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••

Former SEC-registered adviserSydney, CRD 284710SEC 801-108437IAPD
Latest filing Aug 15, 2017
First filing on the tape Sep 15, 2016 · 5 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
n/a
beyond the principal office
Private funds
1
$105M gross assets
History
5 filings and snapshots on the tape
RAUM$0 as of Aug 15, 2017
Sep 15, 2016$5.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 15, 2017
Sep 15, 20160 then
Employees (5.A)1 as of Aug 15, 2017
Sep 15, 20161 then
Private funds1 as of Aug 15, 2017
Sep 15, 20161 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 15, 2017; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 3 clientsreported
Compensation
% of AUMreported
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
      G•••••• G••••• A•••• F••• ••••••• L••••••Liquidity Fund$105M1Sep 15, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • G••••• K••••••• C•••••• · Elected Manager, Ccocontrol
        since 02/2015 · 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
      • Accounts · 27 to 0
        Mar 28, 2017 to Aug 15, 2017
      • Advisory employees · 5 to 1
        Mar 28, 2017 to Aug 15, 2017
      • Assets in custody · $107M to $0
        Mar 28, 2017 to Aug 15, 2017
      • Employees · 5 to 1
        Mar 28, 2017 to Aug 15, 2017
      • HQ city · NEW YORK to SYDNEY
        Mar 28, 2017 to Aug 15, 2017
      • HQ state · NY to unset
        Mar 28, 2017 to Aug 15, 2017
      • Discretionary RAUM · $107M to $0
        Mar 28, 2017 to Aug 15, 2017
      • RAUM · $107M to $0
        Mar 28, 2017 to Aug 15, 2017
      • Accounts · 10 to 27
        Dec 5, 2016 to Mar 28, 2017
      • Advisory employees · 1 to 5
        Dec 5, 2016 to Mar 28, 2017
      • Assets in custody · $5.0M to $107M
        Dec 5, 2016 to Mar 28, 2017
      • Employees · 1 to 5
        Dec 5, 2016 to Mar 28, 2017
      • Discretionary RAUM · $100M to $107M
        Dec 5, 2016 to Mar 28, 2017
      • RAUM · $100M to $107M
        Dec 5, 2016 to Mar 28, 2017
      • Accounts · 1 to 10
        Sep 27, 2016 to Dec 5, 2016
      • Discretionary RAUM · $5.0M to $100M
        Sep 27, 2016 to Dec 5, 2016
      • RAUM · $5.0M to $100M
        Sep 27, 2016 to Dec 5, 2016
      Signals
      1 dated events
      • G•••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Sep 15, 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