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Former SEC-registered adviser

G•••••• P••• A•••• M••••••••• L••

Former SEC-registered adviserEaston, ConnecticutCRD 171449SEC 801-108279IAPD
Latest filing Mar 30, 2017
First filing on the tape Aug 11, 2016 · 2 filings
RAUM
$50.7M
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$46.6M gross assets
History
2 filings and snapshots on the tape
RAUM$50.7M as of Mar 30, 2017
Aug 11, 2016$48.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Aug 11, 20160 then
Employees (5.A)4 as of Mar 30, 2017
Aug 11, 20166 then
Private funds3 as of Mar 30, 2017
Aug 11, 20163 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 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
$8.5MderivedRAUM 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
unknownderivedbetween 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 vehicles, portfolio management for investment companies, 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
6reported
Financial planning clients
n/areported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    3 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    G•••••• P••• G••••• M••••• F••• L•••Hedge Fund$23.3M16Aug 11, 2016
    G•••••• P••• G••••• F•••• L•Hedge Fund$21.2M14Aug 11, 2016
    G•••••• P••• G••••• F•••• C••••• L•••Hedge Fund$2.1M2Aug 11, 2016
    Owners and control persons
    Schedule A and B, latest filing
    • C•••••• R••••••• W• · Ownercontrol
      since 11/2013 · owns 25% to 50%
    • S•••••••• M•••••••• A•• · Chief Compliance Officer And Head Of Operationscontrol
      since 03/2015 · owns less than 5%
    • V••••••••• D••••• J••• · Senior Managing Membercontrol
      since 11/2013 · owns 25% to 50%
    • C••••••••• J•••• N••••• · Managing Membercontrol
      since 11/2013 · owns 75% or more of C•••••• G•••••• P••• LLC
    • S••••••••• M••••••• J••••• · Owner
      since 11/2013 · owns 10% to 25%
    Entity owners
    • C•••••• G•••••• P••• L•• · Owner
      direct · owns 5% to 10%
    Related persons
    Schedule D 7.A
    • G•••••• P••• I••••••••• L••
      bankpooled vehicle sponsory
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 5 to 6
      Aug 11, 2016 to Mar 30, 2017
    • Employees · 6 to 4
      Aug 11, 2016 to Mar 30, 2017
    • Discretionary RAUM · $48.2M to $50.7M
      Aug 11, 2016 to Mar 30, 2017
    • RAUM · $48.2M to $50.7M
      Aug 11, 2016 to Mar 30, 2017
    • Related broker-dealer · true to false
      Aug 11, 2016 to Mar 30, 2017
    Signals
    1 dated events
    • G•••••• P••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Aug 11, 2016 · 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