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••• S••••• A•••• M••••••••• L•••

Former SEC-registered adviserMiami, FloridaCRD 284244SEC 801-110318IAPD
Latest filing Mar 29, 2018
First filing on the tape Mar 30, 2017 · 3 filings
RAUM
$284M
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
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$284M gross assets
History
3 filings and snapshots on the tape
RAUM$284M as of Mar 29, 2018
Mar 30, 2017$317M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 30, 20170 then
Employees (5.A)6 as of Mar 29, 2018
Mar 30, 20176 then
Private funds1 as of Mar 29, 2018
Mar 30, 20172 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 29, 2018; 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
$284MderivedRAUM 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$284M, 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
  • 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$284M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$284M for 1 clientsreported
Compensation
fixedreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M••••••• F•••••• H••••••• I• L•••Private Equity Fund$284M24Oct 11, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• K••••••• M••• · Director And Chief Executive Officer And Limited Partnercontrol
        since 09/2014 · owns less than 5%
      • R••••••••• V••••• V••••••••• · Director, Chief Financial Officer And Chief Compliance Officercontrol
        since 09/2014 · owns less than 5%
      • B•••••• K••••••• M••• · Shareholdercontrol
        since 07/2016 · owns 75% or more of M•• G• I•••
      Entity owners
      • M••••••• F•••••• P•••••••• L••• · Sole Shareholder
        direct · owns 75% or more
      • M•• G• I••• · General Partner
        indirect · owns F of M••••••• F•••••• P•••••••• 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
      • Pooled vehicle clients · unset to 1.0
        Apr 6, 2017 to Mar 29, 2018
      • Assets in custody · $317M to $284M
        Apr 6, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Apr 6, 2017 to Mar 29, 2018
      • Discretionary RAUM · $317M to $284M
        Apr 6, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 284111000.0
        Apr 6, 2017 to Mar 29, 2018
      • RAUM · $317M to $284M
        Apr 6, 2017 to Mar 29, 2018
      • Private funds · 2 to 1
        Mar 30, 2017 to Apr 6, 2017
      Signals
      1 dated events
      • G••• S••••• A•••• M••••••••• L••• filed its initial SEC registration (Form ADV)
        Mar 30, 2017 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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