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• S•••• C•••••• P•••••••• L••

Former SEC-registered adviserRowayton, ConnecticutCRD 166358SEC 801-77570IAPD
Latest filing Sep 28, 2017
First filing on the tape Jan 10, 2013 · 6 filings
RAUM
$86.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$28.8M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$94.7M gross assets
History
6 filings and snapshots on the tape
RAUM$102M as of Mar 29, 2017
Mar 27, 2014$160M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2017
Mar 27, 20140 then
Employees (5.A)3 as of Mar 29, 2017
Mar 27, 20143 then
Private funds5 as of Mar 29, 2017
Mar 27, 20145 then
RAUM -70% over the last fiscal year-19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 28, 2017; every figure names its basis
RAUM per advisor
$28.8MderivedRAUM 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
$7.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-65%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
12reported
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
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
A••••• K••• M•••••Darien, CtNov 9, 201713 y0
F•••••••• B•••••• S••••••Darien, CtDec 11, 201728 y0
G•••••• D•••• S••••Jackson, WyDec 21, 201733 y0
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G• S•••• C•••••• P••••••• I• L•••Private Equity Fund$33.8M4Jan 10, 2013
      G••• V•••••••• L••Other Private Fund$27.8M8Mar 27, 2014
      R••••••• C•••••• P•••••••• L••Other Private Fund$13.3M13Jan 10, 2013
      G••• M••• L••Other Private Fund$12.7M9Mar 30, 2015
      S•• E••••• P••••••• I• L••Other Private Fund$7.2M8Jan 10, 2013
      B•• V••••••• L••no longer reportedOther Private Fund$3.5M16Mar 27, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• K••••••• P•••• · Chief Compliance Officercontrol
        since 08/2017 · owns less than 5%
      • S••••• G••••••• D•••• · Managercontrol
        since 11/2012 · owns less than 5%
      • S••••• F••••••• A•••••• · Trusteecontrol
        since 12/1993 · owns 75% or more of F•••••• A•••••• S•••• R•••••••• T•••• U•••• D•••• D••••••• 1•• 1•••• A• A••••••
      • S••••• G••••••• D•••• · Member, Managercontrol
        since 12/2012 · owns 50% to 75% of G• S•••• H••••••• L••
      Entity owners
      • G• S•••• H••••••• L•• · Member
        direct · owns 75% or more
      • F•••••• A•••••• S•••• R•••••••• T•••• U•••• D•••• D••••••• 1•• 1•••• A• A•••••• · Member
        indirect · owns 75% or more of T•••• 1• L••
      • T•••• 1• L•• · Member
        indirect · owns 25% to 50% of G• S•••• H••••••• L••
      Related persons
      Schedule D 7.A
      • G• S•••• H••••••• L••
        pooled vehicle sponsory
      • G•••••• D•••• S••••
        pooled vehicle sponsory
      • K•••••• P•••• B•••••
        y
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Darien, Ct200
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $102M to $86.3M
        Mar 29, 2017 to Sep 28, 2017
      • RAUM · $102M to $86.3M
        Mar 29, 2017 to Sep 28, 2017
      • Discretionary RAUM · $291M to $102M
        Mar 29, 2016 to Mar 29, 2017
      • RAUM · $291M to $102M
        Mar 29, 2016 to Mar 29, 2017
      • Discretionary RAUM · $224M to $291M
        Mar 30, 2015 to Mar 29, 2016
      • RAUM · $224M to $291M
        Mar 30, 2015 to Mar 29, 2016
      • Discretionary RAUM · $160M to $224M
        Mar 27, 2014 to Mar 30, 2015
      • RAUM · $160M to $224M
        Mar 27, 2014 to Mar 30, 2015
      • Accounts · 10 to 12
        Jan 10, 2013 to Mar 27, 2014
      • Private funds · 3 to 5
        Jan 10, 2013 to Mar 27, 2014
      • Discretionary RAUM · $100M to $160M
        Jan 10, 2013 to Mar 27, 2014
      • RAUM · $100M to $160M
        Jan 10, 2013 to Mar 27, 2014
      Signals
      1 dated events
      • G• S•••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
        Jan 10, 2013 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      S••••CAP.COMreportedpublic record, Form ADV, Sep 18, 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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $28.8Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026