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••• S••••• C••••••• L••

Former SEC-registered adviserChicago, IllinoisCRD 286671SEC 801-110394IAPD
Latest filing Jul 10, 2024
First filing on the tape Apr 5, 2017 · 27 filings
RAUM
$2.0B
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
88%
$1.8B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
8 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
3
$136M gross assets
History
27 filings and snapshots on the tape
RAUM$2.0B as of Mar 27, 2024
Mar 27, 2018$484M then
HNW client RAUM$1.8B as of Mar 27, 2024
Mar 27, 2018$459M then
State-registered IARs (5.B.3)8 as of Mar 27, 2024
Mar 27, 20181 then
Employees (5.A)12 as of Mar 27, 2024
Mar 27, 20188 then
Private funds3 as of Mar 27, 2024
Feb 26, 20211 then
RAUM +21% over the last fiscal year+28% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Jul 10, 2024; every figure names its basis
RAUM per advisor
$254MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
11derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$21.3MderivedHNW RAUM over HNW clients
Average account
$2.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
94%derivedof RAUM
Institutional
5.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
1.3derived6 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+12%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$553M, 51 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
  • High-net-worth individuals$1.8B88%
  • Pooled investment vehicles$136M6.7%
  • Charitable organizations$104M5.1%
Individual clients
0reported
HNW clients
84reported
Pension plan clients
0reported
Charitable clients
5reported
Accounts
734reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$553M for 51 clientsreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    3 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    G••• S••••• V••••••• I•• L••Private Equity Fund$66.2M55Mar 15, 2023
    G••• S••••• V••••••• I• L••Other Private Fund$38.3M48Mar 18, 2022
    G••• S••••• V••••••• L••Private Equity Fund$31.4M52Nov 2, 2020
    Owners and control persons
    Schedule A and B, latest filing
    • L••••••• E•••• R••••• · Chief Investment Officercontrol
      since 01/2021 · owns less than 5%
    • J•••••• J••••••••• R•••••• · Chief Compliance Officer
      since 03/2024 · owns less than 5%
    Entity owners
    • T•• C•••••• G••••• L•• · Sole Member Owner
      direct · owns 75% or more
    • T••••• H•••••••• L•• · Unit Holder
      indirect · owns 50% to 75% of T•• C•••••• G••••• L••
    • T•• H•••••••• I•• · Unit Holder
      indirect · owns 25% to 50% of T•• C•••••• G••••• L••
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Chicago, Il · principal000
    Phoenix, Az000
    Green Village, Nj000
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 661 to 734
      Jan 14, 2024 to Mar 27, 2024
    • Charity clients · unset to 5.0
      Jan 14, 2024 to Mar 27, 2024
    • HNW clients · 75 to 84
      Jan 14, 2024 to Mar 27, 2024
    • Assets in custody · $542M to $553M
      Jan 14, 2024 to Mar 27, 2024
    • Employees · 11 to 12
      Jan 14, 2024 to Mar 27, 2024
    • Discretionary RAUM · $1.6B to $1.9B
      Jan 14, 2024 to Mar 27, 2024
    • HNW RAUM · $1.5B to $1.8B
      Jan 14, 2024 to Mar 27, 2024
    • Non-discretionary RAUM · $107M to $125M
      Jan 14, 2024 to Mar 27, 2024
    • Pooled vehicle RAUM · $138M to $136M
      Jan 14, 2024 to Mar 27, 2024
    • RAUM · $1.7B to $2.0B
      Jan 14, 2024 to Mar 27, 2024
    • Accounts · 690 to 661
      Nov 16, 2022 to Mar 15, 2023
    • Advisory employees · 7 to 8
      Nov 16, 2022 to Mar 15, 2023
    • HNW clients · 63 to 75
      Nov 16, 2022 to Mar 15, 2023
    • Individual clients · unset to 0.0
      Nov 16, 2022 to Mar 15, 2023
    • Pooled vehicle clients · 2 to 3
      Nov 16, 2022 to Mar 15, 2023
    • Assets in custody · $66.5M to $542M
      Nov 16, 2022 to Mar 15, 2023
    • Other offices · 0 to 5
      Nov 16, 2022 to Mar 15, 2023
    • Private funds · 2 to 3
      Nov 16, 2022 to Mar 15, 2023
    • Discretionary RAUM · $1.0B to $1.6B
      Nov 16, 2022 to Mar 15, 2023
    • HNW RAUM · $984M to $1.5B
      Nov 16, 2022 to Mar 15, 2023
    • Individual RAUM · unset to 0.0
      Nov 16, 2022 to Mar 15, 2023
    • Non-discretionary RAUM · $125M to $107M
      Nov 16, 2022 to Mar 15, 2023
    • Pooled vehicle RAUM · $66.5M to $138M
      Nov 16, 2022 to Mar 15, 2023
    • RAUM · $1.1B to $1.7B
      Nov 16, 2022 to Mar 15, 2023
