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••••••••• C••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jun 22, 2022 · 5 filings
SEC status approved since Jul 22, 2022
RAUM
$193M
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
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$193M as of Mar 27, 2026
Mar 3, 2023$175M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 3, 20230 then
Employees (5.A)2 as of Mar 27, 2026
Mar 3, 20234 then
Private funds2 as of Mar 27, 2026
Mar 3, 20232 then
RAUM -2.6% over the last fiscal year+3.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $38.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.7%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
- -2.6%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
- $162M, 2 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$188M97%
- Charitable organizations$5.1M2.7%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $162M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.97 institutional_share=0.03 related_bd=false related_bank=true 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••••••••• V•••• P••••••• L• | Hedge Fund | $185M | 60 | May 15, 2015 |
| G••••••••• I••••••••• V•••• P•••••••• L•no longer reported | Hedge Fund | $103M | 56 | Mar 2, 2017 |
| C••••• S••••• S••• L• • S•••••••• S••••• | Hedge Fund | $7.9M | 6 | Jun 22, 2022 |
Owners and control persons
Schedule A and B, latest filing
- M•••••• K•••• H••••• · Chief Compliance Officer / Manager / Class A-1 Membercontrolsince 12/2020 · owns 75% or more
- C•••••• W••••••• E• · Class A-3 Membersince 12/2020 · owns 10% to 25%
- L•••• D••• · Membersince 12/2020 · owns less than 5%
Entity owners
- D••••• A•••• D••••••••• T•••• · Memberdirect · owns less than 5%
- D••••• A•••• · Trusteeindirect · owns F of D••••• A•••• D••••••••• T••••
Related persons
Schedule D 7.A
- C••••• S•••••• L••pooled vehicle sponsorn
- G••••••••• G•••••• P••••••• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 6 to 5Mar 31, 2025 to Mar 27, 2026
- Pooled vehicle clients · 5 to 4Mar 31, 2025 to Mar 27, 2026
- Assets in custody · $168M to $162MMar 31, 2025 to Mar 27, 2026
- Private funds · 3 to 2Mar 31, 2025 to Mar 27, 2026
- Discretionary RAUM · $198M to $193MMar 31, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $192M to $188MMar 31, 2025 to Mar 27, 2026
- RAUM · $198M to $193MMar 31, 2025 to Mar 27, 2026
- Accounts · 4 to 6Mar 19, 2024 to Mar 31, 2025
- Advisory employees · 3 to 2Mar 19, 2024 to Mar 31, 2025
- Charity clients · unset to 1.0Mar 19, 2024 to Mar 31, 2025
- Pooled vehicle clients · 4 to 5Mar 19, 2024 to Mar 31, 2025
- Assets in custody · $193M to $168MMar 19, 2024 to Mar 31, 2025
- Employees · 4 to 2Mar 19, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 19, 2024 to Mar 31, 2025
- Private funds · 2 to 3Mar 19, 2024 to Mar 31, 2025
- Discretionary RAUM · $209M to $198MMar 19, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $209M to $192MMar 19, 2024 to Mar 31, 2025
- RAUM · $209M to $198MMar 19, 2024 to Mar 31, 2025
- Accounts · 3 to 4Mar 3, 2023 to Mar 19, 2024
- Advisory employees · 4 to 3Mar 3, 2023 to Mar 19, 2024
- Pooled vehicle clients · 3 to 4Mar 3, 2023 to Mar 19, 2024
- Assets in custody · $170M to $193MMar 3, 2023 to Mar 19, 2024
- Discretionary RAUM · $175M to $209MMar 3, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $175M to $209MMar 3, 2023 to Mar 19, 2024
- RAUM · $175M to $209MMar 3, 2023 to Mar 19, 2024
- Accounts · 4 to 3Jun 22, 2022 to Mar 3, 2023
- Pooled vehicle clients · 4 to 3Jun 22, 2022 to Mar 3, 2023
- Assets in custody · $158M to $170MJun 22, 2022 to Mar 3, 2023
- Employees · 5 to 4Jun 22, 2022 to Mar 3, 2023
- Private funds · 4 to 2Jun 22, 2022 to Mar 3, 2023
- Discretionary RAUM · $164M to $175MJun 22, 2022 to Mar 3, 2023
- Pooled vehicle RAUM · $164M to $175MJun 22, 2022 to Mar 3, 2023
- RAUM · $164M to $175MJun 22, 2022 to Mar 3, 2023
Signals
1 dated events
- G••••••••• C••••••• L•• filed its initial SEC registration (Form ADV)Jun 22, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- G••••••••• C••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/grizzlyrock-capitalreportedpublic record, Form ADV, Sep 19, 2026
- Website
- g•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 312-605-6317reportedpublic record, Form ADV, Mar 27, 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