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•••••••• L••
Latest filing Jul 30, 2026
First filing on the tape Dec 20, 2016 · 37 filings
SEC status approved since Jan 9, 2017
RAUM
$12.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$6.3M
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$12.6M as of Jul 30, 2026
Mar 16, 2018$1.8B then
HNW client RAUM$352M as of Mar 28, 2025
Mar 16, 2018$274M then
State-registered IARs (5.B.3)0 as of Jul 30, 2026
Mar 16, 20183 then
Employees (5.A)5 as of Jul 30, 2026
Mar 16, 201819 then
Private funds: no history
RAUM -99% over the last fiscal year-76% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Jul 30, 2026; every figure names its basis
- RAUM per advisor
- $6.3MderivedRAUM 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
- $12.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -99%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -100%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$12.6M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• H••••• B•••••Chartered Financial Analyst | Chicago, Il | Dec 11, 2017 | 34 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- R••••• H••••• B••••• from K••••• A•••• M••••••••• C•••Dec 11, 2017 · Other
- M••• E••••• Z•••••• from K••••• A•••• M••••••••• C•••Dec 8, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from K••••• A•••• M••••••••• C•••Mar 3, 2017 · Chicago, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• C••••• C••• · Chief Financial Officercontrolsince 03/2023 · owns less than 5%
- H•••••• T••••••• R•••• · Chief Compliance Officercontrolsince 01/2022 · owns less than 5%
- K••••• M•••••• S•••• · Vice President Financecontrolsince 03/2023 · owns less than 5%
- K•••••• K••••• M•••••• · Chairmancontrolsince 03/2023 · owns less than 5%
- M•••••••• M•••• C•••••• · Associate Compliance Officercontrolsince 03/2023 · owns less than 5%
- R•••••• A•••• · Risk Management / Esgcontrolsince 03/2023 · owns less than 5%
- G••••••• M••••• J••••• · Ceo, Director And The Majority Shareholder Of Common Stockcontrolsince 11/1976 · owns 75% or more of G•••• I•••
Entity owners
- T•••• A•••••••• I••• · Sole Memberdirect · owns 75% or more · public reporting company
- G•••• I••• · Shareholder Of Class A And B Common Stockindirect · owns 50% to 75% of T•••• A•••••••• I•••
Related persons
Schedule D 7.A
- G••••••••• L••broker-dealern
- G••••••••• L••broker-dealern
- G•••••• • C•••••• I••••••••• A•••••••• I•••investment adviserpooled vehicle sponsornRAUM $1.5B
- G•••••• F••••• L••investment advisernRAUM $25B
- G•••••• S••••••••• I••••••••• ••• L••••••pooled vehicle sponsorn
- G•••• A•••• M••••••••• ••• L••investment advisern
- G•••• A•••• M••••••••• I•••investment advisernRAUM $12B
- T•••• A•••••••• I••pooled vehicle sponsory
- T•••• A•••••••• L••investment advisernRAUM $251M
Advisers that list G•••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
6 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Jul 30, 2026portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2026-03-30, yes on the filing of 2026-07-30peers: asset managers, under $100M (330)
- business activity changedChange between filings · filing Jul 30, 2026selection of other advisers (Item 5.G.7): no on the filing of 2026-03-30, yes on the filing of 2026-07-30peers: asset managers, under $100M (330)
- account count collapseChange between filings · filing Mar 30, 2026accounts (Item 5.F.2.f) moved from 522.0 to 1.0 (-100.0%) between the annual amendments of 2025-03-28 and 2026-03-30; the peer median change was -83.0% (2 comparable advisers, 0.0th percentile of changes)peers: asset managers, under $100M (2) · 0.0% percentile
- client count collapseChange between filings · filing Mar 30, 2026individual and HNW clients (Item 5.D) moved from 493.0 to 0.0 (-100.0%) between the annual amendments of 2025-03-28 and 2026-03-30; the peer median change was -45.0% (2 comparable advisers, 0.0th percentile of changes)peers: asset managers, under $100M (2) · 0.0% percentile
- employee count dropChange between filings · filing Mar 30, 2026employees (Item 5.A) moved from 20.0 to 5.0 (-75.0%) between the annual amendments of 2025-03-28 and 2026-03-30; the peer median change was -4.0% (51 comparable advisers, 0.0th percentile of changes)peers: asset managers, under $100M (51) · 0.0% percentile
- RAUM down 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $1,022,315,757 to $12,615,540 (-99.0%) between the annual amendments of 2025-03-28 and 2026-03-30; the peer median change was -12.0% (97 comparable advisers, 2.0th percentile of changes)peers: asset managers, under $100M (97) · 2.1% percentile
What changed
consecutive filings, newest first
- Advisory activities · 3 to 5Mar 30, 2026 to Jul 30, 2026