    • Other offices · 1 to 0
      Mar 18, 2022 to Oct 13, 2022
    • Accounts · 558 to 690
      Jan 13, 2022 to Mar 18, 2022
    • Advisory employees · 4 to 7
      Jan 13, 2022 to Mar 18, 2022
    • Charity clients · 18.0 to unset
      Jan 13, 2022 to Mar 18, 2022
    • HNW clients · 56 to 63
      Jan 13, 2022 to Mar 18, 2022
    • Pooled vehicle clients · 0 to 1
      Jan 13, 2022 to Mar 18, 2022
    • Employees · 7 to 11
      Jan 13, 2022 to Mar 18, 2022
    • State-registered IARs · 5 to 8
      Jan 13, 2022 to Mar 18, 2022
    • Other offices · 0 to 1
      Jan 13, 2022 to Mar 18, 2022
    • Private funds · 1 to 2
      Jan 13, 2022 to Mar 18, 2022
    • Discretionary RAUM · $908M to $1.0B
      Jan 13, 2022 to Mar 18, 2022
    • HNW RAUM · $856M to $984M
      Jan 13, 2022 to Mar 18, 2022
    • Individual RAUM · 1941991.0 to unset
      Jan 13, 2022 to Mar 18, 2022
    • Non-discretionary RAUM · $53.9M to $125M
      Jan 13, 2022 to Mar 18, 2022
    • Pooled vehicle RAUM · $0 to $66.5M
      Jan 13, 2022 to Mar 18, 2022
    • RAUM · $962M to $1.1B
      Jan 13, 2022 to Mar 18, 2022
    Signals
    20 dated events
    • Scott Jeffrey Friedstein (Managing Member) no longer on Schedule A of G••• S••••• C••••••• L•• (listed 2024-03-27, absent 2024-07-10)
      Jul 10, 2024 · Control person left · inference
    • French Joseph Page (Managing Member And Chief Executive Officer) no longer on Schedule A of G••• S••••• C••••••• L•• (listed 2024-03-27, absent 2024-07-10)
      Jul 10, 2024 · Control person left · inference
    • Michael John Ruth (Chief Operating Officer) no longer on Schedule A of G••• S••••• C••••••• L•• (listed 2024-03-27, absent 2024-07-10)
      Jul 10, 2024 · Control person left · inference
    • P•••• T••••••• L••••• left G••• S••••• C••••••• L•• for T•• C•••••• G••••• L•• (registered 2024-05-22)
      May 22, 2024 · Advisor changed firm · fact
    • T•••••• C•••••• S•••• left G••• S••••• C••••••• L•• for T•• C•••••• G••••• L•• (registered 2024-04-25)
      Apr 29, 2024 · Advisor changed firm · fact
    • R••• S••••• left G••• S••••• C••••••• L•• for T•• C•••••• G••••• L•• (registered 2024-05-14)
      Apr 23, 2024 · Advisor changed firm · fact
    • J••••• F••••• P••• left G••• S••••• C••••••• L•• for T•• C•••••• G••••• L•• (registered 2024-04-15)
      Apr 23, 2024 · Advisor changed firm · fact
    • J•••••• S•••• F••••••••• left G••• S••••• C••••••• L•• for T•• C•••••• G••••• L•• (registered 2024-04-16)
      Apr 23, 2024 · Advisor changed firm · fact
    • M•••••• A••••• left G••• S••••• C••••••• L•• for T•• C•••••• G••••• L•• (registered 2024-05-14)
      Apr 23, 2024 · Advisor changed firm · fact
    • M••••• B•••••• left G••• S••••• C••••••• L•• for T•• C•••••• G••••• L•• (registered 2024-04-24)
      Apr 23, 2024 · Advisor changed firm · fact
    • R•••• J• K••••• left G••• S••••• C••••••• L•• for T•• C•••••• G••••• L•• (registered 2024-05-18)
      Apr 23, 2024 · Advisor changed firm · fact
    • G••• S••••• C••••••• L••'s advisors moved to T•• C•••••• G••••• L•• (Chicago, IL): 5 of 8 registered, on the same day
      Apr 23, 2024 · Firm absorbed (people side) · derived
    • G••• S••••• C••••••• L•• reported 5 offices beyond its principal office, up from 0 (2022-11-16 to 2023-03-15)
      Mar 15, 2023 · Office count change · derived
    • G••• S••••• C••••••• L•• reported RAUM $1.7B, up 46% from $1.1B (2022-11-16 to 2023-03-15)
      Mar 15, 2023 · RAUM change · derived
    • G••• S••••• C••••••• L•• reported RAUM $961.9M, up 30% from $741.4M (2020-11-02 to 2021-02-26)
      Feb 26, 2021 · RAUM change · derived
    • R••••• E••• L•••••• (Chief Investment Officer) appeared on Schedule A of G••• S••••• C••••••• L••
      Feb 26, 2021 · Control person joined · fact
    • G••• S••••• C••••••• L•• reported RAUM $624.4M, up 29% from $483.8M (2018-03-27 to 2019-02-20)
      Feb 20, 2019 · RAUM change · derived
    • James William Boer (Managing Member And Chief Financial Officer) no longer on Schedule A of G••• S••••• C••••••• L•• (listed 2018-03-27, absent 2019-02-20)
      Feb 20, 2019 · Control person left · inference
    • G••• S••••• C••••••• L•• reported RAUM $483.8M, up 71% from $282.8M (2017-08-11 to 2018-03-27)
      Mar 27, 2018 · RAUM change · derived
    • G••• D•••• C••••••• L•• filed its initial SEC registration (Form ADV)
      Apr 5, 2017 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    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