DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
SEC-registered adviser
G••••••• G• L••
Latest filing Mar 11, 2026
First filing on the tape Jun 25, 2019 · 8 filings
SEC status approved since Aug 9, 2019
RAUM
$60.2M
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
1
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$60.2M as of Mar 11, 2026
Mar 26, 2020$161M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 11, 2026
Mar 26, 20200 then
Employees (5.A)1 as of Mar 11, 2026
Mar 26, 20201 then
Private funds1 as of Mar 11, 2026
Mar 26, 20201 then
RAUM -77% over the last fiscal year-24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 11, 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
- $60.2MderivedRAUM 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
- -77%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $60.2M, 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
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$60.2M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $60.2M for 1 clientsreported
- Compensation
- fixed, 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••••••• L• | Private Equity Fund | $132M | 11 | Oct 31, 2016 |
Owners and control persons
Schedule A and B, latest filing
- G•••••••• A•••••• S•••••• · Chief Compliance Officer/Managing Directorcontrolsince 07/2015 · owns less than 5%
- F•••••• M•••••• K• · Trusteecontrolsince 08/2004 · owns F of T•• S•••••• M• K••••• 2••• T•••• F•••• A••••• G•••••••
- G•••••• J•••••• S• · Trusteecontrolsince 08/2004 · owns F of T•• S•••••• M• K••••• 2••• T•••• F•••• A••••• G•••••••
- K•••••• M••••••• M•• · Trusteecontrolsince 08/2004 · owns F of T•• S•••••• M• K••••• 2••• T•••• F•••• A••••• G•••••••
Entity owners
- T•• S•••••• M• K••••• 2••• T•••• F•••• A••••• G••••••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- B••••••••• G• L••pooled vehicle sponsorn
- B••••••••• L•investment advisern
Advisers that list G••••••• G• L•• as a related person
- 304295 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $264M to $60.2MMar 24, 2025 to Mar 11, 2026
- Discretionary RAUM · $264M to $60.2MMar 24, 2025 to Mar 11, 2026
- Pooled vehicle RAUM · $264M to $60.2MMar 24, 2025 to Mar 11, 2026
- RAUM · $264M to $60.2MMar 24, 2025 to Mar 11, 2026
- Assets in custody · $132M to $264MMar 21, 2024 to Mar 24, 2025
- Financial planning clients · unset to Mar 21, 2024 to Mar 24, 2025
- Discretionary RAUM · $132M to $264MMar 21, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $132M to $264MMar 21, 2024 to Mar 24, 2025
- RAUM · $132M to $264MMar 21, 2024 to Mar 24, 2025
- Assets in custody · $136M to $132MMar 7, 2023 to Mar 21, 2024
- Discretionary RAUM · $136M to $132MMar 7, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $136M to $132MMar 7, 2023 to Mar 21, 2024
- RAUM · $136M to $132MMar 7, 2023 to Mar 21, 2024
- Assets in custody · $198M to $136MMar 8, 2022 to Mar 7, 2023
- Discretionary RAUM · $198M to $136MMar 8, 2022 to Mar 7, 2023
- Pooled vehicle RAUM · $198M to $136MMar 8, 2022 to Mar 7, 2023
- RAUM · $198M to $136MMar 8, 2022 to Mar 7, 2023
- Assets in custody · $134M to $198MMar 19, 2021 to Mar 8, 2022
- Discretionary RAUM · $134M to $198MMar 19, 2021 to Mar 8, 2022
- Pooled vehicle RAUM · $134M to $198MMar 19, 2021 to Mar 8, 2022
- RAUM · $134M to $198MMar 19, 2021 to Mar 8, 2022
- Assets in custody · $161M to $134MMar 26, 2020 to Mar 19, 2021
- Discretionary RAUM · $161M to $134MMar 26, 2020 to Mar 19, 2021
- Pooled vehicle RAUM · $161M to $134MMar 26, 2020 to Mar 19, 2021
- RAUM · $161M to $134MMar 26, 2020 to Mar 19, 2021
- Assets in custody · $179M to $161MJun 25, 2019 to Mar 26, 2020
- Private funds · 2 to 1Jun 25, 2019 to Mar 26, 2020
- Discretionary RAUM · $179M to $161MJun 25, 2019 to Mar 26, 2020
- Pooled vehicle RAUM · $179M to $161MJun 25, 2019 to Mar 26, 2020
- RAUM · $179M to $161MJun 25, 2019 to Mar 26, 2020
Signals
3 dated events
- G••••••• G• L•• reported RAUM $60.2M, down 77% from $264.2M (2025-03-24 to 2026-03-11)Mar 11, 2026 · RAUM change · derived
- G••••••• G• L•• reported RAUM $264.2M, up 99% from $132.5M (2024-03-21 to 2025-03-24)Mar 24, 2025 · RAUM change · derived
- G••••••• G• L•• filed its initial SEC registration (Form ADV)Jun 25, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- G••••••• G• L•• · Independent Sponsorsshared crd · capital_provider
- G••••••• G• L•• · Private Equityshared crd · organization
- G••••••• G• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-698-3113reportedpublic record, Form ADV, Mar 11, 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