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•••••• I•••
Latest filing Mar 28, 2024
First filing on the tape Mar 20, 2015 · 11 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$157M as of Mar 27, 2023
Mar 29, 2016$297M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Mar 29, 20160 then
Employees (5.A)2 as of Mar 28, 2024
Mar 29, 20169 then
Private funds1 as of Mar 20, 2019
Mar 29, 20161 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2024; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- otherreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- 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)
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
- n/areported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- 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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•••••• S•••••••• C•••••••• M••••• F••• L•••no longer reported | Hedge Fund | $41.9M | 3 | Mar 31, 2014 |
| G•••••• G••••• F••••••• F••• L••no longer reported | Private Equity Fund | $11.6M | 9 | Mar 27, 2012 |
| G•••••• I••••••••• M••••• F•••• L•••no longer reported | Hedge Fund | $4.4M | 1 | Mar 27, 2012 |
Owners and control persons
Schedule A and B, latest filing
- H•••••••• R••••• L••• · Directorcontrolsince 10/1997 · owns 75% or more
- P••••••••• J•••••••• A•• · Chief Compliance Officer/Chief Operating Officercontrolsince 04/2014 · 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
- Accounts · 1.0 to unsetMar 27, 2023 to Mar 28, 2024
- Advisory employees · 3 to 2Mar 27, 2023 to Mar 28, 2024
- Employees · 3 to 2Mar 27, 2023 to Mar 28, 2024
- Discretionary RAUM · 156940151.0 to unsetMar 27, 2023 to Mar 28, 2024
- Non-discretionary RAUM · 0.0 to unsetMar 27, 2023 to Mar 28, 2024
- RAUM · 156940151.0 to unsetMar 27, 2023 to Mar 28, 2024
- Advisory employees · 4 to 3Mar 18, 2022 to Mar 27, 2023
- Employees · 4 to 3Mar 18, 2022 to Mar 27, 2023
- Discretionary RAUM · $165M to $157MMar 18, 2022 to Mar 27, 2023
- RAUM · $165M to $157MMar 18, 2022 to Mar 27, 2023
- Discretionary RAUM · $128M to $165MJun 14, 2021 to Mar 18, 2022
- RAUM · $128M to $165MJun 14, 2021 to Mar 18, 2022
- Other offices · 1 to 0Mar 23, 2020 to Mar 18, 2021
- Discretionary RAUM · $137M to $128MMar 23, 2020 to Mar 18, 2021
- RAUM · $137M to $128MMar 23, 2020 to Mar 18, 2021
- Accounts · 2 to 1Mar 20, 2019 to Mar 23, 2020
- Advisory activities · 2 to 1Mar 20, 2019 to Mar 23, 2020
- Pooled vehicle clients · 1.0 to unsetMar 20, 2019 to Mar 23, 2020
- Custody of client assets · true to falseMar 20, 2019 to Mar 23, 2020
- Private funds · 1 to unsetMar 20, 2019 to Mar 23, 2020
- Discretionary RAUM · $149M to $137MMar 20, 2019 to Mar 23, 2020
- Pooled vehicle RAUM · 41860286.0 to unsetMar 20, 2019 to Mar 23, 2020
- RAUM · $149M to $137MMar 20, 2019 to Mar 23, 2020
- Advisory employees · 6 to 4Mar 19, 2018 to Mar 20, 2019
- Employees · 9 to 4Mar 19, 2018 to Mar 20, 2019
- HQ city · ST. THOMAS to PRESTONMar 19, 2018 to Mar 20, 2019
- HQ state · VI to MNMar 19, 2018 to Mar 20, 2019
- Other offices · 4 to 1Mar 19, 2018 to Mar 20, 2019
- Discretionary RAUM · $179M to $149MMar 19, 2018 to Mar 20, 2019
- Pooled vehicle RAUM · $46.5M to $41.9MMar 19, 2018 to Mar 20, 2019
- RAUM · $179M to $149MMar 19, 2018 to Mar 20, 2019
- Accounts · 3 to 2Mar 15, 2017 to Mar 19, 2018
- Advisory employees · 5 to 6Mar 15, 2017 to Mar 19, 2018
- Pooled vehicle clients · unset to 1.0Mar 15, 2017 to Mar 19, 2018
- Other offices · unset to 4.0Mar 15, 2017 to Mar 19, 2018
- Discretionary RAUM · $308M to $179MMar 15, 2017 to Mar 19, 2018
- Pooled vehicle RAUM · unset to 46489122.0Mar 15, 2017 to Mar 19, 2018
- RAUM · $308M to $179MMar 15, 2017 to Mar 19, 2018
- Related bank · true to falseMar 15, 2017 to Mar 19, 2018
- Accounts · 4 to 3Mar 29, 2016 to Mar 15, 2017
Signals
3 dated events
- G•••••• I••• reported RAUM $179.2M, down 42% from $308.5M (2017-03-15 to 2018-03-19)Mar 19, 2018 · RAUM change · derived
- G•••••• I••• filed its initial SEC registration (Form ADV)Mar 20, 2015 · First SEC registration · fact
- G•••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 20, 2015 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- G•••••• I••• · Private Equityshared crd · organization
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