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••••••••• A••••••• L••
Latest filing Jan 8, 2026
First filing on the tape Feb 28, 2017 · 17 filings
SEC status approved since Mar 8, 2017
RAUM
$9.2B
reported, Item 5.F
Discretionary
0.0%
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
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$9.2B as of Jan 8, 2026
Mar 26, 2018$24.5M then
HNW client RAUM$0 as of Mar 12, 2020
Mar 26, 2018$0 then
State-registered IARs (5.B.3)0 as of Jan 8, 2026
Mar 26, 20180 then
Employees (5.A)6 as of Jan 8, 2026
Mar 26, 20183 then
Private funds: no history
RAUM +31% over the last fiscal year+203% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 8, 2026; 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
- $137MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, 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
- +31%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$9.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 67reported
- Financial planning clients
- 0reported
- 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=false related_bank=false bd_reps=3.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• B•••••• H••••• M•••• · Portfolio Managercontrolsince 12/2016 · owns less than 5%
- K•••••••• J••••••• D•••• · Portfolio Managercontrolsince 06/2017 · owns less than 5%
- R••••• W••••••• J••• G•••• · Managing Member And Chief Executive Officercontrolsince 12/2016 · owns less than 5%
- R••••• W••••••• J••• G•••• · Shareholdercontrolsince 03/2016 · owns 25% to 50% of G••••••••• I•••
Entity owners
- G••••••••• I••• · Memberdirect · owns 75% or more
- B••• C•••••• V•••••• F••• 2•••• L• · Shareholderindirect · owns 25% to 50% of G••••••••• I•••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Jan 8, 2026discretionary share of RAUM of 0% against a peer median of 100% (684 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: asset managers, $5B to $20B (684) · 0.0% percentile
- discretionary share shiftChange between filings · filing Jan 8, 2026discretionary share of RAUM moved from 100.0% to 0.0% between the annual amendments of 2025-02-11 and 2026-01-08peers: asset managers, $5B to $20B (684)
What changed
consecutive filings, newest first
- Accounts · 53 to 67Oct 17, 2025 to Jan 8, 2026
- Advisory employees · 3 to 6Oct 17, 2025 to Jan 8, 2026
- Pooled vehicle clients · 1.0 to unsetOct 17, 2025 to Jan 8, 2026
- Employees · 4 to 6Oct 17, 2025 to Jan 8, 2026
- Discretionary RAUM · $7.0B to $0Oct 17, 2025 to Jan 8, 2026
- Non-discretionary RAUM · $0 to $9.2BOct 17, 2025 to Jan 8, 2026
- Pooled vehicle RAUM · 14738135.0 to unsetOct 17, 2025 to Jan 8, 2026
- RAUM · $7.0B to $9.2BOct 17, 2025 to Jan 8, 2026
- Related adviser · false to trueOct 17, 2025 to Jan 8, 2026
- Accounts · 25 to 53Feb 11, 2025 to Oct 17, 2025
- Financial planning clients · 0 to 0Feb 11, 2025 to Oct 17, 2025
- Accounts · 14 to 25Mar 18, 2024 to Feb 11, 2025
- Advisory employees · 4 to 3Mar 18, 2024 to Feb 11, 2025
- Advisory activities · 1 to 2Mar 18, 2024 to Feb 11, 2025
- Pooled vehicle clients · unset to 1.0Mar 18, 2024 to Feb 11, 2025
- Financial planning clients · 101-250 to 0Mar 18, 2024 to Feb 11, 2025
- Discretionary RAUM · $511M to $7.0BMar 18, 2024 to Feb 11, 2025
- Pooled vehicle RAUM · unset to 14738135.0Mar 18, 2024 to Feb 11, 2025
- RAUM · $511M to $7.0BMar 18, 2024 to Feb 11, 2025
- Accounts · 10 to 14Jun 12, 2023 to Mar 18, 2024
- Advisory employees · 3 to 4Jun 12, 2023 to Mar 18, 2024
- Employees · 3 to 4Jun 12, 2023 to Mar 18, 2024
- Financial planning clients · unset to 101-250Jun 12, 2023 to Mar 18, 2024
- Discretionary RAUM · $331M to $511MJun 12, 2023 to Mar 18, 2024
- RAUM · $331M to $511MJun 12, 2023 to Mar 18, 2024
- Accounts · 3 to 10Mar 8, 2022 to Feb 8, 2023
- Business name · G••••••••• A••••••• to G••••••••• A••••••• L••Mar 8, 2022 to Feb 8, 2023
- Discretionary RAUM · $443M to $331MMar 8, 2022 to Feb 8, 2023
- RAUM · $443M to $331MMar 8, 2022 to Feb 8, 2023
- Discretionary RAUM · $198M to $443MFeb 23, 2021 to Mar 8, 2022
- RAUM · $198M to $443MFeb 23, 2021 to Mar 8, 2022
- Charity clients · 0.0 to unsetJan 12, 2021 to Feb 23, 2021
- Corporate clients · 0.0 to unsetJan 12, 2021 to Feb 23, 2021
- HNW clients · 0.0 to unsetJan 12, 2021 to Feb 23, 2021
- Individual clients · 0.0 to unsetJan 12, 2021 to Feb 23, 2021
- Pension plan clients · 0.0 to unsetJan 12, 2021 to Feb 23, 2021
- Pooled vehicle clients · 0.0 to unsetJan 12, 2021 to Feb 23, 2021
- Discretionary RAUM · $95.0M to $198MJan 12, 2021 to Feb 23, 2021
- HNW RAUM · 0.0 to unsetJan 12, 2021 to Feb 23, 2021
- Individual RAUM · 0.0 to unsetJan 12, 2021 to Feb 23, 2021
Signals
7 dated events
- G••••••••• A••••••• L•• reported RAUM $9.2B, up 31% from $7.0B (2025-10-17 to 2026-01-08)Jan 8, 2026 · RAUM change · derived
- G••••••••• A••••••• L•• reported RAUM $7.0B, up 1274% from $510.6M (2024-03-18 to 2025-02-11)Feb 11, 2025 · RAUM change · derived
- G••••••••• A••••••• L•• reported RAUM $510.6M, up 54% from $330.7M (2023-06-12 to 2024-03-18)Mar 18, 2024 · RAUM change · derived
- G••••••••• A••••••• L•• reported RAUM $330.7M, down 25% from $443.2M (2022-03-08 to 2023-02-08)Feb 8, 2023 · RAUM change · derived
- G••••••••• A••••••• L•• reported RAUM $443.2M, up 123% from $198.4M (2021-02-23 to 2022-03-08)Mar 8, 2022 · RAUM change · derived
- G••••••••• A••••••• L•• reported RAUM $198.4M, up 109% from $95.0M (2021-01-12 to 2021-02-23)Feb 23, 2021 · RAUM change · derived
- G••••••••• A••••••• filed its initial SEC registration (Form ADV)Feb 28, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 646-876-5096reportedpublic record, Form ADV, Jan 8, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026