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 31, 2026
First filing on the tape Aug 3, 2015 · 15 filings
SEC status approved since Aug 11, 2015
RAUM
$13B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.2%
$26.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
80
34 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$13B as of Mar 31, 2026
Apr 19, 2016$295M then
HNW client RAUM: $26.8M
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 19, 20160 then
Employees (5.A)80 as of Mar 31, 2026
Apr 19, 20164 then
Private funds2 as of Mar 31, 2026
Apr 19, 20161 then
RAUM +2.8% over the last fiscal year+15% 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
- $5.4MderivedHNW RAUM over HNW clients
- Average account
- $329MderivedRAUM 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
- +2.8%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$13B100%
- High-net-worth individuals$26.8M0.2%
- Individual clients
- n/areported
- HNW clients
- 5reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 40reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•• F••• 1• | Liquidity Fund | $48.6M | 1 | Jun 30, 2022 |
| D•••••••• I••••••••• M••••••••• P••••••• S••no longer reported | Hedge Fund | $6.7M | 0 | Aug 3, 2015 |
Owners and control persons
Schedule A and B, latest filing
- A•••••••• R•••••• E••• · Ceocontrolsince 02/2021 · owns less than 5%
- D•••• J••• · Directorcontrolsince 06/2023 · owns less than 5%
- L••••••• J•••• P•• · Directorcontrolsince 05/2021 · owns less than 5%
- S••••••••• A••••• · Directorcontrolsince 05/2021 · owns less than 5%
- M•••••• N••••• P•••••• · Compliance Officersince 01/2024 · owns less than 5%
Entity owners
- I• E• ••• U• L•••••• · Shareholderdirect · owns 75% or more
- A••••• C• I• ••• S••• · Gpindirect · owns F of A••••• I• E• F••• S•••
- A••••• I• E• F••• S••• · Shareholderindirect · owns 75% or more of L•••• T• S•••
- I• E• •••• N••••••••• B•• · Shareholderindirect · owns 75% or more of I• E• ••• U• L••••••
- I• E• G•••• H••••••• S••• · Shareholderindirect · owns 75% or more of I• E• G•••• P••••••••• S•••
- I• E• G•••• P••••••••• S••• · Shareholderindirect · owns 75% or more of I• E• •••• N••••••••• B••
- L•••• T• S••• · Shareholderindirect · owns 75% or more of S••••••••• S••
- S••••••• S••• · Shareholderindirect · owns 75% or more of I• E• G•••• H••••••• S•••
- S••••••••• S••• · Shareholderindirect · owns 75% or more of S••••••• S•••
- S••••••••• S•• · Shareholderindirect · owns 75% or more of S••••••••• S•••
Related persons
Schedule D 7.A
- S•••• P••••••• L••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 58 to 34Mar 31, 2025 to Mar 31, 2026
- HNW clients · unset to 5.0Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 40 to 35Mar 31, 2025 to Mar 31, 2026
- Employees · 109 to 80Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $13B to $13BMar 31, 2025 to Mar 31, 2026
- HNW RAUM · unset to 26846630.0Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $13B to $13BMar 31, 2025 to Mar 31, 2026
- RAUM · $13B to $13BMar 31, 2025 to Mar 31, 2026
- Accounts · 37 to 40Mar 28, 2024 to Mar 31, 2025
- Advisory employees · 63 to 58Mar 28, 2024 to Mar 31, 2025
- Corporate clients · 1.0 to unsetMar 28, 2024 to Mar 31, 2025
- Individual clients · 4.0 to unsetMar 28, 2024 to Mar 31, 2025
- Pooled vehicle clients · 29 to 40Mar 28, 2024 to Mar 31, 2025
- Employees · 115 to 109Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 31, 2025
