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•••••••
Legal name G••••••• A••••••• I•••
Latest filing Oct 30, 2024
First filing on the tape Feb 5, 2013 · 44 filings
RAUM
$847M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
99%
$838M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
7
$31.1M gross assets
History
44 filings and snapshots on the tape
RAUM$847M as of Mar 18, 2024
Mar 24, 2014$314M then
HNW client RAUM$835M as of Mar 18, 2024
Mar 29, 2018$543M then
State-registered IARs (5.B.3)0 as of Mar 18, 2024
Mar 24, 20143 then
Employees (5.A)8 as of Mar 18, 2024
Mar 24, 20144 then
Private funds7 as of Mar 18, 2024
Mar 30, 20201 then
RAUM +8.0% over the last fiscal year+4.4% a year over threeIARs 5 to 0offices 1 to 2
Practice profile
derived from the filing of Oct 30, 2024; 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
- $7.0MderivedHNW RAUM over HNW clients
- Average account
- $6.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.6%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$835M99%
- Pooled investment vehicles$7.0M0.8%
- Individuals$2.5M0.3%
- Individual clients
- 7reported
- HNW clients
- 119reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 129reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- D••••• P•••••••• to B•• P•••••• A•••• M••••••••• U• • L••Oct 24, 2024 · Other
- C••••••• M•••• P••••• to B•• P•••••• A•••• M••••••••• U• • L••Oct 24, 2024 · Other
- K•••• E•••••••• D•••• to B•• P•••••• A•••• M••••••••• U• • L••Oct 24, 2024 · Other
- M••••••• C••••• to B•• P•••••• A•••• M••••••••• U• • L••Oct 24, 2024 · Other
- L••• A•••••• S•••••• to B•• P•••••• A•••• M••••••••• U• • L••Oct 24, 2024 · Other
- J••••• T• M•••••• to B•• P•••••• A•••• M••••••••• U• • L••Oct 24, 2024 · Other
- J••• R•••••• R•••••• to C••••••••• F••••• O•••••• L••May 23, 2022 · RIA to a state-registered adviser
- S•••••••• L••••••••• to H••••• C••••••Mar 29, 2018 · RIA to a state-registered adviser
Joined, latest
- J••••• T• M•••••• from W•••• F•••• A•••••••Aug 3, 2021 · Other
- J••• R•••••• R•••••• from B••••• P•••••••• L••Nov 23, 2020 · Other
- L••• A•••••• S•••••• from B••••••• G••••• A•••••••Jan 31, 2014 · Other
- M••••••• C••••• from B••••••• G••••• A•••••••Jun 3, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for B•• P•••••• A•••• M••••••••• U• • L••Oct 24, 2024 · Miami, Fl · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• M••••••• · President And Chief Investment Officercontrolsince 09/2024 · owns less than 5%
- S••••••• L•••• A•••••• · Managing Directorcontrolsince 09/2024 · owns less than 5%
- G•••••••• C•••••• J••••• · Chief Compliance Officersince 06/2024 · owns less than 5%
Entity owners
- B•• P•••••• A•••• M••••••••• U• • L•• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- G•• A••••• G•• L••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Miami, Fl · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Guatemala, Guatemala1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5Mar 18, 2024 to Apr 17, 2024
- Other offices · 1 to 2Mar 18, 2024 to Apr 17, 2024
- Accounts · 118 to 129Aug 24, 2023 to Mar 18, 2024
- BD registered reps · 1 to 0Aug 24, 2023 to Mar 18, 2024
- HNW clients · 111 to 119Aug 24, 2023 to Mar 18, 2024
- Individual clients · 5 to 7Aug 24, 2023 to Mar 18, 2024
- Pooled vehicle clients · 1 to 2Aug 24, 2023 to Mar 18, 2024
- Employees · 6 to 8Aug 24, 2023 to Mar 18, 2024
- State-registered IARs · 5 to 0Aug 24, 2023 to Mar 18, 2024
- Private funds · 6 to 7Aug 24, 2023 to Mar 18, 2024
- Discretionary RAUM · $684M to $750MAug 24, 2023 to Mar 18, 2024
