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••••••••• A•••• M••••••••• L•

Former SEC-registered adviserChicago, IllinoisCRD 171601SEC 801-80052IAPD
Latest filing Mar 20, 2018
First filing on the tape Jun 30, 2014 · 6 filings
RAUM
$247M
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$247M gross assets
History
6 filings and snapshots on the tape
RAUM$247M as of Mar 20, 2018
Mar 3, 2015$193M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2018
Mar 3, 20150 then
Employees (5.A)2 as of Mar 20, 2018
Mar 3, 20157 then
Private funds1 as of Mar 20, 2018
Mar 3, 20151 then
RAUM -34% over the last fiscal year+8.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 2018; 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
$247MderivedRAUM 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
-34%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
Custody
$146M, 1 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$247M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$146M for 1 clientsreported
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
      O• 5•• O••••••• F•••• L•••Hedge Fund$247M18Oct 24, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • K••• A•••••• H••• · Managing Partner And Chief Investment Officercontrol
        since 04/2014 · owns less than 5%
      • K••••• J••••• J••••• · Chief Financial Officer And Chief Compliance Officercontrol
        since 05/2014 · owns less than 5%
      • K••• A•••••• H••• · Membercontrol
        since 04/2014 · owns 75% or more of G••••••••• G• L••
      • K••• A•••••• H••• · General Partnercontrol
        since 04/2014 · owns 75% or more of H•• H••••••• L•
      Entity owners
      • G••••••••• G• L•• · General Partner Of G••••••••• A•••• M••••••••• L•
        direct · owns less than 5%
      • H•• H••••••• L• · Limited Partner Of G••••••••• A•••• M••••••••• L•
        direct · owns 75% or more
      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
      • Advisory employees · 3 to 1
        Mar 17, 2017 to Mar 20, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 17, 2017 to Mar 20, 2018
      • Assets in custody · $288M to $146M
        Mar 17, 2017 to Mar 20, 2018
      • Employees · 6 to 2
        Mar 17, 2017 to Mar 20, 2018
      • Other offices · unset to 0.0
        Mar 17, 2017 to Mar 20, 2018
      • Discretionary RAUM · $375M to $247M
        Mar 17, 2017 to Mar 20, 2018
      • Pooled vehicle RAUM · unset to 247161508.0
        Mar 17, 2017 to Mar 20, 2018
      • RAUM · $375M to $247M
        Mar 17, 2017 to Mar 20, 2018
      • Advisory employees · 2 to 3
        Mar 7, 2016 to Mar 17, 2017
      • Assets in custody · $176M to $288M
        Mar 7, 2016 to Mar 17, 2017
      • Discretionary RAUM · $176M to $375M
        Mar 7, 2016 to Mar 17, 2017
      • RAUM · $176M to $375M
        Mar 7, 2016 to Mar 17, 2017
      • Related bank · true to false
        Mar 7, 2016 to Mar 17, 2017
      • Advisory employees · 3 to 2
        Mar 3, 2015 to Mar 7, 2016
      • Assets in custody · $193M to $176M
        Mar 3, 2015 to Mar 7, 2016
      • Employees · 7 to 6
        Mar 3, 2015 to Mar 7, 2016
      • Discretionary RAUM · $193M to $176M
        Mar 3, 2015 to Mar 7, 2016
      • RAUM · $193M to $176M
        Mar 3, 2015 to Mar 7, 2016
      • Assets in custody · $172M to $193M
        Oct 24, 2014 to Mar 3, 2015
      • Employees · 8 to 7
        Oct 24, 2014 to Mar 3, 2015
      • Discretionary RAUM · $172M to $193M
        Oct 24, 2014 to Mar 3, 2015
      • RAUM · $172M to $193M
        Oct 24, 2014 to Mar 3, 2015
      • Accounts · unset to 1.0
        Jun 30, 2014 to Oct 24, 2014
      • Advisory employees · 2 to 3
        Jun 30, 2014 to Oct 24, 2014
      • Assets in custody · unset to 172233026.0
        Jun 30, 2014 to Oct 24, 2014
      • Custody of client assets · false to true
        Jun 30, 2014 to Oct 24, 2014
      • Employees · 4 to 8
        Jun 30, 2014 to Oct 24, 2014
      • Private funds · unset to 1
        Jun 30, 2014 to Oct 24, 2014
      • Discretionary RAUM · unset to 172233026.0
        Jun 30, 2014 to Oct 24, 2014
      • Non-discretionary RAUM · unset to 0.0
        Jun 30, 2014 to Oct 24, 2014
      • RAUM · unset to 172233026.0
        Jun 30, 2014 to Oct 24, 2014
      • Related bank · false to true
        Jun 30, 2014 to Oct 24, 2014
      Signals
      2 dated events
      • G••••••••• A•••• M••••••••• L• reported RAUM $247.2M, down 34% from $374.7M (2017-03-17 to 2018-03-20)
        Mar 20, 2018 · RAUM change · derived
      • G••••••••• A•••• M••••••••• L• filed its initial SEC registration (Form ADV)
        Jun 30, 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