- HQ state · unset to Mar 28, 2024 to Mar 31, 2025
- Private funds · 1 to 2Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $13B to $13BMar 28, 2024 to Mar 31, 2025
- Individual RAUM · 26908187.0 to unsetMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $13B to $13BMar 28, 2024 to Mar 31, 2025
- RAUM · $13B to $13BMar 28, 2024 to Mar 31, 2025
- Accounts · 38 to 37Jun 2, 2023 to Mar 28, 2024
- Advisory employees · 54 to 63Jun 2, 2023 to Mar 28, 2024
- Corporate clients · 4 to 1Jun 2, 2023 to Mar 28, 2024
- Pooled vehicle clients · 28 to 29Jun 2, 2023 to Mar 28, 2024
- Employees · 56 to 115Jun 2, 2023 to Mar 28, 2024
- Discretionary RAUM · $8.6B to $13BJun 2, 2023 to Mar 28, 2024
- Individual RAUM · $20.5M to $26.9MJun 2, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $8.3B to $13BJun 2, 2023 to Mar 28, 2024
- RAUM · $8.6B to $13BJun 2, 2023 to Mar 28, 2024
- Accounts · 88 to 38Dec 13, 2022 to Mar 31, 2023
- Advisory employees · 2 to 54Dec 13, 2022 to Mar 31, 2023
- Corporate clients · 5 to 4Dec 13, 2022 to Mar 31, 2023
- Individual clients · 46 to 4Dec 13, 2022 to Mar 31, 2023
- Pooled vehicle clients · 30 to 28Dec 13, 2022 to Mar 31, 2023
- Employees · 4 to 56Dec 13, 2022 to Mar 31, 2023
- Discretionary RAUM · $7.7B to $8.6BDec 13, 2022 to Mar 31, 2023
- Individual RAUM · $38.6M to $20.5MDec 13, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $7.5B to $8.3BDec 13, 2022 to Mar 31, 2023
- RAUM · $7.7B to $8.6BDec 13, 2022 to Mar 31, 2023
Signals
14 dated events
- G•• C•••••• L•••••• reported RAUM $13.0B, up 51% from $8.6B (2023-06-02 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- J••• D••• (Director) appeared on Schedule A of G•• C•••••• L••••••Mar 28, 2024 · Control person joined · fact
- R••• M••••• E••• F••• (Director) no longer on Schedule A of G•• C•••••• L•••••• (listed 2022-12-13, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- A••••• S•••••••• (Director) appeared on Schedule A of G•• C•••••• L••••••Jun 30, 2022 · Control person joined · fact
- Pol J••• L•••••• (Director) appeared on Schedule A of G•• C•••••• L••••••Jun 30, 2022 · Control person joined · fact
- R••• M••••• E••• F••• (Director) appeared on Schedule A of G•• C•••••• L••••••Jun 30, 2022 · Control person joined · fact
- P••• T••••• (Executive Director) no longer on Schedule A of G•• C•••••• L•••••• (listed 2021-07-01, absent 2022-06-30)Jun 30, 2022 · Control person left · inference
- G•• C•••••• L•••••• reported RAUM $7.3B, up 48% from $4.9B (2020-07-01 to 2021-07-01)Jul 1, 2021 · RAUM change · derived
- Ernst Jurgen Gebhard (Chief Compliance Officer) no longer on Schedule A of G•• C•••••• L•••••• (listed 2020-07-01, absent 2021-07-01)Jul 1, 2021 · Control person left · inference
- Stefan Gerhard Grueter (Director) no longer on Schedule A of G•• C•••••• L•••••• (listed 2020-07-01, absent 2021-07-01)Jul 1, 2021 · Control person left · inference
- R••••• A••••••• (Ceo) appeared on Schedule A of G•• C•••••• L••••••Jul 1, 2021 · Control person joined · fact
- P••• T••••• (Executive Director) appeared on Schedule A of G•• C•••••• L••••••Jul 1, 2021 · Control person joined · fact
- G•• C•••••• L•••••• reported RAUM $4.9B, up 55% from $3.2B (2019-07-10 to 2020-07-01)Jul 1, 2020 · RAUM change · derived
- G•• C•••••• L•••••• filed its initial SEC registration (Form ADV)Aug 3, 2015 · 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- +442073975450reportedpublic 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