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.
SEC-registered adviser
Global Imc LLC
Latest filing Sep 1, 2026
First filing on the tape May 9, 2014 · 17 filings
SEC status approved since May 23, 2014
RAUM
$790M
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
22
13 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$790M as of Mar 28, 2026
Mar 26, 2015$2.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2026
Mar 26, 20150 then
Employees (5.A)22 as of Mar 28, 2026
Mar 26, 201514 then
Private funds2 as of Mar 28, 2026
Mar 25, 20161 then
RAUM -44% over the last fiscal year-19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 1, 2026; every figure names its basis
Archetypes, each a printed rule
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- 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
- $87.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 20%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
- -44%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Custody
- $493M, 2 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$498M63%
- Charitable organizations$157M20%
- Investment companies$135M17%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 9reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $493M for 2 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.8 institutional_share=0.2 related_bd=true related_bank=true bd_reps=0.0derived
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Eam Emerging Markets Small Cap Fund, LP | Other Private Fund | $298M | 7 | Mar 25, 2016 |
| Eam International Small Cap Fund, LP | Other Private Fund | $94.0M | 7 | Mar 30, 2020 |
Owners and control persons
Schedule A and B, latest filing
- John Derek Gaertner · Chief Compliance Officer, Chief Operating Officer, Class A Common Unit Holdercontrolsince 05/2014 · owns less than 5%
- Page Frank Hurst · Managing Director, Class A Common Unit Holdercontrolsince 05/2014 · owns 5% to 10%
- Matthew Joshua Moss · Vice President, Class B Common Unit Holdercontrolsince 05/2014 · owns less than 5%
- Tyler Travis Prentice · President, Chief Executive Officer, Managing Director, Class B Common Unit Holdercontrolsince 05/2014 · owns 10% to 25%
- Lee Montie Weisenberger · Managing Director, Class A Common Unit Holdercontrolsince 05/2014 · owns 10% to 25%
- Page Frank Hurst · Managing Membercontrolsince 06/2011 · owns F of Eam Investors, LLC
- Tyler Travis Prentice · Managing Membercontrolsince 07/2007 · owns F of Eam Investors, LLC
- Clarence Byron Roth · Shareholdercontrolsince 01/2000 · owns 75% or more of Cr Financial Holdings, Inc.
- Lee Montie Weisenberger · Managing Membercontrolsince 07/2007 · owns F of Eam Investors, LLC
Entity owners
- Eam Investors, LLC · Manager/Class A Common Unit Holderdirect · owns 25% to 50%
- Northern Lights Midco, LLC · Preferred Unit Holderdirect · owns 10% to 25%
- Waco Limited, LLC · Class A Common Unit Holderdirect · owns 25% to 50%
- Aurora Investment Management Pty Limited · Trusteeindirect · owns F of Aurora Trust
- Aurora Trust · Memberindirect · owns 75% or more of Northern Lights Midco, LLC
- Cr Financial Holdings, Inc. · Memberindirect · owns 75% or more of Waco Limited, LLC
- Northern Lights Capital Partners, LLC · Unitholderindirect · owns 25% to 50% of Aurora Trust
- Pacific Current Group · Unitholderindirect · owns 50% to 75% of Aurora Trust
- Waco Limited, LLC · Memberindirect · owns 25% to 50% of Eam Investors, LLC
Related persons
Schedule D 7.A
- The Informed Momentum Company LLCinvestment adviseryRAUM $1.5B
- Nlcg Distributors, LLCbroker-dealern
- Pacific Current Groupinvestment adviserpooled vehicle sponsornRAUM $404M
- Roth Capital Partners, LLCbroker-dealerinvestment adviserpooled vehicle sponsorn
Advisers that list Global Imc LLC as a related person
- 144908 y
Offices
Schedule D 1.F, the 25 largest
- Spokane, WA1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Sep 1, 2026institutional share of RAUM of 20% against a peer median of 0% (783 comparable advisers, 98.0th percentile, 6.7 robust deviations)peers: asset managers, $500M to $1B (783) · 98% percentile
