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••••••• L••

Former SEC-registered adviserColumbus, OhioCRD 277135SEC 801-106585IAPD
Latest filing Mar 30, 2020
First filing on the tape Aug 20, 2015 · 10 filings
RAUM
$58.9M
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
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$20.2M gross assets
History
10 filings and snapshots on the tape
RAUM$58.9M as of Mar 30, 2020
Mar 4, 2016$25.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 4, 20160 then
Employees (5.A)3 as of Mar 30, 2020
Mar 4, 20164 then
Private funds1 as of Mar 30, 2020
Mar 4, 20162 then
RAUM +68% over the last fiscal year+32% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2020; 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
$29.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
66%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
+68%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$20.2M, 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
  • 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
  • Pension and profit-sharing plans$38.7M66%
  • Pooled investment vehicles$20.2M34%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$20.2M 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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B••••••••• T•••••• F••• L•••Hedge Fund$34.5M5May 10, 2018
      T•• G•••• F•••• L••Hedge Fund$20.2M25Jan 5, 2016
      B••••••••• C•••••••• F•••• L•Hedge Fund$10.3M18Jan 5, 2016
      G• O••••••••• L•••Hedge Fund$3.5M4Sep 29, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• D••••• H• · Member & Chief Compliance Officercontrol
        since 08/2015 · owns 25% to 50%
      • D••••• S•• · Membercontrol
        since 08/2015 · owns 25% to 50%
      • D••••• T•••• J•• · Member/Ciocontrol
        since 08/2015 · owns 25% to 50%
      • Y••••• Z•••••••• · Managing Membercontrol
        since 08/2015 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Rancho Santa Fe, CA1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 2
        Mar 27, 2019 to Mar 30, 2020
      • Advisory activities · 1 to 2
        Mar 27, 2019 to Mar 30, 2020
      • Pension plan clients · 1.0 to unset
        Mar 27, 2019 to Mar 30, 2020
      • Pooled vehicle clients · unset to 1.0
        Mar 27, 2019 to Mar 30, 2020
      • Assets in custody · unset to 20223071.0
        Mar 27, 2019 to Mar 30, 2020
      • Custody of client assets · false to true
        Mar 27, 2019 to Mar 30, 2020
      • Private funds · 4 to 1
        Mar 27, 2019 to Mar 30, 2020
      • Discretionary RAUM · $35.0M to $58.9M
        Mar 27, 2019 to Mar 30, 2020
      • Pension RAUM · $35.0M to $38.7M
        Mar 27, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · unset to 20223071.0
        Mar 27, 2019 to Mar 30, 2020
      • RAUM · $35.0M to $58.9M
        Mar 27, 2019 to Mar 30, 2020
      • Advisory employees · 4 to 3
        May 10, 2018 to Mar 27, 2019
      • Pension plan clients · unset to 1.0
        May 10, 2018 to Mar 27, 2019
      • Employees · 5 to 3
        May 10, 2018 to Mar 27, 2019
      • Discretionary RAUM · $33.0M to $35.0M
        May 10, 2018 to Mar 27, 2019
      • Pension RAUM · $33.0M to $35.0M
        May 10, 2018 to Mar 27, 2019
      • RAUM · $33.0M to $35.0M
        May 10, 2018 to Mar 27, 2019
      • Private funds · 3 to 4
        Mar 13, 2018 to May 10, 2018
      • Employees · 4 to 5
        Mar 23, 2017 to Mar 13, 2018
      • Other offices · unset to 1.0
        Mar 23, 2017 to Mar 13, 2018
      • Discretionary RAUM · $25.5M to $33.0M
        Mar 23, 2017 to Mar 13, 2018
      • Pension RAUM · unset to 33042348.0
        Mar 23, 2017 to Mar 13, 2018
      • RAUM · $25.5M to $33.0M
        Mar 23, 2017 to Mar 13, 2018
      • Discretionary RAUM · $25.4M to $25.5M
        Sep 29, 2016 to Mar 23, 2017
      • RAUM · $25.4M to $25.5M
        Sep 29, 2016 to Mar 23, 2017
      • Private funds · 2 to 3
        Mar 4, 2016 to Sep 29, 2016
      • Accounts · 3 to 1
        Jan 5, 2016 to Mar 4, 2016
      • Advisory employees · 3 to 4
        Jan 5, 2016 to Mar 4, 2016
      • Assets in custody · 16244593.0 to unset
        Jan 5, 2016 to Mar 4, 2016
      • Custody of client assets · true to false
        Jan 5, 2016 to Mar 4, 2016
      • Discretionary RAUM · $35.7M to $25.4M
        Jan 5, 2016 to Mar 4, 2016
      • RAUM · $35.7M to $25.4M
        Jan 5, 2016 to Mar 4, 2016
      • Accounts · unset to 3.0
        Sep 15, 2015 to Jan 5, 2016
      • Assets in custody · unset to 16244593.0
        Sep 15, 2015 to Jan 5, 2016
      • Custody of client assets · false to true
        Sep 15, 2015 to Jan 5, 2016
      • Private funds · unset to 2
        Sep 15, 2015 to Jan 5, 2016
      • Discretionary RAUM · unset to 35659343.0
        Sep 15, 2015 to Jan 5, 2016
      • Non-discretionary RAUM · unset to 0.0
        Sep 15, 2015 to Jan 5, 2016
      • RAUM · unset to 35659343.0
        Sep 15, 2015 to Jan 5, 2016
      • Related bank · true to false
        Sep 15, 2015 to Jan 5, 2016
      Signals
      1 dated events
      • G••••••• L•• filed its initial SEC registration (Form ADV)
        Aug 20, 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.
      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