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•••••••• B••••• L•••••• F••• M•••••• L••
Latest filing Apr 29, 2026
First filing on the tape Aug 18, 2016 · 29 filings
SEC status approved since Feb 23, 2017
RAUM
$4.4B
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
72
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$4.4B as of Apr 29, 2026
Mar 28, 2018$367M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 29, 2026
Mar 28, 20180 then
Employees (5.A)72 as of Apr 29, 2026
Mar 28, 201821 then
Private funds2 as of Apr 29, 2026
Mar 28, 20181 then
RAUM +3.5% over the last fiscal year+3.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 29, 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
- $629MderivedRAUM 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
- +3.5%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
- 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 securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$4.4B100%
- 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
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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•••••••• S••••• D••• F••• L• | Other Private Fund | $804M | 5 | Mar 28, 2018 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• J••••••• M•••••• · Presidentcontrolsince 12/2022 · owns less than 5%
- M••••••• G•••••• · Vice Presidentcontrolsince 12/2022 · owns less than 5%
- P•••••• Y•••••• I• · Chief Compliance Officercontrolsince 10/2023 · owns less than 5%
- R••••••••• S••••••• N•• · Sole Trustee And Beneficiarycontrolsince 01/2021 · owns 75% or more of S• 2••• R•••••••• T••••
- P••••••• C•••••• A••• · Trusteesince 12/2020 · owns F of S•••••• R•••••••• 2••• D••••••••• T••••
Entity owners
- G•••••••• S••••• H••••••• I• L•• · Sole Memberdirect · owns 75% or more
- C•••••• W•••••••• G•••••••• L•• · Sole Memberindirect · owns 75% or more of G•••••••• S••••• C•••••• I• L••
- G•••••••• S••••• C•••••• I• L•• · Sole Memberindirect · owns 75% or more of G•••••••• S••••• F•••••••• I• L••
- G•••••••• S••••• F•••••••• I• L•• · Sole Memberindirect · owns 75% or more of G•••••••• S••••• H••••••• I• L••
- G•••••••• S••••• I••••••••• · Memberindirect · owns 50% to 75% of C•••••• W•••••••• G•••••••• L••
- S• 2••• R•••••••• T•••• · Voting Shareholderindirect · owns 50% to 75% of G•••••••• S••••• I•••••••••
- S•••••• R•••••••• 2••• D••••••••• T•••• · Non-Voting Shareholderindirect · owns 25% to 50% of G•••••••• S••••• I•••••••••
- C•••••• W•••••••• O• C••••••••• I••• · Memberindirect · owns 25% to 50% of C•••••• W•••••••• G•••••••• L••
Related persons
Schedule D 7.A
- G••• • M•••••• L••pooled vehicle sponsorn
- G•••••••• M••••••••• L••pooled vehicle sponsorn
- G•••••••• S••••• D••• A••••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $4.4B to $4.4BMar 30, 2026 to Apr 29, 2026
- Discretionary RAUM · $4.4B to $4.4BMar 30, 2026 to Apr 29, 2026
- Pooled vehicle RAUM · $4.4B to $4.4BMar 30, 2026 to Apr 29, 2026
- RAUM · $4.4B to $4.4BMar 30, 2026 to Apr 29, 2026
- Accounts · 4 to 7Jun 25, 2025 to Mar 30, 2026
- Advisory employees · 9 to 10Jun 25, 2025 to Mar 30, 2026
- Pooled vehicle clients · 4 to 7Jun 25, 2025 to Mar 30, 2026
- Assets in custody · $4.3B to $4.4BJun 25, 2025 to Mar 30, 2026
- Custody of client assets · true to falseJun 25, 2025 to Mar 30, 2026
- Employees · 57 to 72Jun 25, 2025 to Mar 30, 2026
- Private funds · 1 to 2Jun 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $4.3B to $4.4BJun 25, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $4.3B to $4.4BJun 25, 2025 to Mar 30, 2026
- RAUM · $4.3B to $4.4BJun 25, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 27, 2025 to Jun 25, 2025
- Accounts · 9 to 4Dec 23, 2024 to Mar 27, 2025
- Pooled vehicle clients · 9 to 4Dec 23, 2024 to Mar 27, 2025
