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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SEC-registered adviser
G•••••••• A•••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 29, 2018 · 11 filings
SEC status approved since Jul 30, 2018
RAUM
$1.1B
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
20
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$1.1B as of Mar 31, 2026
Mar 29, 2019$233M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20190 then
Employees (5.A)20 as of Mar 31, 2026
Mar 29, 201913 then
Private funds1 as of Mar 31, 2026
Mar 29, 20192 then
RAUM +9.9% over the last fiscal year+17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $359MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.9%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
- $1.1B, 3 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
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.1B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1B for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•••••••• R••• E••••• F••• L••no longer reported | Real Estate Fund | $327M | 1,164 | May 11, 2017 |
| G•••••••• R••• E••••• F••• I•• L• | Real Estate Fund | $9.2M | 3 | Mar 21, 2018 |
| G•••••••• R••• E••••• F••• I•• S•• S•••••••••no longer reported | Real Estate Fund | $6.7M | 1 | Mar 31, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• A••• S•••••• · Chief Financial Officercontrolsince 03/2024 · owns less than 5%
- C••••• P••••• T• · Managing Principalcontrolsince 11/2017 · owns less than 5%
- D••••••• P••• · Coocontrolsince 12/2017 · owns less than 5%
- P•••• D••••• H• · Principal, Head Of Investor Relations, Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- C••••• P••••• T• · Ownercontrolsince 06/2018 · owns 75% or more of C••••• P••••••• L••
- P•••• D••••• H• · Ownercontrolsince 01/2024 · owns 75% or more of E•••• P•••••••• L••
Entity owners
- G••• A••••• L•• · Ownerdirect · owns 75% or more
- C••••• P••••••• L•• · Ownerindirect · owns 50% to 75% of G••• A••••• L••
- E•••• P•••••••• L•• · Ownerindirect · owns 25% to 50% of G••• A••••• L••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
What changed
consecutive filings, newest first
- RAUM · $980M to $1.1BMar 28, 2025 to Mar 31, 2026
- Assets in custody · $980M to $1.1BMar 28, 2025 to Mar 31, 2026
- Employees · 19 to 20Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $980M to $1.1BMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $980M to $1.1BMar 28, 2025 to Mar 31, 2026
- Advisory employees · 8 to 9Mar 28, 2024 to Mar 28, 2025
- Assets in custody · $843M to $980MMar 28, 2024 to Mar 28, 2025
- Employees · 18 to 19Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $843M to $980MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $843M to $980MMar 28, 2024 to Mar 28, 2025
- RAUM · $843M to $980MMar 28, 2024 to Mar 28, 2025
- Advisory employees · 7 to 8Mar 29, 2023 to Mar 28, 2024
- Assets in custody · $679M to $843MMar 29, 2023 to Mar 28, 2024
- Employees · 16 to 18Mar 29, 2023 to Mar 28, 2024
- Other offices · 0 to 1Mar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $679M to $843MMar 29, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $679M to $843MMar 29, 2023 to Mar 28, 2024
- RAUM · $679M to $843MMar 29, 2023 to Mar 28, 2024
- Assets in custody · $462M to $679MSep 27, 2022 to Mar 29, 2023
- Private funds · unset to 1Sep 27, 2022 to Mar 29, 2023
- Discretionary RAUM · $462M to $679MSep 27, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $462M to $679MSep 27, 2022 to Mar 29, 2023
- RAUM · $462M to $679MSep 27, 2022 to Mar 29, 2023
- Advisory employees · 5 to 7Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $362M to $462MMar 31, 2021 to Mar 31, 2022
- Employees · 12 to 16Mar 31, 2021 to Mar 31, 2022
- Private funds · 3 to unsetMar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $362M to $462MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $362M to $462MMar 31, 2021 to Mar 31, 2022
- RAUM · $362M to $462MMar 31, 2021 to Mar 31, 2022
- Accounts · 2 to 3Mar 30, 2020 to Mar 31, 2021
- Advisory employees · 6 to 5Mar 30, 2020 to Mar 31, 2021
- Charity clients · 0.0 to unsetMar 30, 2020 to Mar 31, 2021
- Corporate clients · 0.0 to unsetMar 30, 2020 to Mar 31, 2021
- HNW clients · 0.0 to unsetMar 30, 2020 to Mar 31, 2021
- Individual clients · 0.0 to unsetMar 30, 2020 to Mar 31, 2021
- Pension plan clients · 0.0 to unsetMar 30, 2020 to Mar 31, 2021
- Pooled vehicle clients · 2 to 3Mar 30, 2020 to Mar 31, 2021
- Assets in custody · $274M to $362MMar 30, 2020 to Mar 31, 2021
Signals
4 dated events
- Ho David Park (Principal, Head Of Investor Relations, Chief Compliance Officer) appeared on Schedule A of G•••••••• A•••• M••••••••• L••Mar 28, 2024 · Control person joined · fact
- S•••••• Amy B•••••••• (Chief Financial Officer) appeared on Schedule A of G•••••••• A•••• M••••••••• L••Mar 28, 2024 · Control person joined · fact
- G•••••••• A•••• M••••••••• L•• reported RAUM $679.4M, up 47% from $462.0M (2022-09-27 to 2023-03-29)Mar 29, 2023 · ria raum c••••e · derived
- G•••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 29, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- G•••••••• A•••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- G••••••••FUND.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 626-529-1080reportedpublic record, Form ADV, Mar 31, 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
Across the graphs
G•••••••• A•••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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