- HNW RAUM · $774M to $835MAug 24, 2023 to Mar 18, 2024
- Individual RAUM · $2.4M to $2.5MAug 24, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $100.0M to $97.1MAug 24, 2023 to Mar 18, 2024
- Pooled vehicle RAUM · $5.9M to $7.0MAug 24, 2023 to Mar 18, 2024
- RAUM · $784M to $847MAug 24, 2023 to Mar 18, 2024
- Accounts · 113 to 118Mar 31, 2022 to Mar 30, 2023
- Advisory employees · 8 to 4Mar 31, 2022 to Mar 30, 2023
- BD registered reps · 2 to 1Mar 31, 2022 to Mar 30, 2023
- HNW clients · 110 to 111Mar 31, 2022 to Mar 30, 2023
- Individual clients · unset to 5.0Mar 31, 2022 to Mar 30, 2023
- Pooled vehicle clients · unset to 1.0Mar 31, 2022 to Mar 30, 2023
- Employees · 12 to 6Mar 31, 2022 to Mar 30, 2023
- State-registered IARs · 8 to 5Mar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $670M to $684MMar 31, 2022 to Mar 30, 2023
- HNW RAUM · $781M to $774MMar 31, 2022 to Mar 30, 2023
- Individual RAUM · $0 to $2.4MMar 31, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $138M to $100.0MMar 31, 2022 to Mar 30, 2023
- Pension RAUM · 35464.0 to unsetMar 31, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $0 to $5.9MMar 31, 2022 to Mar 30, 2023
- RAUM · $809M to $784MMar 31, 2022 to Mar 30, 2023
- Accounts · 147 to 113Feb 10, 2022 to Mar 31, 2022
- Corporate clients · 99.0 to unsetFeb 10, 2022 to Mar 31, 2022
- HNW clients · 45 to 110Feb 10, 2022 to Mar 31, 2022
- Pooled vehicle clients · 1.0 to unsetFeb 10, 2022 to Mar 31, 2022
- Employees · 11 to 12Feb 10, 2022 to Mar 31, 2022
- Discretionary RAUM · $641M to $670MFeb 10, 2022 to Mar 31, 2022
- HNW RAUM · $83.0M to $781MFeb 10, 2022 to Mar 31, 2022
- Non-discretionary RAUM · $153M to $138MFeb 10, 2022 to Mar 31, 2022
- Pension RAUM · $0 to $35,464Feb 10, 2022 to Mar 31, 2022
Signals
11 dated events
- Francisco Carlos Pellas Chamorro (Shareholder) no longer on Schedule A of G••••••• A••••••• (listed 2024-06-12, absent 2024-10-30)Oct 30, 2024 · Control person left · inference
- J••••• T• M•••••• left G••••••• A••••••• for B•• P•••••• A•••• M••••••••• U• • L•• (registered 2025-01-30)Oct 24, 2024 · Advisor changed firm · fact
- K•••• E•••••••• D•••• left G••••••• A••••••• for B•• P•••••• A•••• M••••••••• U• • L•• (registered 2025-01-30)Oct 24, 2024 · Advisor changed firm · fact
- C••••••• M•••• P••••• left G••••••• A••••••• for B•• P•••••• A•••• M••••••••• U• • L•• (registered 2025-03-13)Oct 24, 2024 · Advisor changed firm · fact
- L••• A•••••• S•••••• left G••••••• A••••••• for B•• P•••••• A•••• M••••••••• U• • L•• (registered 2025-01-30)Oct 24, 2024 · Advisor changed firm · fact
- M••••••• C••••• left G••••••• A••••••• for B•• P•••••• A•••• M••••••••• U• • L•• (registered 2024-12-02)Oct 24, 2024 · Advisor changed firm · fact
- D••••• P•••••••• left G••••••• A••••••• for B•• P•••••• A•••• M••••••••• U• • L•• (registered 2025-01-30)Oct 24, 2024 · Advisor changed firm · fact
- G••••••• A•••••••'s advisors moved to B•• P•••••• A•••• M••••••••• U• • L•• (Miami, FL): 5 of 6 registered, on the same dayOct 24, 2024 · Firm absorbed (people side) · derived
- Catalina Rey De Sa (Chief Compliance Officer) no longer on Schedule A of G••••••• A••••••• (listed 2022-03-31, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- J••• R•••••• R•••••• left G••••••• A••••••• for C••••••••• F••••• O•••••• L•• (registered 2025-04-22)May 23, 2022 · Advisor changed firm · fact
- G••••••• A••••••• filed its initial SEC registration (Form ADV)Feb 5, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- G••••••• A••••••• · Private Equityshared crd · organization
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