- Assets in custody · $4.1B to $4.3BDec 23, 2024 to Mar 27, 2025
- Employees · 42 to 57Dec 23, 2024 to Mar 27, 2025
- Discretionary RAUM · $4.1B to $4.3BDec 23, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $4.1B to $4.3BDec 23, 2024 to Mar 27, 2025
- RAUM · $4.1B to $4.3BDec 23, 2024 to Mar 27, 2025
- Accounts · 4 to 9Oct 6, 2023 to Mar 28, 2024
- Advisory employees · 8 to 9Oct 6, 2023 to Mar 28, 2024
- Pooled vehicle clients · 4 to 9Oct 6, 2023 to Mar 28, 2024
- Assets in custody · $3.9B to $4.1BOct 6, 2023 to Mar 28, 2024
- Employees · 48 to 42Oct 6, 2023 to Mar 28, 2024
- Discretionary RAUM · $3.9B to $4.1BOct 6, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $3.9B to $4.1BOct 6, 2023 to Mar 28, 2024
- RAUM · $3.9B to $4.1BOct 6, 2023 to Mar 28, 2024
- Advisory employees · 3 to 8Oct 31, 2022 to Mar 29, 2023
- BD registered reps · 1 to 0Oct 31, 2022 to Mar 29, 2023
- Assets in custody · $3.9B to $3.9BOct 31, 2022 to Mar 29, 2023
- Employees · 59 to 48Oct 31, 2022 to Mar 29, 2023
- Discretionary RAUM · $3.9B to $3.9BOct 31, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $3.9B to $3.9BOct 31, 2022 to Mar 29, 2023
- RAUM · $3.9B to $3.9BOct 31, 2022 to Mar 29, 2023
- Related adviser · true to falseOct 31, 2022 to Mar 29, 2023
- Accounts · 3 to 4Aug 18, 2021 to Mar 30, 2022
- BD registered reps · 0 to 1Aug 18, 2021 to Mar 30, 2022
Signals
12 dated events
- I Yvonne Pytlik (Chief Compliance Officer) appeared on Schedule A of G•••••••• B••••• L•••••• F••• M•••••• L••Oct 6, 2023 · Control person joined · fact
- Richard Mark Jarrell (President) no longer on Schedule A of G•••••••• B••••• L•••••• F••• M•••••• L•• (listed 2022-10-31, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- G•••••• Mcmanus (Vice President) appeared on Schedule A of G•••••••• B••••• L•••••• F••• M•••••• L••Mar 29, 2023 · Control person joined · fact
- G•••••••• B••••• L•••••• F••• M•••••• L•• reported RAUM $3.9B, up 70% from $2.3B (2021-08-18 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Wilson Jay Haas (Chief Compliance Officer) no longer on Schedule A of G•••••••• B••••• L•••••• F••• M•••••• L•• (listed 2020-04-27, absent 2021-02-15)Feb 15, 2021 · Control person left · inference
- Pastorelle Bridget Garcia (Chief Compliance Officer) appeared on Schedule A of G•••••••• B••••• L•••••• F••• M•••••• L••Feb 15, 2021 · Control person joined · fact
- G•••••••• B••••• L•••••• F••• M•••••• L•• reported RAUM $2.0B, up 28% from $1.6B (2020-01-17 to 2020-03-25)Mar 25, 2020 · RAUM change · derived
- Wilson Jay Haas (Chief Compliance Officer) appeared on Schedule A of G•••••••• B••••• L•••••• F••• M•••••• L••Mar 25, 2020 · Control person joined · fact
- George Arthur Hatzopoulos (Executive Managing Director) no longer on Schedule A of G•••••••• B••••• L•••••• F••• M•••••• L•• (listed 2020-01-17, absent 2020-03-25)Mar 25, 2020 · Control person left · inference
- Michael Jason Ewasko (Chief Compliance Officer) no longer on Schedule A of G•••••••• B••••• L•••••• F••• M•••••• L•• (listed 2020-01-17, absent 2020-03-25)Mar 25, 2020 · Control person left · inference
- G•••••••• B••••• L•••••• F••• M•••••• L•• reported RAUM $1.6B, up 336% from $366.6M (2018-10-31 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
- G•••••••• B••••• L•••••• F••• M•••••• L•• filed its initial SEC registration (Form ADV)Aug 18, 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
- Principal office phone
- 212-649-9700reportedpublic record, Form ADV, Apr 29, 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 M••••••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
Across the graphs
G•••••••• B••••• L•••••• F••• M•••••• L•• 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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