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••••••• I••••••••• M••••••••• L••
Latest filing Apr 26, 2019
First filing on the tape Mar 9, 2017 · 7 filings
RAUM
$308M
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
25
22 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$308M gross assets
History
7 filings and snapshots on the tape
RAUM$303M as of Mar 29, 2019
Mar 28, 2018$303M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 28, 20180 then
Employees (5.A)25 as of Mar 29, 2019
Mar 28, 201816 then
Private funds1 as of Mar 29, 2019
Mar 28, 20181 then
RAUM +1.6% over the last fiscal yearIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Apr 26, 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
- $308MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.0%derivedbetween 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-based, otherreportedItem 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
- 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
- Pooled investment vehicles$308M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G••••••• R•••••••• I••••••••• P•••••••• L• | Private Equity Fund | $308M | 1 | Jul 27, 2017 |
Owners and control persons
Schedule A and B, latest filing
- N••••• B••••• E••••• · Managing Partnercontrolsince 12/2016 · owns less than 5%
- R•••• N•••• P••• · Chairmancontrolsince 12/2016 · owns less than 5%
- R•••••••• J••••••• R••• · Chief Financial Officer, Chief Compliance Officercontrolsince 12/2016 · owns less than 5%
- N••••• B••••• E••••• · Membercontrolsince 10/2015 · owns 25% to 50% of G••••••• F••• H•••••• C••••••• L••
- R•••• N•••• P••• · Membercontrolsince 10/2015 · owns 25% to 50% of G••••••• F••• H•••••• C••••••• L••
Entity owners
- G••••••• F••• H•••••• C••••••• L•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- G••••••• R•••••••• I••••••••• P••••••• G•• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $303M to $308MMar 29, 2019 to Apr 26, 2019
- Pooled vehicle RAUM · $303M to $308MMar 29, 2019 to Apr 26, 2019
- RAUM · $303M to $308MMar 29, 2019 to Apr 26, 2019
- Advisory employees · 16 to 22Aug 29, 2018 to Mar 29, 2019
- Employees · 16 to 25Aug 29, 2018 to Mar 29, 2019
- Other offices · 0 to 1Jul 18, 2018 to Aug 29, 2018
- Accounts · 2 to 1Jul 27, 2017 to Mar 28, 2018
- Advisory employees · 13 to 16Jul 27, 2017 to Mar 28, 2018
- Pooled vehicle clients · unset to 1.0Jul 27, 2017 to Mar 28, 2018
- Employees · 13 to 16Jul 27, 2017 to Mar 28, 2018
- Other offices · unset to 0.0Jul 27, 2017 to Mar 28, 2018
- Pooled vehicle RAUM · unset to 303000000.0Jul 27, 2017 to Mar 28, 2018
- Accounts · 0 to 2Mar 9, 2017 to Jul 27, 2017
- Advisory employees · 9 to 13Mar 9, 2017 to Jul 27, 2017
- Employees · 21 to 13Mar 9, 2017 to Jul 27, 2017
- Private funds · unset to 1Mar 9, 2017 to Jul 27, 2017
- Discretionary RAUM · $0 to $303MMar 9, 2017 to Jul 27, 2017
- RAUM · $0 to $303MMar 9, 2017 to Jul 27, 2017
Signals
1 dated events
- G••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 9, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- G••••••• I••••••••• M••••••••• L•• · Private Equityshared crd · organization
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