts · 16 to 18
        Jan 3, 2013 to Mar 28, 2013
      • Advisory employees · 9 to 7
        Jan 3, 2013 to Mar 28, 2013
      • Employees · 17 to 14
        Jan 3, 2013 to Mar 28, 2013
      • Discretionary RAUM · $1.7B to $1.5B
        Jan 3, 2013 to Mar 28, 2013
      • RAUM · $1.7B to $1.5B
        Jan 3, 2013 to Mar 28, 2013
      • Advisory employees · unset to 9.0
        Aug 28, 2012 to Jan 3, 2013
      • BD registered reps · unset to 0.0
        Aug 28, 2012 to Jan 3, 2013
      • Employees · unset to 17.0
        Aug 28, 2012 to Jan 3, 2013
      • State-registered IARs · unset to 0.0
        Aug 28, 2012 to Jan 3, 2013
      Signals
      No event on the tape.
      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