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

4••• G••

Former SEC-registered adviserBrighton, MichiganCRD 169877SEC 801-78872IAPD
Legal name 4••••• G••• L••
Latest filing Mar 31, 2017
First filing on the tape Nov 22, 2013 · 12 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 31, 2017
Mar 26, 20143 then
Employees (5.A)3 as of Mar 31, 2017
Mar 26, 20149 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2017; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
otherreportedItem 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)
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H•••••• A•••••• P•••••• · Principal Owner/Presidentcontrol
      since 12/2012 · owns 75% or more
    • R••••••• K••••••• N••••• · Chief Compliance Officercontrol
      since 03/2016 · owns less than 5%
    • W••••••• C•••• E••••• · Chief Information Security Officer
      since 11/2015 · owns less than 5%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Employees · 4 to 3
      Mar 23, 2016 to Mar 31, 2017
    • BD registered reps · 3 to 2
      Nov 17, 2015 to Mar 23, 2016
    • Employees · 9 to 4
      Nov 17, 2015 to Mar 23, 2016
    • Insurance-licensed employees · 3 to 2
      Nov 17, 2015 to Mar 23, 2016
    • State-registered IARs · 3 to 2
      Nov 17, 2015 to Mar 23, 2016
    • Business name · 4••••• G••• L•• to 4••• G••
      Sep 8, 2015 to Sep 21, 2015
    • Advisory employees · 3 to 1
      Dec 20, 2013 to Mar 26, 2014
    • BD registered reps · 1 to 3
      Dec 20, 2013 to Mar 26, 2014
    • Employees · 3 to 9
      Dec 20, 2013 to Mar 26, 2014
    • Insurance-licensed employees · 1 to 3
      Dec 20, 2013 to Mar 26, 2014
    • Financial planning clients · 0 to unset
      Dec 20, 2013 to Mar 26, 2014
    • State-registered IARs · 1 to 3
      Dec 20, 2013 to Mar 26, 2014
    • Succession · true to false
      Nov 22, 2013 to Dec 20, 2013
    Signals
    2 dated events
    • 4••••• G••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Nov 22, 2013 · Succession (Item 4) · fact
    • 4••••• G••• L•• filed its initial SEC registration (Form ADV)
      Nov 22, 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