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••••••
Legal name G•••••• C•••••• L•
Latest filing Mar 27, 2026
First filing on the tape May 27, 2016 · 15 filings
SEC status approved since Jun 2, 2016
RAUM
$2.1B
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
16
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$2.1B as of Mar 27, 2026
Mar 9, 2017$814M then
HNW client RAUM$0 as of Mar 28, 2024
Feb 15, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 9, 20170 then
Employees (5.A)16 as of Mar 27, 2026
Mar 9, 20176 then
Private funds1 as of Mar 27, 2026
Mar 9, 20171 then
RAUM +25% over the last fiscal year-10% a year over threeIARs 0 to 0offices 0 to 1
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
- $296MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%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
- $84.9M, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.1B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $84.9M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•••••• C•••••• M••••• F••• L• | Hedge Fund | $79.4M | 9 | Sep 8, 2016 |
Owners and control persons
Schedule A and B, latest filing
- H••••••• K•••• A•••• · Chief Financial Officercontrolsince 02/2019 · owns less than 5%
- J••••••• D•••••• B••••••• · Founder And Portfolio Managercontrolsince 12/2015 · owns less than 5%
- K•••••• M•••••• F•••••• · Chief Compliance Officer/ Chief Operating Officercontrolsince 04/2016 · owns less than 5%
- J••••••• D•••••• B••••••• · Sole Membercontrolsince 12/2015 · owns 75% or more of G•••••• C•••••• ••• L••
Entity owners
- G•••••• C•••••• ••• L•• · General Partnerdirect · owns 75% or more
Related persons
Schedule D 7.A
- G•••••• C•••••• ••• L••bankpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 11 to 12Mar 24, 2025 to Mar 27, 2026
- Assets in custody · $88.1M to $84.9MMar 24, 2025 to Mar 27, 2026
- Employees · 15 to 16Mar 24, 2025 to Mar 27, 2026
- Other offices · 0 to 1Mar 24, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.7B to $2.1BMar 24, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $1.7B to $2.1BMar 24, 2025 to Mar 27, 2026
- RAUM · $1.7B to $2.1BMar 24, 2025 to Mar 27, 2026
- Advisory employees · 9 to 11Mar 28, 2024 to Mar 24, 2025
- Charity clients · 0.0 to unsetMar 28, 2024 to Mar 24, 2025
- Corporate clients · 0.0 to unsetMar 28, 2024 to Mar 24, 2025
- HNW clients · 0.0 to unsetMar 28, 2024 to Mar 24, 2025
- Individual clients · 0.0 to unsetMar 28, 2024 to Mar 24, 2025
- Pension plan clients · 0.0 to unsetMar 28, 2024 to Mar 24, 2025
- Assets in custody · $79.4M to $88.1MMar 28, 2024 to Mar 24, 2025
- Employees · 14 to 15Mar 28, 2024 to Mar 24, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 24, 2025
- Discretionary RAUM · $1.7B to $1.7BMar 28, 2024 to Mar 24, 2025
- HNW RAUM · 0.0 to unsetMar 28, 2024 to Mar 24, 2025
- Individual RAUM · 0.0 to unsetMar 28, 2024 to Mar 24, 2025
- Pension RAUM · 0.0 to unsetMar 28, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $1.7B to $1.7BMar 28, 2024 to Mar 24, 2025
- RAUM · $1.7B to $1.7BMar 28, 2024 to Mar 24, 2025
- Accounts · 14 to 7Mar 27, 2023 to Mar 28, 2024
- Advisory employees · 17 to 9Mar 27, 2023 to Mar 28, 2024
- Pooled vehicle clients · 12 to 7Mar 27, 2023 to Mar 28, 2024
- Assets in custody · $0 to $79.4MMar 27, 2023 to Mar 28, 2024
- Employees · 17 to 14Mar 27, 2023 to Mar 28, 2024
- Discretionary RAUM · $2.9B to $1.7BMar 27, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $2.9B to $1.7BMar 27, 2023 to Mar 28, 2024
- RAUM · $2.9B to $1.7BMar 27, 2023 to Mar 28, 2024
- Accounts · 13 to 14Mar 31, 2022 to Mar 27, 2023
- Advisory employees · 14 to 17Mar 31, 2022 to Mar 27, 2023
- Pooled vehicle clients · 11 to 12Mar 31, 2022 to Mar 27, 2023
- Discretionary RAUM · $2.9B to $2.9BMar 31, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $2.9B to $2.9BMar 31, 2022 to Mar 27, 2023
- RAUM · $2.9B to $2.9BMar 31, 2022 to Mar 27, 2023
- Accounts · 11 to 13Mar 2, 2021 to Mar 31, 2022
- Advisory employees · 11 to 14Mar 2, 2021 to Mar 31, 2022
- Pooled vehicle clients · 9 to 11Mar 2, 2021 to Mar 31, 2022
- Employees · 14 to 17Mar 2, 2021 to Mar 31, 2022
Signals
7 dated events
- G•••••• C•••••• reported RAUM $1.7B, down 42% from $2.9B (2023-03-27 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- G•••••• C•••••• reported RAUM $2.9B, up 75% from $1.6B (2021-03-02 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- G•••••• C•••••• reported RAUM $2.0B, up 27% from $1.5B (2019-02-15 to 2020-03-11)Mar 11, 2020 · RAUM change · derived
- Allen Kirt Hartman (Chief Financial Officer) appeared on Schedule A of G•••••• C••••••Feb 15, 2019 · Control person joined · fact
- G•••••• C•••••• reported RAUM $1.5B, up 38% from $1.1B (2018-03-20 to 2019-02-06)Feb 6, 2019 · RAUM change · derived
- G•••••• C•••••• reported RAUM $1.1B, up 37% from $814.0M (2017-06-01 to 2018-02-15)Feb 15, 2018 · RAUM change · derived
- G•••••• C•••••• filed its initial SEC registration (Form ADV)May 27, 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.
How to reach
public business contact points only, each with its source
- Website
- g•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-667-8920reportedpublic 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