- RAUM down 25 %Change between filings · filing Mar 28, 2026RAUM (Item 5.F) moved from $1,415,154,721 to $790,024,088 (-44.0%) between the annual amendments of 2025-03-28 and 2026-03-28; the peer median change was +8.0% (673 comparable advisers, 2.0th percentile of changes)peers: asset managers, $500M to $1B (673) · 1.8% percentile
What changed
consecutive filings, newest first
- Financial planning clients · to unsetMar 28, 2026 to Sep 1, 2026
- Private funds · 2 to unsetMar 28, 2026 to Sep 1, 2026
- Succession · false to unsetMar 28, 2026 to Sep 1, 2026
- Accounts · 13 to 9Mar 28, 2025 to Mar 28, 2026
- Charity clients · 6 to 5Mar 28, 2025 to Mar 28, 2026
- Pooled vehicle clients · 4 to 3Mar 28, 2025 to Mar 28, 2026
- Assets in custody · $445M to $493MMar 28, 2025 to Mar 28, 2026
- Employees · 20 to 22Mar 28, 2025 to Mar 28, 2026
- Discretionary RAUM · $1.4B to $790MMar 28, 2025 to Mar 28, 2026
- Pooled vehicle RAUM · $1.2B to $498MMar 28, 2025 to Mar 28, 2026
- RAUM · $1.4B to $790MMar 28, 2025 to Mar 28, 2026
- Accounts · 14 to 13Mar 29, 2024 to Mar 28, 2025
- Advisory employees · 12 to 13Mar 29, 2024 to Mar 28, 2025
- Advisory activities · 3 to 4Mar 29, 2024 to Mar 28, 2025
- Business name · EAM GLOBAL INVESTORS LLC to GLOBAL IMC LLCMar 29, 2024 to Mar 28, 2025
- Charity clients · 7 to 6Mar 29, 2024 to Mar 28, 2025
- Pooled vehicle clients · 5 to 4Mar 29, 2024 to Mar 28, 2025
- Assets in custody · $392M to $445MMar 29, 2024 to Mar 28, 2025
- Employees · 21 to 20Mar 29, 2024 to Mar 28, 2025
- Insurance-licensed employees · 5 to 3Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- Legal name · EAM GLOBAL INVESTORS LLC to GLOBAL IMC LLCMar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.4B to $1.4BMar 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.0B to $1.2BMar 29, 2024 to Mar 28, 2025
- RAUM · $1.4B to $1.4BMar 29, 2024 to Mar 28, 2025
- Related bank · false to trueMar 29, 2024 to Mar 28, 2025
- Accounts · 15 to 14Mar 30, 2023 to Mar 29, 2024
- Advisory employees · 13 to 12Mar 30, 2023 to Mar 29, 2024
- Charity clients · 8 to 7Mar 30, 2023 to Mar 29, 2024
- Assets in custody · $313M to $392MMar 30, 2023 to Mar 29, 2024
- Employees · 23 to 21Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.5B to $1.4BMar 30, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $1.2B to $1.0BMar 30, 2023 to Mar 29, 2024
- RAUM · $1.5B to $1.4BMar 30, 2023 to Mar 29, 2024
- Accounts · 11 to 15Mar 29, 2022 to Mar 30, 2023
- Assets in custody · $390M to $313MMar 29, 2022 to Mar 30, 2023
- Other offices · 0 to 1Mar 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $2.0B to $1.5BMar 29, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $1.6B to $1.2BMar 29, 2022 to Mar 30, 2023
- RAUM · $2.0B to $1.5BMar 29, 2022 to Mar 30, 2023
Signals
7 dated events
- Global Imc Llc reported RAUM $790.0M, down 44% from $1.4B (2025-03-28 to 2026-03-28)Mar 28, 2026 · RAUM change · derived
- Global Imc Llc reported RAUM $1.5B, down 26% from $2.0B (2022-03-29 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Global Imc Llc reported RAUM $2.0B, up 37% from $1.5B (2021-03-29 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Global Imc Llc reported RAUM $1.5B, up 29% from $1.2B (2020-08-18 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- Global Imc Llc reported RAUM $1.2B, up 47% from $781.4M (2019-03-25 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Global Imc Llc reported RAUM $943.3M, up 210% from $304.2M (2017-07-10 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- Eam Global Investors filed its initial SEC registration (Form ADV)May 9, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Global Imc LLC · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/informed-momentum-companyreportedpublic record, Form ADV, Sep 17, 2026
- Website
- INFORMEDMOMENTUM.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 760-479-5080reportedpublic record, Form ADV, Sep 1, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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