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•••••• M••••••••• L•••
Latest filing Mar 30, 2026
First filing on the tape Nov 15, 2012 · 30 filings
SEC status approved since Apr 2, 2013
RAUM
$5.2B
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
19
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$5.2B as of Mar 30, 2026
Mar 28, 2014$2.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 28, 20140 then
Employees (5.A)19 as of Mar 30, 2026
Mar 28, 201414 then
Private funds3 as of Mar 30, 2026
Mar 30, 20151 then
RAUM -7.3% over the last fiscal year+5.6% 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
- $1.3BderivedRAUM 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
- -7.3%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
- $4.1B, 3 clientsreportedItem 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
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$5.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.1B 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•••••• O••••••••• F••• I•• L••• | Hedge Fund | $3.7B | 142 | Feb 28, 2020 |
| G•••••• O••••••••• F••• I••• L••• | Hedge Fund | $1.8B | 90 | May 30, 2023 |
| G•••••• O••••••••• F•••• L••• | Hedge Fund | $540M | 89 | Oct 13, 2014 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• M••••••• S•••• · Limited Partnercontrolsince 10/2012 · owns 25% to 50%
- B•••••• B••••• D• · Limited Partnercontrolsince 04/2013 · owns 5% to 10%
- D••••••• C••••••••• R• · Limited Partnercontrolsince 10/2021 · owns 5% to 10%
- M••••••••• H•••• M••• · Chief Compliance Officer / Chief Operating Officercontrolsince 03/2020 · owns less than 5%
- M•••••• J•••••• T••••• · Head Of Finance And Accountingcontrolsince 02/2024 · owns less than 5%
- O••••• H••••• K•• · Limited Partnercontrolsince 10/2012 · owns 10% to 25%
- S••••• C••••••••• R••••• · Limited Partnercontrolsince 01/2018 · owns 10% to 25%
- T••••• A••••••••• L•••• · Limited Partnercontrolsince 10/2021 · owns 10% to 25%
- B••••••• M••••••• S•••• · Limited Partnercontrolsince 10/2012 · owns 25% to 50% of G•••••• C•••••• M••••••••• L••
- B•••••• B••••• D• · Limited Partnercontrolsince 04/2013 · owns F of G•••••• C•••••• M••••••••• L••
- D••••••• C••••••••• R• · Limited Partnercontrolsince 10/2021 · owns F of G•••••• C•••••• M••••••••• L••
- O••••• H••••• K•• · Limited Partnercontrolsince 10/2012 · owns F of G•••••• C•••••• M••••••••• L••
- S••••• C••••••••• R••••• · Limited Partnercontrolsince 01/2018 · owns F of G•••••• C•••••• M••••••••• L••
- T••••• A••••••••• L•••• · Limited Partnercontrolsince 10/2021 · owns F of G•••••• C•••••• M••••••••• L••
Entity owners
- G•••••• C•••••• M••••••••• L•• · General Partnerdirect · owns less than 5%
- G•••••• E••••••• C•••••• • M• L• · Limited Partnerdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- G•••••• C•••••• A••••••••• I• L••investment adviserpooled vehicle sponsorn
- G•••••• C•••••• A••••••••• I•• L••investment adviserpooled vehicle sponsorn
- G•••••• C•••••• A••••••••• L••investment adviserpooled vehicle sponsorn
- G•••••• S••••••• L•••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 4Mar 28, 2025 to Mar 30, 2026
- Advisory employees · 12 to 11Mar 28, 2025 to Mar 30, 2026
- Advisory activities · 2 to 1Mar 28, 2025 to Mar 30, 2026
- Assets in custody · $4.2B to $4.1BMar 28, 2025 to Mar 30, 2026
- Employees · 21 to 19Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $5.7B to $5.2BMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $5.7B to $5.2BMar 28, 2025 to Mar 30, 2026
- RAUM · $5.7B to $5.2BMar 28, 2025 to Mar 30, 2026
- Advisory employees · 13 to 12Mar 27, 2024 to Mar 28, 2025
- Assets in custody · $4.6B to $4.2BMar 27, 2024 to Mar 28, 2025
- Employees · 20 to 21Mar 27, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $6.1B to $5.7BMar 27, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $6.1B to $5.7BMar 27, 2024 to Mar 28, 2025
- RAUM · $6.1B to $5.7BMar 27, 2024 to Mar 28, 2025
- Accounts · 4 to 5May 30, 2023 to Mar 27, 2024
- Advisory employees · 12 to 13May 30, 2023 to Mar 27, 2024
- Pooled vehicle clients · 3 to 4May 30, 2023 to Mar 27, 2024
- Assets in custody · $3.7B to $4.6BMay 30, 2023 to Mar 27, 2024