- Business name · K••••••••• A•••••••• L•• to G•••••••• L••Mar 30, 2026 to Jul 30, 2026
- Legal name · K••••••••• A•••••••• L•• to G•••••••• L••Mar 30, 2026 to Jul 30, 2026
- BD registered reps · 2 to 1Nov 12, 2025 to Mar 30, 2026
- Employees · 7 to 5Nov 12, 2025 to Mar 30, 2026
- Discretionary RAUM · $12.0M to $12.6MNov 12, 2025 to Mar 30, 2026
- RAUM · $12.0M to $12.6MNov 12, 2025 to Mar 30, 2026
- Accounts · 522 to 1Mar 28, 2025 to Jun 5, 2025
- Advisory employees · 11 to 1Mar 28, 2025 to Jun 5, 2025
- BD registered reps · 3 to 2Mar 28, 2025 to Jun 5, 2025
- Charity clients · 6 to 0Mar 28, 2025 to Jun 5, 2025
- Corporate clients · 10 to 0Mar 28, 2025 to Jun 5, 2025
- HNW clients · 369 to 0Mar 28, 2025 to Jun 5, 2025
- Individual clients · 124 to 0Mar 28, 2025 to Jun 5, 2025
- Pension plan clients · 9 to 0Mar 28, 2025 to Jun 5, 2025
- Employees · 20 to 7Mar 28, 2025 to Jun 5, 2025
- Financial planning clients · unset to Mar 28, 2025 to Jun 5, 2025
- State-registered IARs · 1 to 0Mar 28, 2025 to Jun 5, 2025
- Discretionary RAUM · $1.0B to $12.0MMar 28, 2025 to Jun 5, 2025
- HNW RAUM · 352383209.0 to unsetMar 28, 2025 to Jun 5, 2025
- Individual RAUM · 30148555.0 to unsetMar 28, 2025 to Jun 5, 2025
- Pension RAUM · 61325350.0 to unsetMar 28, 2025 to Jun 5, 2025
- RAUM · $1.0B to $12.0MMar 28, 2025 to Jun 5, 2025
- Wrap assets (manager) · 46267702.0 to unsetMar 28, 2025 to Jun 5, 2025
- Wrap assets (sponsor) · 0.0 to unsetMar 28, 2025 to Jun 5, 2025
- Accounts · 454 to 522Aug 15, 2024 to Mar 28, 2025
- BD registered reps · 2 to 3Aug 15, 2024 to Mar 28, 2025
- Corporate clients · 9 to 10Aug 15, 2024 to Mar 28, 2025
- HNW clients · 356 to 369Aug 15, 2024 to Mar 28, 2025
- Individual clients · 71 to 124Aug 15, 2024 to Mar 28, 2025
- Pension plan clients · 7 to 9Aug 15, 2024 to Mar 28, 2025
- Employees · 21 to 20Aug 15, 2024 to Mar 28, 2025
- Discretionary RAUM · $889M to $1.0BAug 15, 2024 to Mar 28, 2025
- HNW RAUM · $231M to $352MAug 15, 2024 to Mar 28, 2025
- Individual RAUM · $8.0M to $30.1MAug 15, 2024 to Mar 28, 2025
- Pension RAUM · $59.4M to $61.3MAug 15, 2024 to Mar 28, 2025
- RAUM · $889M to $1.0BAug 15, 2024 to Mar 28, 2025
- Wrap assets (manager) · $39.3M to $46.3MAug 15, 2024 to Mar 28, 2025
- Accounts · 467 to 454Dec 21, 2023 to Mar 28, 2024
- Advisory employees · 12 to 11Dec 21, 2023 to Mar 28, 2024
Signals
16 dated events
- G•••••••• L•• reported RAUM $12.0M, down 99% from $1.0B (2025-03-28 to 2025-06-05)Jun 5, 2025 · RAUM change · derived
- Gerard Stephen Bondi (Chief Executive Officer) no longer on Schedule A of G•••••••• L•• (listed 2024-03-28, absent 2024-08-15)Aug 15, 2024 · Control person left · inference
- Gerard Stephen Bondi (Chief Executive Officer) appeared on Schedule A of G•••••••• L••Mar 28, 2024 · Control person joined · fact
- Charles Mark Majewski (Associate Compliance Officer) appeared on Schedule A of G•••••••• L••Mar 30, 2023 · Control person joined · fact
- Anand Rawani (Risk Management / Esg) appeared on Schedule A of G•••••••• L••Mar 30, 2023 · Control person joined · fact
- Singh Manjit Kalha (Executive Vice President Finance) appeared on Schedule A of G•••••••• L••Mar 30, 2023 · Control person joined · fact
- Bernard Patrick Huvane (Treasurer) no longer on Schedule A of G•••••••• L•• (listed 2022-03-02, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- G•••••••• L•• reported RAUM $1.1B, up 26% from $898.0M (2021-10-07 to 2022-03-02)Mar 2, 2022 · RAUM change · derived
- Broggi Deanna Marotz (Chief Compliance Officer) no longer on Schedule A of G•••••••• L•• (listed 2021-06-30, absent 2021-10-07)Oct 7, 2021 · Control person left · inference
- Francis Nicola Galluccio (Managing Director) no longer on Schedule A of G•••••••• L•• (listed 2021-06-30, absent 2021-10-07)Oct 7, 2021 · Control person left · inference
- Renee Tiffany Hayden (Vice President) appeared on Schedule A of G•••••••• L••Oct 7, 2021 · Control person joined · fact
- Casey Haars (Vice President) appeared on Schedule A of G•••••••• L••Oct 7, 2021 · Control person joined · fact
- Nmn Michael Mancuso (Treasurer) no longer on Schedule A of G•••••••• L•• (listed 2019-06-18, absent 2019-06-19)Jun 19, 2019 · Control person left · inference
- Bernard Patrick Huvane (Treasurer) appeared on Schedule A of G•••••••• L••Jun 19, 2019 · Control person joined · fact
- G•••••••• L•• reported RAUM $1.1B, down 37% from $1.8B (2019-01-09 to 2019-03-26)Mar 26, 2019 · RAUM change · derived
- K••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Dec 20, 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
- Website
- tetonadv.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (312) 786-5000reportedpublic record, Form ADV, Jul 30, 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
- $6.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026