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•••••• M••••••••• L••••••

Former SEC-registered adviserCentral, CRD 171021SEC 801-79899IAPD
Latest filing Apr 7, 2017
First filing on the tape Jun 4, 2014 · 7 filings
RAUM
$2.1B
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
16
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$2.0B gross assets
History
7 filings and snapshots on the tape
RAUM$2.1B as of Mar 28, 2017
Mar 23, 2015$116M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2017
Mar 23, 20150 then
Employees (5.A)16 as of Mar 28, 2017
Mar 23, 20159 then
Private funds1 as of Mar 28, 2017
Mar 23, 20151 then
RAUM +66% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 7, 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
$523MderivedRAUM 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
+66%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
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
4reported
Financial planning clients
0reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G•••• M•••• M••••• F•••Hedge Fund$2.0B56Jun 4, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • L••• L••••• · Chief Investment Officer / Shareholdercontrol
        since 05/2014 · owns 75% or more
      • B••••••• A••••• D•••• L••• · Chief Compliance Officer / Chief Operating Officer
        since 05/2014 · owns less than 5%
      • S••••••• M••••••• J•••• · Chief Financial Officer
        since 01/2016 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $2.3B to $2.1B
        Oct 12, 2016 to Mar 28, 2017
      • RAUM · $2.3B to $2.1B
        Oct 12, 2016 to Mar 28, 2017
      • Advisory employees · 6 to 7
        Feb 3, 2016 to Oct 12, 2016
      • Employees · 15 to 16
        Feb 3, 2016 to Oct 12, 2016
      • Discretionary RAUM · $1.3B to $2.3B
        Feb 3, 2016 to Oct 12, 2016
      • RAUM · $1.3B to $2.3B
        Feb 3, 2016 to Oct 12, 2016
      • Accounts · 3 to 4
        Mar 23, 2015 to Feb 3, 2016
      • Advisory employees · 3 to 6
        Mar 23, 2015 to Feb 3, 2016
      • Employees · 9 to 15
        Mar 23, 2015 to Feb 3, 2016
      • Discretionary RAUM · $116M to $1.3B
        Mar 23, 2015 to Feb 3, 2016
      • RAUM · $116M to $1.3B
        Mar 23, 2015 to Feb 3, 2016
      • Accounts · unset to 3.0
        Jul 21, 2014 to Mar 23, 2015
      • Employees · 7 to 9
        Jul 21, 2014 to Mar 23, 2015
      • Discretionary RAUM · unset to 116074118.0
        Jul 21, 2014 to Mar 23, 2015
      • Non-discretionary RAUM · unset to 0.0
        Jul 21, 2014 to Mar 23, 2015
      • RAUM · unset to 116074118.0
        Jul 21, 2014 to Mar 23, 2015
      Signals
      1 dated events
      • G•••• C•••••• M••••••••• L•••••• filed its initial SEC registration (Form ADV)
        Jun 4, 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