- Employees · 19 to 20May 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $4.4B to $6.1BMay 30, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $4.4B to $6.1BMay 30, 2023 to Mar 27, 2024
- RAUM · $4.4B to $6.1BMay 30, 2023 to Mar 27, 2024
- Private funds · 2 to 3Mar 31, 2023 to May 30, 2023
- Assets in custody · $4.1B to $3.7BNov 3, 2022 to Mar 31, 2023
- Employees · 18 to 19Nov 3, 2022 to Mar 31, 2023
- Discretionary RAUM · $5.2B to $4.4BNov 3, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $5.1B to $4.4BNov 3, 2022 to Mar 31, 2023
- RAUM · $5.2B to $4.4BNov 3, 2022 to Mar 31, 2023
- Advisory employees · 15 to 12Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $2.6B to $4.1BMar 31, 2021 to Mar 31, 2022
- Employees · 21 to 18Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $4.4B to $5.2BMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $4.3B to $5.1BMar 31, 2021 to Mar 31, 2022
- RAUM · $4.4B to $5.2BMar 31, 2021 to Mar 31, 2022
- Advisory employees · 14 to 15Dec 2, 2020 to Mar 31, 2021
- Assets in custody · $1.7B to $2.6BDec 2, 2020 to Mar 31, 2021
- Employees · 20 to 21Dec 2, 2020 to Mar 31, 2021
- Discretionary RAUM · $4.5B to $4.4BDec 2, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $4.4B to $4.3BDec 2, 2020 to Mar 31, 2021
Signals
17 dated events
- G•••••• C•••••• M••••••••• L••• reported RAUM $6.1B, up 38% from $4.4B (2023-05-30 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- Qian Shang Ni (Chief Financial Officer) no longer on Schedule A of G•••••• C•••••• M••••••••• L••• (listed 2023-05-30, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Alyssa Ellard (Chief Operating Officer) no longer on Schedule A of G•••••• C•••••• M••••••••• L••• (listed 2023-05-30, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Thomas Joseph Murray (Head Of Finance And Accounting) appeared on Schedule A of G•••••• C•••••• M••••••••• L•••Mar 27, 2024 · Control person joined · fact
- Qian Shang Ni (Chief Financial Officer) appeared on Schedule A of G•••••• C•••••• M••••••••• L•••Nov 3, 2022 · Control person joined · fact
- Alyssa Ellard (Chief Operating Officer) appeared on Schedule A of G•••••• C•••••• M••••••••• L•••Nov 3, 2022 · Control person joined · fact
- Nmn Sandeep Dhuper (Chief Financial Officer / Chief Operating Officer) no longer on Schedule A of G•••••• C•••••• M••••••••• L••• (listed 2022-03-31, absent 2022-11-03)Nov 3, 2022 · Control person left · inference
- Jacob Simon Eitan Melamed (Limited Partner, Managing Director) no longer on Schedule A of G•••••• C•••••• M••••••••• L••• (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Joseph Michael Keegan (Limited Partner, Managing Director) no longer on Schedule A of G•••••• C•••••• M••••••••• L••• (listed 2021-03-31, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Lyman Alexander Thain (Limited Partner) appeared on Schedule A of G•••••• C•••••• M••••••••• L•••Mar 31, 2022 · Control person joined · fact
- R Christopher Delaney (Limited Partner) appeared on Schedule A of G•••••• C•••••• M••••••••• L•••Mar 31, 2022 · Control person joined · fact
- John David Poulten (Chief Operating Officer / Chief Financial Officer) no longer on Schedule A of G•••••• C•••••• M••••••••• L••• (listed 2020-03-30, absent 2020-12-02)Dec 2, 2020 · Control person left · inference
- Nmn Sandeep Dhuper (Chief Financial Officer / Head Of Operations) appeared on Schedule A of G•••••• C•••••• M••••••••• L•••Dec 2, 2020 · Control person joined · fact
- G•••••• C•••••• M••••••••• L••• reported RAUM $4.5B, up 136% from $1.9B (2020-02-28 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- M••• H••• M•••••••• (Chief Compliance Officer) appeared on Schedule A of G•••••• C•••••• M••••••••• L•••Mar 30, 2020 · Control person joined · fact
- Robert Christopher Sayer (Limited Partner, Managing Director) appeared on Schedule A of G•••••• C•••••• M••••••••• L•••Mar 28, 2019 · Control person joined · fact
- C••••••••• C•••••• M••••••••• L••• filed its initial SEC registration (Form ADV)Nov 15, 2012 · 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
- Principal office phone
- 310-907-0450reportedpublic record, Form ADV, Mar 30, 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