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Former SEC-registered adviser

G•••• O•• C•••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 166367SEC 801-79528IAPD
Latest filing Jun 3, 2016
First filing on the tape Mar 31, 2014 · 5 filings
RAUM
$159M
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
1
$145M gross assets
History
5 filings and snapshots on the tape
RAUM$159M as of Mar 23, 2016
Mar 30, 2015$146M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2016
Mar 30, 20150 then
Employees (5.A)10 as of Mar 23, 2016
Mar 30, 20159 then
Private funds1 as of Mar 23, 2016
Mar 30, 20151 then
RAUM +9.2% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 3, 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
$39.9MderivedRAUM 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
+9.2%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
$145M, 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
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.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
4reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$145M for 3 clientsreported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G••• M••••• F•••• L•••Hedge Fund$145M56Apr 8, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• R•••• E•••••• · Membercontrol
        since 07/2012 · owns 75% or more
      • M•••••• S•••• H••••• · Chief Compliance Officer And Chief Financial Officercontrol
        since 12/2015 · owns less than 5%
      Related persons
      Schedule D 7.A
      • G•••• O•• C••••••• L••
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Dallas, TX
      What changed
      consecutive filings, newest first
      • Advisory employees · 9 to 8
        Mar 30, 2015 to Mar 23, 2016
      • Assets in custody · $116M to $145M
        Mar 30, 2015 to Mar 23, 2016
      • Employees · 9 to 10
        Mar 30, 2015 to Mar 23, 2016
      • Discretionary RAUM · $146M to $159M
        Mar 30, 2015 to Mar 23, 2016
      • RAUM · $146M to $159M
        Mar 30, 2015 to Mar 23, 2016
      • Accounts · 2 to 4
        Jan 21, 2015 to Mar 30, 2015
      • Advisory employees · 8 to 9
        Jan 21, 2015 to Mar 30, 2015
      • Assets in custody · $92.0M to $116M
        Jan 21, 2015 to Mar 30, 2015
      • Employees · 8 to 9
        Jan 21, 2015 to Mar 30, 2015
      • Financial planning clients · unset to 1-10
        Jan 21, 2015 to Mar 30, 2015
      • Discretionary RAUM · $92.0M to $146M
        Jan 21, 2015 to Mar 30, 2015
      • RAUM · $92.0M to $146M
        Jan 21, 2015 to Mar 30, 2015
      • Private funds · 2 to 1
        Mar 31, 2014 to Jan 21, 2015
      Signals
      1 dated events
      • G•••• O•• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 31, 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