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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
G• A•••• M••••••••• L••
Latest filing Mar 30, 2020
First filing on the tape Nov 11, 2015 · 11 filings
RAUM
$140M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
2.8%
$4.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$136M gross assets
History
11 filings and snapshots on the tape
RAUM$140M as of Mar 30, 2020
Mar 22, 2016$29.5M then
HNW client RAUM$3.0M as of Mar 30, 2020
Mar 30, 2018$30.3M then
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 22, 20160 then
Employees (5.A)3 as of Mar 30, 2020
Mar 22, 20161 then
Private funds1 as of Mar 30, 2020
Mar 30, 20182 then
RAUM +132% over the last fiscal year+62% a year over threeIARs 0 to 0offices 1 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
- $10.8MderivedRAUM 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
- +132%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 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$136M97%
- High-net-worth individuals$3.0M2.1%
- Individuals$996,8490.7%
- Individual clients
- 5reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 13reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G• A••••• A•••• A••••••••• F•••• L• | Hedge Fund | $136M | 1 | Jan 3, 2018 |
| M•••••••• I••••• I• A•••••• C••••• F•••no longer reported | Hedge Fund | $25.1M | 15 | Sep 29, 2017 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• T•••••• A•••••• · Chief Operating Officer & Chief Compliance Officercontrolsince 12/2018 · owns less than 5%
- B•••• A•••••• M• · Chief Executive Officercontrolsince 05/2013 · owns less than 5%
Entity owners
- G•••••• Q••••••••• L•• · Ownerdirect · owns 75% or more
- A••••• M• B••• I••••••••• T•••• · Ownerindirect · owns F of G•••••• Q••••••••• L••
- B•••• L•• · Ownerindirect · owns F of G•••••• Q••••••••• L••
- R••••••••• C•••••• P••••••• · Ownerindirect · owns 25% to 50% of G•••••• Q••••••••• L••
- T•••••••• C•••••• V••••••• I•• L•• · Ownerindirect · owns 25% to 50% of G•••••• Q••••••••• L••
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 · 10 to 13Mar 28, 2019 to Mar 30, 2020
- Individual clients · unset to 5.0Mar 28, 2019 to Mar 30, 2020
- Other offices · 1 to 0Mar 28, 2019 to Mar 30, 2020
- Discretionary RAUM · $60.3M to $140MMar 28, 2019 to Mar 30, 2020
- HNW RAUM · $1.8M to $3.0MMar 28, 2019 to Mar 30, 2020
- Individual RAUM · $892,104 to $996,849Mar 28, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $57.6M to $136MMar 28, 2019 to Mar 30, 2020
- RAUM · $60.3M to $140MMar 28, 2019 to Mar 30, 2020
- Employees · 2 to 3May 18, 2018 to Mar 28, 2019
- Discretionary RAUM · $56.8M to $60.3MMay 18, 2018 to Mar 28, 2019
- HNW RAUM · $1.8M to $1.8MMay 18, 2018 to Mar 28, 2019
- Individual RAUM · $890,945 to $892,104May 18, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $54.1M to $57.6MMay 18, 2018 to Mar 28, 2019
- RAUM · $56.8M to $60.3MMay 18, 2018 to Mar 28, 2019
- Accounts · 14 to 10Mar 30, 2018 to May 18, 2018
- Advisory employees · 1 to 2Mar 30, 2018 to May 18, 2018
- Pooled vehicle clients · 2 to 1Mar 30, 2018 to May 18, 2018
- Employees · 1 to 2Mar 30, 2018 to May 18, 2018
- Private funds · 2 to 1Mar 30, 2018 to May 18, 2018
- Discretionary RAUM · $38.6M to $56.8MMar 30, 2018 to May 18, 2018
- HNW RAUM · $30.3M to $1.8MMar 30, 2018 to May 18, 2018
- Individual RAUM · $893,587 to $890,945Mar 30, 2018 to May 18, 2018
- Non-discretionary RAUM · $28.5M to $0Mar 30, 2018 to May 18, 2018
- Pooled vehicle RAUM · $35.8M to $54.1MMar 30, 2018 to May 18, 2018
- RAUM · $67.1M to $56.8MMar 30, 2018 to May 18, 2018
- Pooled vehicle clients · unset to 2.0Jan 16, 2018 to Mar 30, 2018
- Discretionary RAUM · $38.5M to $38.6MJan 16, 2018 to Mar 30, 2018
- HNW RAUM · $33.8M to $30.3MJan 16, 2018 to Mar 30, 2018
- Individual RAUM · $887,000 to $893,587Jan 16, 2018 to Mar 30, 2018
- Non-discretionary RAUM · $31.9M to $28.5MJan 16, 2018 to Mar 30, 2018
- Pooled vehicle RAUM · $35.7M to $35.8MJan 16, 2018 to Mar 30, 2018
- RAUM · $70.4M to $67.1MJan 16, 2018 to Mar 30, 2018
- Accounts · 13 to 14Oct 30, 2017 to Jan 3, 2018
- Private funds · 1 to 2Oct 30, 2017 to Jan 3, 2018
- Discretionary RAUM · $6.8M to $38.5MOct 30, 2017 to Jan 3, 2018
- HNW RAUM · $27.3M to $33.8MOct 30, 2017 to Jan 3, 2018
- Individual RAUM · $6.8M to $887,000Oct 30, 2017 to Jan 3, 2018
- Non-discretionary RAUM · $31.9M to $31.9MOct 30, 2017 to Jan 3, 2018
- Pooled vehicle RAUM · $4.6M to $35.7MOct 30, 2017 to Jan 3, 2018
- RAUM · $38.7M to $70.4MOct 30, 2017 to Jan 3, 2018
Signals
2 dated events
- Anthony Thomas Accordino (Chief Operating Officer & Chief Compliance Officer) appeared on Schedule A of G• A•••• M••••••••• L••Mar 28, 2019 · Control person joined · fact
- G• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 11, 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