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••••••• L••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 167651SEC 801-78220IAPD
Latest filing Mar 27, 2020
First filing on the tape Jun 12, 2013 · 17 filings
RAUM
$1.2B
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
47
20 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
$1.2B gross assets
History
17 filings and snapshots on the tape
RAUM$1.2B as of Mar 27, 2020
Mar 31, 2014$170M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2020
Mar 31, 20140 then
Employees (5.A)47 as of Mar 27, 2020
Mar 31, 201472 then
Private funds3 as of Mar 27, 2020
Mar 31, 20141 then
RAUM +0.0% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2020; 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
$397MderivedRAUM 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
+0.0%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
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.2B100%
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 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G••••••• B•• C•• 2••••• L•••Securitized Asset Fund$398M1Feb 28, 2018
      G••••••• F•••••• 2••••• L•••Securitized Asset Fund$396M2Oct 31, 2013
      G••••••• F•••••• 2••••• L•••Securitized Asset Fund$395M1Mar 30, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• B••••• S••••• · Member And Chief Executive Officercontrol
        since 04/2013 · owns less than 5%
      • T•••••• J•••••• B• · Partner & Ccocontrol
        since 05/2007 · owns 75% or more
      • T•••••• J•••••• B• · Member And Managercontrol
        since 07/2016 · owns 50% to 75% of J••• B••••••• L••
      • T•••••• J•••••• B• · Membercontrol
        since 05/2007 · owns 75% or more of G•• G• L••
      • T•••••• J•••••• B• · Partner & Ccocontrol
        since 05/2007 · owns 75% or more of G••••••• I••••••••• G•••• L•
      Entity owners
      • G••••••• I••••••••• G•••• L• · Member
        direct · owns 75% or more
      • G•• G• L•• · Partner
        indirect · owns F of G••••••• I••••••••• G•••• L•
      • J••• B••••••• L•• · Member
        indirect · owns F of G•• G• L••
      Related persons
      Schedule D 7.A
      • F•••••••• O••••••• M••••• G• I• L••
        pooled vehicle sponsorn
      • F•••••••• O••••••• M••••• G• L••
        pooled vehicle sponsorn
      • G••••••• A•••• C••••••••• F••• G• L••
        pooled vehicle sponsorn
      • G••••••• B••••••• F•••••• G• L••
        pooled vehicle sponsorn
      • G••••••• B••••••• M••••••••• L••
        investment advisern
      • G••••••• C•••••• A••••••• L••
        investment advisernRAUM $464M
      • G••••••• C••••• O••••••••• G• L••
        pooled vehicle sponsorn
      • G••••••• C••••• O••••••••• M••••• G• L••
        pooled vehicle sponsorn
      • G••••••• E•••••••• C•••••••• G• L••
        pooled vehicle sponsorn
      • G••••••• E••••••• R••• E••••• L•••••• F••• I• M• L••
        pooled vehicle sponsorn
      • G••••••• F•••••••• A••••• M• L••
        pooled vehicle sponsorn
      • G••••••• I••••••••• G•••• I••••••••• A••••••• L••
        investment advisern
      • G••••••• I••••••••• G•••• L•
        investment advisernRAUM $195M
      • G••••••• I••••••••• M••••••••• L••
        investment advisern
      • G••••••• L••••• F•••••• G• L••
        pooled vehicle sponsorn
      • G••••••• M••••• M••••• F•••••• G• L••
        pooled vehicle sponsorn
      • G••••••• M••••• M••••• F•••••• I• G• L••
        pooled vehicle sponsorn
      • G••••••• M••••• M••••• I• G• L••
        investment advisern
      • G••••••• M••••• M••••• I• L•••
        pooled vehicle sponsorn
      • G••••••• M•• C••••••••• F••• G• L••
        pooled vehicle sponsorn
      • G••••••• O••••••••• F••• I•• A• M• L••
        pooled vehicle sponsorn
      • G••••••• O••••••••• F••• I•• B• G• L••
        pooled vehicle sponsorn
      • G••••••• O••••••••• F••• I• A• M• L••
        pooled vehicle sponsorn
      • G••••••• O••••••••• F••• I• A• P• M• L••
        pooled vehicle sponsorn
      • G••••••• O••••••••• F••• I• B• A•• G• L••
        pooled vehicle sponsorn
