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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
G•• R•••••• H••••••• L••
Latest filing Jun 17, 2024
First filing on the tape Mar 26, 2019 · 12 filings
SEC status approved since Apr 25, 2019
RAUM
$99.0M
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
10
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$99.0M gross assets
History
12 filings and snapshots on the tape
RAUM$99.0M as of Mar 19, 2024
Mar 30, 2020$626M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 19, 2024
Mar 30, 20200 then
Employees (5.A)10 as of Mar 19, 2024
Mar 30, 20203 then
Private funds2 as of Mar 19, 2024
Mar 30, 20203 then
RAUM -90% over the last fiscal year-54% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 17, 2024; 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
- $49.5MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -90%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $99.0M, 2 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$99.0M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $99.0M for 2 clientsreported
- Compensation
- fixed, 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••••• A•••• H••••••• I•• L••• | Private Equity Fund | $452M | 1 | Mar 30, 2020 |
| S•••• A•••• H••••••• L• | Private Equity Fund | $383M | 1 | Mar 26, 2021 |
| R•••••• A•••• H•••••••• L••• | Private Equity Fund | $288M | 1 | Jun 12, 2017 |
| R••••• R•••••••• L• | Private Equity Fund | $85.8M | 2 | Mar 26, 2019 |
| M•••••••• A•••• H••••••• L• | Private Equity Fund | $13.3M | 1 | Mar 20, 2023 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• K•••• · Managing Partnercontrolsince 01/2017 · owns 50% to 75%
- E••••••• C••••••••• W••••• · Chief Compliance Officer; Chief Operating Officercontrolsince 01/2017 · owns less than 5%
- W•••••• K•••••• · Managing Partnercontrolsince 01/2017 · owns 50% to 75%
Related persons
Schedule D 7.A
- G•• V••••••• P••• H••••••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 2Aug 3, 2023 to Mar 19, 2024
- Pooled vehicle clients · 5 to 2Aug 3, 2023 to Mar 19, 2024
- Assets in custody · $1.2B to $99.0MAug 3, 2023 to Mar 19, 2024
- Employees · 9 to 10Aug 3, 2023 to Mar 19, 2024
- Private funds · 5 to 2Aug 3, 2023 to Mar 19, 2024
- Discretionary RAUM · $1.2B to $99.0MAug 3, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $1.2B to $99.0MAug 3, 2023 to Mar 19, 2024
- RAUM · $1.2B to $99.0MAug 3, 2023 to Mar 19, 2024
- Assets in custody · $985M to $1.2BMar 20, 2023 to May 9, 2023
- Discretionary RAUM · $985M to $1.2BMar 20, 2023 to May 9, 2023
- Pooled vehicle RAUM · $985M to $1.2BMar 20, 2023 to May 9, 2023
- RAUM · $985M to $1.2BMar 20, 2023 to May 9, 2023
- Accounts · 4 to 5Jun 14, 2022 to Mar 20, 2023
- Pooled vehicle clients · 4 to 5Jun 14, 2022 to Mar 20, 2023
- Assets in custody · $1.1B to $985MJun 14, 2022 to Mar 20, 2023
- Employees · 10 to 9Jun 14, 2022 to Mar 20, 2023
- Private funds · 4 to 5Jun 14, 2022 to Mar 20, 2023
- Discretionary RAUM · $1.1B to $985MJun 14, 2022 to Mar 20, 2023
- Pooled vehicle RAUM · $1.1B to $985MJun 14, 2022 to Mar 20, 2023
- RAUM · $1.1B to $985MJun 14, 2022 to Mar 20, 2023
- Assets in custody · unset to 1051196409.0Jun 3, 2021 to Mar 24, 2022
- Custody of client assets · false to trueJun 3, 2021 to Mar 24, 2022
- Employees · 9 to 10Jun 3, 2021 to Mar 24, 2022
- Discretionary RAUM · $985M to $1.1BJun 3, 2021 to Mar 24, 2022
- Pooled vehicle RAUM · $985M to $1.1BJun 3, 2021 to Mar 24, 2022
- RAUM · $985M to $1.1BJun 3, 2021 to Mar 24, 2022
- Accounts · 3 to 4May 15, 2020 to Mar 26, 2021
- Pooled vehicle clients · 3 to 4May 15, 2020 to Mar 26, 2021
- Employees · 3 to 9May 15, 2020 to Mar 26, 2021
- Private funds · 3 to 4May 15, 2020 to Mar 26, 2021
- Discretionary RAUM · $626M to $985MMay 15, 2020 to Mar 26, 2021
- Pooled vehicle RAUM · $626M to $985MMay 15, 2020 to Mar 26, 2021
- RAUM · $626M to $985MMay 15, 2020 to Mar 26, 2021
- Accounts · 2 to 3Mar 26, 2019 to Mar 30, 2020
- Pooled vehicle clients · 2 to 3Mar 26, 2019 to Mar 30, 2020
- Employees · 9 to 3Mar 26, 2019 to Mar 30, 2020
- Private funds · 4 to 3Mar 26, 2019 to Mar 30, 2020
- Discretionary RAUM · $363M to $626MMar 26, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $363M to $626MMar 26, 2019 to Mar 30, 2020
- RAUM · $363M to $626MMar 26, 2019 to Mar 30, 2020
Signals
5 dated events
- G•• R•••••• H••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $99.0M)May 2, 2025 · Left the SEC roster · derived
- G•• R•••••• H••••••• L•• reported RAUM $99.0M, down 92% from $1.2B (2023-08-03 to 2024-03-19)Mar 19, 2024 · RAUM change · derived
- G•• R•••••• H••••••• L•• reported RAUM $985.4M, up 58% from $625.5M (2020-05-15 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- G•• R•••••• H••••••• L•• reported RAUM $625.5M, up 72% from $362.9M (2019-03-26 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- G•• R•••••• H••••••• L•• filed its initial SEC registration (Form ADV)Mar 26, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- G•• R•••••• H••••••• 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