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•••• M••••••••• A••• ••• L••••••
Latest filing Mar 28, 2019
First filing on the tape Mar 30, 2018 · 4 filings
RAUM
$638M
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
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$638M as of Mar 28, 2019
Mar 30, 2018$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Mar 30, 20180 then
Employees (5.A)6 as of Mar 28, 2019
Mar 30, 20185 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 28, 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
- $128MderivedRAUM 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
- 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-based, otherreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$638M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- 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
- C••••• J•••••••• J•••• · Director, And Chief Executive Officer Of The Registrant And Its Affiliatescontrolsince 05/2016 · owns less than 5%
- K•••• O••• · Director, And Coo/Cfo Of The Registrant And Its Affiliatescontrolsince 01/2015 · owns less than 5%
- L•••••••• A•••• J•••• · Chief Investment Officer Of The Registrant And Its Affiliatescontrolsince 01/2015 · owns less than 5%
- M•• B•••••••• Y•• L•••• · Svp Legal & Compliancecontrolsince 05/2017 · owns less than 5%
- M••••••••• P•••• R• · Director Of The Registrantcontrolsince 04/2014 · owns less than 5%
- Z••••••••• D••••• L•••• · G•••••• Counsel And Chief Compliance Officer Of Registrant And Its Affiliatescontrolsince 01/2015 · owns less than 5%
- L•••••••• A•••• J•••• · Sole Shareholdercontrolsince 01/2014 · owns 75% or more of G•••••••• A•••• M••••••••• A••• G•••••• P•••••• ••••••• L•••
Entity owners
- G•••••••• A•••• M••••••••• A••• L••• · Sole Shareholder Of Registrantdirect · owns 75% or more
- A•• 2••• S••• T•••• · Sole Memberindirect · owns 75% or more of A•• H••••••• I• L••
- A•• H••••••• I• L•• · L•••••• Partnerindirect · owns 50% to 75% of G•••••••• A•••• M••••••••• A••• L•••
- C••• B••• A•• T•••• C•••••• ••••••• L•••••• · Trusteeindirect · owns F of A•• 2••• S••• T••••
- G•••••••• A•••• M••••••••• A••• G•••••• P•••••• ••••••• L••• · G•••••• Partnerindirect · owns F of G•••••••• A•••• M••••••••• A••• L•••
Related persons
Schedule D 7.A
- G•••••••• A••• I••• G• L••pooled vehicle sponsorn
- G•••••••• A••• M•••• A••••••• L••investment adviserbankpooled vehicle sponsornRAUM $1.5B
- G•••••••• A••• M•••• G• L••pooled vehicle sponsorn
- G•••••••• A•••• M••••••••• A••• P••• L•••investment advisernRAUM $1.5B
- G•••••••• M•••••• G• L••pooled vehicle sponsorn
- G•••••••• R•••••• M••••• F••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 6 to 5Mar 6, 2019 to Mar 28, 2019
- Advisory employees · 3 to 5Mar 6, 2019 to Mar 28, 2019
- Pooled vehicle clients · 6 to 5Mar 6, 2019 to Mar 28, 2019
- Employees · 5 to 6Mar 6, 2019 to Mar 28, 2019
- Discretionary RAUM · $1.1B to $638MMar 6, 2019 to Mar 28, 2019
- Pooled vehicle RAUM · $1.1B to $638MMar 6, 2019 to Mar 28, 2019
- RAUM · $1.1B to $638MMar 6, 2019 to Mar 28, 2019
Signals
2 dated events
- G•••••••• A•••• M••••••••• A••• ••• L•••••• reported RAUM $637.8M, down 42% from $1.1B (2019-03-06 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- G•••••••• A•••• M••••••••• A••• ••• L•••••• filed its initial SEC registration (Form ADV)Mar 30, 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