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••••••• L••• M••••••••• L• • S••••• 2•••••
Legal name G••••••• L••• M••••••••• L•
Latest filing Oct 30, 2018
First filing on the tape Apr 21, 2017 · 6 filings
RAUM
$2.2B
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
11
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
6
$3.1B gross assets
History
6 filings and snapshots on the tape
RAUM$2.2B as of Oct 30, 2018
Mar 31, 2018$2.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Oct 30, 2018
Apr 21, 20170 then
Employees (5.A)11 as of Oct 30, 2018
Apr 21, 201729 then
Private funds6 as of Oct 30, 2018
Mar 31, 20184 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Oct 30, 2018; 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
- $540MderivedRAUM 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• C••••••••• G••••• · Chief Compliance Officer & General Counselcontrolsince 02/2017 · owns less than 5%
- S••••• J••••••• D••••• · Chief Financial Officercontrolsince 02/2017 · owns less than 5%
- G••••••••• J••••• R••••• · Limited Partnercontrolsince 03/2003 · owns 25% to 50% of G••••••• C•••••• M••••••••• L•
- S•••••• J•••••••• S•••••• · Managing Membercontrolsince 03/2003 · owns 75% or more of G••••••• G• L••
- S•••••• J•••••••• S•••••• · Chief Executive Officercontrolsince 02/2003 · owns 25% to 50% of G••••••• C•••••• M••••••••• L•
Entity owners
- G••••••• C•••••• M••••••••• L• · General Partner And S••••• 2017-A Limited Partnerdirect · owns 75% or more
- G••••••• G• L•• · General Partnerindirect · owns F of G••••••• C•••••• M••••••••• L•
Related persons
Schedule D 7.A
- G••••••• A••••••• L••investment adviserbankpooled vehicle sponsorn
- G••••••• C•••••• M••••••••• L•investment adviserbankpooled vehicle sponsornRAUM $3.1B
Advisers that list G••••••• L••• M••••••••• L• • S••••• 2••••• as a related person
- 138715 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Private funds · 5 to 6Aug 27, 2018 to Oct 30, 2018
- Private funds · 4 to 5Mar 31, 2018 to Aug 27, 2018
- Accounts · unset to 4.0Sep 6, 2017 to Mar 31, 2018
- Advisory employees · 13 to 9Sep 6, 2017 to Mar 31, 2018
- Pooled vehicle clients · unset to 4.0Sep 6, 2017 to Mar 31, 2018
- Employees · 29 to 11Sep 6, 2017 to Mar 31, 2018
- Other offices · unset to 1.0Sep 6, 2017 to Mar 31, 2018
- Private funds · unset to 4Sep 6, 2017 to Mar 31, 2018
- Discretionary RAUM · unset to 2161975000.0Sep 6, 2017 to Mar 31, 2018
- Non-discretionary RAUM · unset to 0.0Sep 6, 2017 to Mar 31, 2018
- Pooled vehicle RAUM · unset to 2161975000.0Sep 6, 2017 to Mar 31, 2018
- RAUM · unset to 2161975000.0Sep 6, 2017 to Mar 31, 2018
- Business name · G••••••• L••• M••••••••• L• to G••••••• L••• M••••••••• L• • S••••• 2•••••Jul 25, 2017 to Sep 6, 2017
Signals
1 dated events
- G••••••• L••• M••••••••• L• filed its initial SEC registration (Form ADV)Apr 21, 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