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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Former SEC-registered adviser

G•• C•••••• P•••••••• L••

Former SEC-registered adviserBryan, Oh, OhioCRD 285627SEC 801-108542IAPD
Latest filing Jan 10, 2017
First filing on the tape Oct 12, 2016 · 4 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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$0 as of Jan 10, 2017
Oct 12, 2016$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jan 10, 2017
Oct 12, 20161 then
Employees (5.A)2 as of Jan 10, 2017
Oct 12, 20161 then
Private funds: 1
Practice profile
derived from the filing of Jan 10, 2017; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 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)
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
noreported
Compensation
% of AUM, performancereported
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•• C•••••• F•••• L••Other Private Fund$00Nov 16, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • O••••••• E•••• C••••••• · Managing Member And Chief Compliance Officercontrol
        since 11/2016 · owns 25% to 50%
      • S••••••••• C•••••• A••••• · Managing Membercontrol
        since 11/2016 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Business name · C•••• L•• to G•• C•••••• P•••••••• L••
        Nov 16, 2016 to Nov 17, 2016
      • Legal name · C•••• L•• to G•• C•••••• P•••••••• L••
        Nov 16, 2016 to Nov 17, 2016
      • Private funds · 1 to unset
        Nov 16, 2016 to Nov 17, 2016
      • Related adviser · false to true
        Nov 16, 2016 to Nov 17, 2016
      • Advisory employees · 1 to 2
        Oct 12, 2016 to Nov 16, 2016
      • Advisory activities · 2 to 1
        Oct 12, 2016 to Nov 16, 2016
      • BD registered reps · 0 to 2
        Oct 12, 2016 to Nov 16, 2016
      • Employees · 1 to 2
        Oct 12, 2016 to Nov 16, 2016
      • Insurance-licensed employees · 0 to 1
        Oct 12, 2016 to Nov 16, 2016
      • Financial planning clients · 0 to unset
        Oct 12, 2016 to Nov 16, 2016
      • HQ city · MARSHFIELD to BRYAN, OH
        Oct 12, 2016 to Nov 16, 2016
      • HQ state · MA to OH
        Oct 12, 2016 to Nov 16, 2016
      • Private funds · unset to 1
        Oct 12, 2016 to Nov 16, 2016
      Signals
      1 dated events
      • C•••• L•• filed its initial SEC registration (Form ADV)
        Oct 12, 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