      • G••••••• O••••••••• F••• I• B• G• L••
        pooled vehicle sponsorn
      • G••••••• O••••••••• G• I• C• L••
        pooled vehicle sponsorn
      • G••••••• O••••••••• M• I• A• L••
        pooled vehicle sponsorn
      • G••••••• O••••••••• M• L••
        pooled vehicle sponsorn
      • G••••••• P•••••• C•••••••• G• L••
        pooled vehicle sponsorn
      Advisers that list G••••••• L••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 32 to 20
        Oct 17, 2019 to Mar 27, 2020
      • BD registered reps · 3 to 2
        Oct 17, 2019 to Mar 27, 2020
      • Employees · 63 to 47
        Oct 17, 2019 to Mar 27, 2020
      • Discretionary RAUM · $1.2B to $1.2B
        Oct 17, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $1.2B to $1.2B
        Oct 17, 2019 to Mar 27, 2020
      • RAUM · $1.2B to $1.2B
        Oct 17, 2019 to Mar 27, 2020
      • Related broker-dealer · true to false
        Oct 17, 2019 to Mar 27, 2020
      • Advisory employees · 36 to 32
        Jan 31, 2019 to Mar 29, 2019
      • Assets in custody · unset to 0.0
        Jan 31, 2019 to Mar 29, 2019
      • Employees · 71 to 63
        Jan 31, 2019 to Mar 29, 2019
      • Discretionary RAUM · $1.0B to $1.2B
        Jan 31, 2019 to Mar 29, 2019
      • Pooled vehicle RAUM · $1.0B to $1.2B
        Jan 31, 2019 to Mar 29, 2019
      • RAUM · $1.0B to $1.2B
        Jan 31, 2019 to Mar 29, 2019
      • Advisory employees · 37 to 36
        Feb 28, 2018 to Mar 29, 2018
      • Employees · 70 to 71
        Feb 28, 2018 to Mar 29, 2018
      • Other offices · 0 to 1
        Feb 28, 2018 to Mar 29, 2018
      • Related bank · false to true
        Feb 28, 2018 to Mar 29, 2018
      • Accounts · 2 to 3
        Mar 31, 2017 to Feb 28, 2018
      • Advisory employees · 42 to 37
        Mar 31, 2017 to Feb 28, 2018
      • Pooled vehicle clients · unset to 3.0
        Mar 31, 2017 to Feb 28, 2018
      • Employees · 79 to 70
        Mar 31, 2017 to Feb 28, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Feb 28, 2018
      • Private funds · 2 to 3
        Mar 31, 2017 to Feb 28, 2018
      • Discretionary RAUM · $847M to $1.0B
        Mar 31, 2017 to Feb 28, 2018
      • Pooled vehicle RAUM · unset to 1006647189.0
        Mar 31, 2017 to Feb 28, 2018
      • RAUM · $847M to $1.0B
        Mar 31, 2017 to Feb 28, 2018
      • Advisory employees · 44 to 42
        Mar 30, 2016 to Mar 31, 2017
      • BD registered reps · 4 to 3
        Mar 30, 2016 to Mar 31, 2017
      • Employees · 80 to 79
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $471M to $847M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $471M to $847M
        Mar 30, 2016 to Mar 31, 2017
      • Accounts · 1 to 2
        Jun 1, 2015 to Mar 30, 2016
      • Advisory employees · 46 to 44
        Jun 1, 2015 to Mar 30, 2016
      • BD registered reps · 5 to 4
        Jun 1, 2015 to Mar 30, 2016
      • Private funds · 1 to 2
        Jun 1, 2015 to Mar 30, 2016
      • Discretionary RAUM · $169M to $471M
        Jun 1, 2015 to Mar 30, 2016
      • RAUM · $169M to $471M
        Jun 1, 2015 to Mar 30, 2016
      • Advisory employees · 45 to 46
        Mar 31, 2014 to Mar 27, 2015
      • Employees · 72 to 80
        Mar 31, 2014 to Mar 27, 2015
      • Discretionary RAUM · $170M to $169M
        Mar 31, 2014 to Mar 27, 2015
      Signals
      4 dated events
      • Joseph Matthew Lambert (Chief Compliance Officer) no longer on Schedule A of G••••••• L••• M••••••••• L•• (listed 2019-10-17, absent 2020-03-27)
        Mar 27, 2020 · Control person left · inference
      • M••• K•••••• B••••••••• (Chief Compliance Officer) no longer on Schedule A of G••••••• L••• M••••••••• L•• (listed 2018-06-25, absent 2019-01-31)
        Jan 31, 2019 · Control person left · inference
      • Joseph Matthew Lambert (Chief Compliance Officer) appeared on Schedule A of G••••••• L••• M••••••••• L••
        Jan 31, 2019 · Control person joined · fact
      • G••••••• L••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 12, 2013 · 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