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•••••• C••••••

Former SEC-registered adviserWoodland Hills, CaliforniaCRD 170568SEC 801-80482IAPD
Legal name G•••••• C••••••• L••
Latest filing Sep 26, 2017
First filing on the tape Oct 10, 2014 · 7 filings
RAUM
$467M
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
57
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
6
$467M gross assets
History
7 filings and snapshots on the tape
RAUM$467M as of Mar 15, 2017
Apr 1, 2015$92.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 15, 2017
Apr 1, 20150 then
Employees (5.A)57 as of Mar 15, 2017
Apr 1, 201522 then
Private funds6 as of Mar 15, 2017
Apr 1, 20153 then
RAUM -16% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 26, 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
$58.3MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-16%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, fixed fees, 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)
  • 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
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G•••••• C•••••• M••••• F••• I• L••Real Estate Fund$287M2May 12, 2014
      G•••••• C•••••• M••••• F••• I•• L••Real Estate Fund$53.3M1Dec 14, 2015
      G•••••• C•••••• M••••• F••• V••• L••Real Estate Fund$46.2M1Mar 15, 2017
      G•••••• C•••••• M••••• F••• I••• L••Real Estate Fund$43.6M2Oct 10, 2014
      G•••••• C•••••• M••••• F••• V• L••Real Estate Fund$35.8M1Mar 15, 2017
      G•••••• C•••••• M••••• F•••• L••no longer reportedOther Private Fund$26.9M33May 12, 2014
      G•••••• C•••••• M••••• F••• V•• L••Real Estate Fund$509,9141Mar 15, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• K•••• · General Counselcontrol
        since 09/2016 · owns less than 5%
      • D••• J•••• C••••• · Chief Compliance Officer, Chief Risk Officer, And Chief Legal Officercontrol
        since 07/2015 · owns less than 5%
      • H•••••••• B••••• D•••• · Directorcontrol
        since 01/2016 · owns less than 5%
      • K•••••• J••••• B•••• · Fund Executive Committee Member, Board Membercontrol
        since 01/2014 · owns less than 5%
      • L•••••• B••••• K•••• · Directorcontrol
        since 01/2014 · owns less than 5%
      • M••••••• R•••••• K••• · Co-Ceocontrol
        since 12/2014 · owns less than 5%
      • S••••• A•••••• S• F••••• · Senior Managing Directorcontrol
        since 01/2014 · owns less than 5%
      • S•••••••• E••••• M•••••• · Directorcontrol
        since 01/2014 · owns less than 5%
      • W••••••• R•••••• R••••• · Co-Ceocontrol
        since 01/2014 · owns less than 5%
      • W••••• T••••• R•••• · Member Of The Board Of Directorscontrol
        since 01/2014 · owns less than 5%
      • Z••••••••• D••••• E••• · Chief Financial Officer, Chief Administrative Officercontrol
        since 01/2014 · owns less than 5%
      Entity owners
      • G•••••• C•••••• H••••••• D•• L•• · Sole Member
        direct · owns 75% or more
      • O•• G•• H•••••••• L•• · Member
        indirect · owns 50% to 75% of G•••••• C•••••• H••••••• D•• L••
      Related persons
      Schedule D 7.A
      • G•••••• C•••••• R••• E••••• A•••••••• I•••
        investment companyy
      • M••••••• R••••• A•••••••• L••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $467M to $467M
        Mar 15, 2017 to Jun 5, 2017
      • RAUM · $467M to $467M
        Mar 15, 2017 to Jun 5, 2017
      • Accounts · 5 to 8
        Mar 8, 2016 to Mar 15, 2017
      • Private funds · 3 to 6
        Mar 8, 2016 to Mar 15, 2017
      • Discretionary RAUM · $556M to $467M
        Mar 8, 2016 to Mar 15, 2017
      • RAUM · $556M to $467M
        Mar 8, 2016 to Mar 15, 2017
      • Financial planning clients · 1-10 to unset
        Dec 14, 2015 to Mar 8, 2016
      • Discretionary RAUM · $480M to $556M
        Dec 14, 2015 to Mar 8, 2016
      • RAUM · $480M to $556M
        Dec 14, 2015 to Mar 8, 2016
      • Accounts · 7 to 5
        Apr 1, 2015 to Dec 14, 2015
      • Advisory employees · 4 to 6
        Apr 1, 2015 to Dec 14, 2015
      • Employees · 22 to 57
        Apr 1, 2015 to Dec 14, 2015
      • Discretionary RAUM · $92.5M to $480M
        Apr 1, 2015 to Dec 14, 2015
      • RAUM · $92.5M to $480M
        Apr 1, 2015 to Dec 14, 2015
      • HQ city · LOS ANGELES to WOODLAND HILLS
        Oct 10, 2014 to Apr 1, 2015
      • Private funds · 6 to 3
        Oct 10, 2014 to Apr 1, 2015
      Signals
      1 dated events
      • G•••••• C•••••• filed its initial SEC registration (Form ADV)
        Oct 10, 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
      Across the graphs

      G•••••• C•••••• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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