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• A••••••• •••••••• L•••

Former SEC-registered adviserHamilton, CRD 288439SEC 801-110945IAPD
Latest filing Jun 21, 2019
First filing on the tape Jun 30, 2017 · 6 filings
RAUM
$252M
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
33
13 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$252M as of Mar 29, 2019
Mar 29, 2018$229M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 29, 20180 then
Employees (5.A)33 as of Mar 29, 2019
Mar 29, 201834 then
Private funds: no history
RAUM +10% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 21, 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
$252MderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
+10%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-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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$252M100%
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• D• O•••••••• C•••••••• · Chief Compliance Officercontrol
        since 04/2015 · owns less than 5%
      • B••••••••• A•••••• C•••••• A•••••• R•••••• · Directorcontrol
        since 11/2016 · owns less than 5%
      • B••••••• R•••••• · Directorcontrol
        since 05/2017 · owns less than 5%
      • L••••••••• F•••••• L•••• · Directorcontrol
        since 11/2016 · owns less than 5%
      • B••••••••• A•••••• C•••••• A•••••• R•••••• · Controlling Shareholdercontrol
        since 12/2005 · owns 25% to 50% of P••••••• H•••••••• I•••
      • L••••••••• F•••••• L•••• · Controlling Shareholdercontrol
        since 12/2005 · owns 25% to 50% of P••••••• H•••••••• I•••
      Entity owners
      • G•••• L••• · Controlling Shareholder
        direct · owns 75% or more
      • G• I••••••••• L••• · Controlling Shareholder
        indirect · owns 75% or more of G•••• L•••
      • P••••••• H•••••••• I••• · Controlling Shareholder
        indirect · owns 25% to 50% of G• I••••••••• L•••
      Related persons
      Schedule D 7.A
      • B•• I••••••••• L••••
        investment advisern
      • G• I••••••••• L••••
        investment advisernRAUM $1.7B
      • G• I••••••••• I•• •••••••• L•••
        investment adviserbankpooled vehicle sponsorn
      • G• I••••••••• I•• L•••
        investment adviserbankpooled vehicle sponsorn
      • G• I••••••••• V• L•••
        investment adviserbankpooled vehicle sponsorn
      • G• I••••••••• V• ••••••• L•••
        investment adviserbankpooled vehicle sponsorn
      • G• I••••••••• L•••
        pooled vehicle sponsory
      • G• L•••• A•••••• U•• L••
        investment advisern
      • G• R••• E••••• I• L•••
        investment adviserbankpooled vehicle sponsorn
      Advisers that list G• A••••••• •••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Sao Paulo, Brazil12 employees
      • New York, NY1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 12 to 13
        Sep 10, 2018 to Mar 29, 2019
      • Employees · 34 to 33
        Sep 10, 2018 to Mar 29, 2019
      • Discretionary RAUM · $229M to $252M
        Sep 10, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $229M to $252M
        Sep 10, 2018 to Mar 29, 2019
      • RAUM · $229M to $252M
        Sep 10, 2018 to Mar 29, 2019
      • Advisory employees · 17 to 12
        Jul 19, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 1.0
        Jul 19, 2017 to Mar 29, 2018
      • Employees · 38 to 34
        Jul 19, 2017 to Mar 29, 2018
      • Other offices · unset to 2.0
        Jul 19, 2017 to Mar 29, 2018
      • Discretionary RAUM · $223M to $229M
        Jul 19, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 228651049.0
        Jul 19, 2017 to Mar 29, 2018
      • RAUM · $223M to $229M
        Jul 19, 2017 to Mar 29, 2018
      Signals
      1 dated events
      • G• A••••••• •••••••• L••• filed its initial SEC registration (Form ADV)
        Jun 30, 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