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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
G••••• C•••••• A•••••••• I•••
Latest filing Mar 3, 2020
First filing on the tape Mar 3, 2014 · 8 filings
RAUM
$309M
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
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$309M as of Mar 3, 2020
Mar 16, 2015$440M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 3, 2020
Mar 16, 20150 then
Employees (5.A)3 as of Mar 3, 2020
Mar 16, 20152 then
Private funds: 1
RAUM +15% over the last fiscal year-6.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 3, 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
- $155MderivedRAUM 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
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$309M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•••••• C•••••• S••••• F••• L•• • S••••• G•no longer reported | Hedge Fund | $440M | 1 | Mar 3, 2014 |
Owners and control persons
Schedule A and B, latest filing
- W••••• C••••••••• T••••• · President And Chief Compliance Officercontrolsince 12/2013 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $269M to $309MMar 25, 2019 to Mar 3, 2020
- Pooled vehicle RAUM · $269M to $309MMar 25, 2019 to Mar 3, 2020
- RAUM · $269M to $309MMar 25, 2019 to Mar 3, 2020
- Accounts · 1 to 2Mar 16, 2018 to Mar 25, 2019
- Advisory employees · 2 to 3Mar 16, 2018 to Mar 25, 2019
- Pooled vehicle clients · 1 to 2Mar 16, 2018 to Mar 25, 2019
- Employees · 2 to 3Mar 16, 2018 to Mar 25, 2019
- Discretionary RAUM · $369M to $269MMar 16, 2018 to Mar 25, 2019
- Pooled vehicle RAUM · $369M to $269MMar 16, 2018 to Mar 25, 2019
- RAUM · $369M to $269MMar 16, 2018 to Mar 25, 2019
- Accounts · 2 to 1Mar 21, 2017 to Mar 16, 2018
- Pooled vehicle clients · unset to 1.0Mar 21, 2017 to Mar 16, 2018
- Other offices · unset to 1.0Mar 21, 2017 to Mar 16, 2018
- Discretionary RAUM · $373M to $369MMar 21, 2017 to Mar 16, 2018
- Pooled vehicle RAUM · unset to 368513689.0Mar 21, 2017 to Mar 16, 2018
- RAUM · $373M to $369MMar 21, 2017 to Mar 16, 2018
- Advisory employees · 3 to 2Jan 18, 2017 to Mar 21, 2017
- Employees · 3 to 2Jan 18, 2017 to Mar 21, 2017
- Discretionary RAUM · $304M to $373MJan 18, 2017 to Mar 21, 2017
- RAUM · $304M to $373MJan 18, 2017 to Mar 21, 2017
- Accounts · 1 to 2Mar 16, 2015 to Mar 23, 2016
- Advisory employees · 2 to 3Mar 16, 2015 to Mar 23, 2016
- Employees · 2 to 3Mar 16, 2015 to Mar 23, 2016
- Private funds · 1 to unsetMar 16, 2015 to Mar 23, 2016
- Discretionary RAUM · $440M to $304MMar 16, 2015 to Mar 23, 2016
- RAUM · $440M to $304MMar 16, 2015 to Mar 23, 2016
- Discretionary RAUM · $341M to $440MMar 3, 2014 to Mar 16, 2015
- RAUM · $341M to $440MMar 3, 2014 to Mar 16, 2015
Signals
1 dated events
- G••••• C•••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Mar 3, 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