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••••••• I•••
Latest filing Mar 26, 2019
First filing on the tape Nov 27, 2017 · 5 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
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2019
Nov 27, 20170 then
Employees (5.A)3 as of Mar 26, 2019
Nov 27, 20173 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 26, 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
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
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
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- n/areported
- 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
- A•••••• V••••••• · Managing Principalcontrolsince 09/2017 · owns less than 5%
- A•••••••• B••••• A••• · Senior Vice President And Chief Compliance Officercontrolsince 09/2017 · owns less than 5%
- L•••••• D• C••••• L•••••• · Ceocontrolsince 09/2017 · owns less than 5%
Entity owners
- G•••• C•••••• M••••••••• H• · Shareholderdirect · owns 75% or more
- K•••• B•••• H• · Shareholderindirect · owns 75% or more of G•••• C•••••• M••••••••• H•
Related persons
Schedule D 7.A
- G•••• C•••••• M••••••••• H•investment adviserpooled vehicle sponsory
- G•••• C•••••• M••••••••• U•investment advisern
- J•••••• R••••••••• H••investment adviserpooled vehicle sponsorn
- K•••• B•••• H••broker-dealerinvestment adviserpooled vehicle sponsory
- K•••• S••••••••• L•••investment adviserpooled vehicle sponsorn
- R••••••••• V•••••••• H••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- New York, NY2 employees
What changed
consecutive filings, newest first
- Employees · 4 to 3Nov 2, 2018 to Mar 26, 2019
- Related broker-dealer · false to trueNov 2, 2018 to Mar 26, 2019
- Employees · 3 to 4Nov 27, 2017 to May 2, 2018
- HQ city · NEW YORK to REYKJAVIKNov 27, 2017 to May 2, 2018
- HQ state · NY to unsetNov 27, 2017 to May 2, 2018
- Other offices · 0 to 1Nov 27, 2017 to May 2, 2018
- Related broker-dealer · true to falseNov 27, 2017 to May 2, 2018
Signals
4 dated events
- G•••• H••••••• (Director And Sole Shareholder) no longer on Schedule A of G•• A••••••• I••• (listed 2018-11-02, absent 2019-03-26)Mar 26, 2019 · Control person left · inference
- T•••• A•••• M••••• (Shareholder) no longer on Schedule A of G•• A••••••• I••• (listed 2018-11-02, absent 2019-03-26)Mar 26, 2019 · Control person left · inference
- R••••• J••••••• (Head Of Legal) no longer on Schedule A of G•• A••••••• I••• (listed 2018-11-02, absent 2019-03-26)Mar 26, 2019 · Control person left · inference
- G•• A••••••• I••• filed its initial SEC registration (Form ADV)Nov 27, 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