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••••••••• A•••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 287660SEC 801-112319IAPD
Latest filing Mar 28, 2019
First filing on the tape Dec 18, 2017 · 5 filings
RAUM
n/a
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
0
beyond the principal office
Private funds
1
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM: $36.0M
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Mar 29, 20180 then
Employees (5.A)2 as of Mar 28, 2019
Mar 29, 20187 then
Private funds1 as of Mar 28, 2019
Mar 29, 20181 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2019; 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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
n/areported
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••••••••• Q•••• S••••••• M••••• F••• L•••Hedge Fund$01Aug 4, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••• J•••••• A• · Directorcontrol
        since 01/2017 · owns less than 5%
      • S••••••• D•••••• A•••••• · Director, Chief Operating Officercontrol
        since 01/2017 · owns less than 5%
      • Z••••• D•••• · Vice President, Chief Financial Officer, Treasurer, Chief Compliance Officercontrol
        since 01/2017 · owns less than 5%
      • H•••• G•••••• E•••• · Presidentcontrol
        since 05/1999 · owns 75% or more of Cgi Holdings, Inc.
      Entity owners
      • G••••••••• E••••••••• I••• · Member
        direct · owns 75% or more · public reporting company
      • C•• H••••••• I••• · Shareholder
        indirect · owns 75% or more of M•••••• A••••• C•••••• H••••••• Inc
      • M•••••• A••••• C•••••• H••••••• · Shareholder
        indirect · owns 25% to 50% of G••••••••• E••••••••• I•••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2.0 to unset
        May 4, 2018 to Mar 28, 2019
      • Advisory employees · 3 to 2
        May 4, 2018 to Mar 28, 2019
      • Pooled vehicle clients · 2 to 3
        May 4, 2018 to Mar 28, 2019
      • Assets in custody · 24021701.0 to unset
        May 4, 2018 to Mar 28, 2019
      • Custody of client assets · true to false
        May 4, 2018 to Mar 28, 2019
      • Employees · 7 to 2
        May 4, 2018 to Mar 28, 2019
      • Discretionary RAUM · 36021701.0 to unset
        May 4, 2018 to Mar 28, 2019
      • Non-discretionary RAUM · 0.0 to unset
        May 4, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $36.0M to $0
        May 4, 2018 to Mar 28, 2019
      • RAUM · 36021701.0 to unset
        May 4, 2018 to Mar 28, 2019
      • Accounts · 1 to 2
        Jan 29, 2018 to Mar 29, 2018
      • Advisory activities · 2 to 1
        Jan 29, 2018 to Mar 29, 2018
      • Pooled vehicle clients · 1 to 2
        Jan 29, 2018 to Mar 29, 2018
      • Assets in custody · unset to 24021701.0
        Jan 29, 2018 to Mar 29, 2018
      • Custody of client assets · false to true
        Jan 29, 2018 to Mar 29, 2018
      • Discretionary RAUM · $24.0M to $36.0M
        Jan 29, 2018 to Mar 29, 2018
      • Pooled vehicle RAUM · $24.0M to $36.0M
        Jan 29, 2018 to Mar 29, 2018
      • RAUM · $24.0M to $36.0M
        Jan 29, 2018 to Mar 29, 2018
      Signals
      4 dated events
      • Harding Donald Putnam (Director) no longer on Schedule A of G••••••••• A•••• M••••••••• L•• (listed 2018-05-04, absent 2019-03-28)
        Mar 28, 2019 · Control person left · inference
      • Alexander Spiro (Director) no longer on Schedule A of G••••••••• A•••• M••••••••• L•• (listed 2018-05-04, absent 2019-03-28)
        Mar 28, 2019 · Control person left · inference
      • Harlan Simon (Director) no longer on Schedule A of G••••••••• A•••• M••••••••• L•• (listed 2018-05-04, absent 2019-03-28)
        Mar 28, 2019 · Control person left · inference
      • G••••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Dec 18, 2017 · 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