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••• S•••••• C•••••• M••••••••• • I•••

Former SEC-registered adviserTucson, ArizonaCRD 281993SEC 801-107674IAPD
Latest filing May 21, 2021
First filing on the tape Apr 5, 2016 · 11 filings
RAUM
$4.7M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$4.5M gross assets
History
11 filings and snapshots on the tape
RAUM$4.7M as of Apr 1, 2021
Mar 31, 2017$2.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Apr 1, 2021
Mar 31, 20171 then
Employees (5.A)1 as of Apr 1, 2021
Mar 31, 20172 then
Private funds2 as of Apr 1, 2021
Mar 31, 20171 then
RAUM +3.2% over the last fiscal year-5.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of May 21, 2021; every figure names its basis
RAUM per advisor
$4.7MderivedRAUM 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
$2.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+3.2%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$4.7M, 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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$4.7M100%
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
$4.7M for 2 clientsreported
Compensation
% of AUM, fixed, hourly, 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S•••••• R••• E••••• I••••• F••• I• L••no longer reportedReal Estate Fund$3.9M60Apr 5, 2016
      S•••••• R••• E••••• I••••• S••••••••• L••Real Estate Fund$2.8M93Mar 31, 2018
      P••••••••• E••••• • I••••• F•••• L••Real Estate Fund$1.7M29Mar 31, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • B•••• R•••••• L•••• · President/Chief Compliance Officercontrol
        since 02/2016 · owns less than 5%
      • B•••• R•••••• L•••• · President/Ceocontrol
        since 11/2013 · owns 25% to 50% of T•••• H••••••• G••••• I•••
      Entity owners
      • T•••• H••••••• G••••• I••• · Shareholder
        direct · owns 75% or more
      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
      • Assets in custody · $4.5M to $4.7M
        Jun 30, 2020 to Apr 1, 2021
      • Discretionary RAUM · $4.5M to $4.7M
        Jun 30, 2020 to Apr 1, 2021
      • Pooled vehicle RAUM · $4.5M to $4.7M
        Jun 30, 2020 to Apr 1, 2021
      • RAUM · $4.5M to $4.7M
        Jun 30, 2020 to Apr 1, 2021
      • Accounts · 7 to 2
        Mar 28, 2019 to Jun 30, 2020
      • Advisory employees · 2 to 1
        Mar 28, 2019 to Jun 30, 2020
      • Assets in custody · $4.3M to $4.5M
        Mar 28, 2019 to Jun 30, 2020
      • Employees · 2 to 1
        Mar 28, 2019 to Jun 30, 2020
      • Discretionary RAUM · $4.7M to $4.5M
        Mar 28, 2019 to Jun 30, 2020
      • Individual RAUM · 429000.0 to unset
        Mar 28, 2019 to Jun 30, 2020
      • Pooled vehicle RAUM · $4.3M to $4.5M
        Mar 28, 2019 to Jun 30, 2020
      • RAUM · $4.7M to $4.5M
        Mar 28, 2019 to Jun 30, 2020
      • Accounts · 3 to 7
        Dec 14, 2018 to Mar 28, 2019
      • Pooled vehicle clients · 3 to 2
        Dec 14, 2018 to Mar 28, 2019
      • Assets in custody · $5.5M to $4.3M
        Dec 14, 2018 to Mar 28, 2019
      • Discretionary RAUM · $5.5M to $4.7M
        Dec 14, 2018 to Mar 28, 2019
      • Individual RAUM · unset to 429000.0
        Dec 14, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $5.5M to $4.3M
        Dec 14, 2018 to Mar 28, 2019
      • RAUM · $5.5M to $4.7M
        Dec 14, 2018 to Mar 28, 2019
      • Private funds · 3 to 2
        Sep 15, 2018 to Dec 14, 2018
      • Related broker-dealer · false to true
        Mar 31, 2018 to Aug 8, 2018
      • Accounts · 2 to 3
        Apr 3, 2017 to Mar 31, 2018
      • Pooled vehicle clients · unset to 3.0
        Apr 3, 2017 to Mar 31, 2018
      • Assets in custody · $1.9M to $5.5M
        Apr 3, 2017 to Mar 31, 2018
      • Other offices · unset to 0.0
        Apr 3, 2017 to Mar 31, 2018
      • Private funds · 1 to 3
        Apr 3, 2017 to Mar 31, 2018
      • Discretionary RAUM · $2.0M to $5.5M
        Apr 3, 2017 to Mar 31, 2018
      • Pooled vehicle RAUM · unset to 5466336.0
        Apr 3, 2017 to Mar 31, 2018
      • RAUM · $2.0M to $5.5M
        Apr 3, 2017 to Mar 31, 2018
      • Accounts · 0 to 2
        Apr 5, 2016 to Mar 31, 2017
      • Business name · G••• S•••••• F•••••••• S••••••• G•••• to G••• S•••••• C•••••• M••••••••• • I•••
        Apr 5, 2016 to Mar 31, 2017
      • Assets in custody · unset to 1900000.0
        Apr 5, 2016 to Mar 31, 2017
      • Custody of client assets · false to true
        Apr 5, 2016 to Mar 31, 2017
      • Financial planning clients · unset to 0
        Apr 5, 2016 to Mar 31, 2017
      • Legal name · T•••• H••••••• G••••• I••• to G••• S•••••• C•••••• M••••••••• • I•••
        Apr 5, 2016 to Mar 31, 2017
      • Discretionary RAUM · $0 to $2.0M
        Apr 5, 2016 to Mar 31, 2017
      • RAUM · $0 to $2.0M
        Apr 5, 2016 to Mar 31, 2017
      Signals
      2 dated events
      • D••••• J•••••• B••• (Shareholder) no longer on Schedule A of G••• S•••••• C•••••• M••••••••• • I••• (listed 2019-03-28, absent 2020-06-30)
        Jun 30, 2020 · Control person left · inference
      • G••• S•••••• F•••••••• S••••••• G•••• filed its initial SEC registration (Form ADV)
        Apr 5, 2016 · 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
      Across the graphs

      G••• S•••••• C•••••• M••••••••• • I••• 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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