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••••• G••••• C•••••• A•••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 287924SEC 801-112380IAPD
Latest filing Mar 27, 2019
First filing on the tape Jan 2, 2018 · 8 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
6
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$0 as of Feb 5, 2018
Jan 2, 2018$0 then
HNW client RAUM$0 as of Mar 27, 2019
Jan 2, 2018$0 then
State-registered IARs (5.B.3)2 as of Mar 27, 2019
Jan 2, 20182 then
Employees (5.A)6 as of Mar 27, 2019
Jan 2, 20186 then
Private funds2 as of Mar 27, 2019
Jan 2, 20182 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 27, 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
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 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 businesses and institutions, portfolio management for pooled vehicles, pension consulting, 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
0reported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G••••• G••••• O••••••••• F•••• L•Hedge Fund$01Jan 2, 2018
      G••••• G••••• O••••••••• F••• ••••••• L••Hedge Fund$01Jan 2, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••••• A••••••••• A••• · Cio-General Partnercontrol
        since 04/2017 · owns 75% or more
      • C••••••••• S•••••• C•••••••• · Cto
        since 01/2018 · owns less than 5%
      • E••••••• F•••• · Co-Coo
        since 10/2017 · owns less than 5%
      • S••••• G••••••• · Cco & Cro
        since 01/2018 · owns less than 5%
      Entity owners
      • G••••• G••••• C•••••• M••••••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0.0 to unset
        Feb 5, 2018 to Mar 27, 2019
      • Business name · G••••• G••••• C•••••• M••••••••• L•• to G••••• G••••• C•••••• A•••••••• L•
        Feb 5, 2018 to Mar 27, 2019
      • Discretionary RAUM · 0.0 to unset
        Feb 5, 2018 to Mar 27, 2019
      • Non-discretionary RAUM · 0.0 to unset
        Feb 5, 2018 to Mar 27, 2019
      • RAUM · 0.0 to unset
        Feb 5, 2018 to Mar 27, 2019
      • Legal name · G••••• G••••• C•••••• M••••••••• L•• to G••••• G••••• C•••••• A•••••••• L•
        Jan 10, 2018 to Jan 11, 2018
      • Organization form · Limited Liability Company to Limited Partnership
        Jan 2, 2018 to Jan 10, 2018
      Signals
      1 dated events
      • G••••• G••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jan 2, 2018 · 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