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•••• F••••••••• L••
Latest filing Feb 14, 2020
First filing on the tape Sep 17, 2018 · 5 filings
RAUM
$12.1M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$12.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$12.1M as of Feb 14, 2020
Feb 15, 2019$0 then
HNW client RAUM: $0
State-registered IARs (5.B.3)1 as of Feb 14, 2020
Feb 15, 20191 then
Employees (5.A)1 as of Feb 14, 2020
Feb 15, 20191 then
Private funds3 as of Feb 14, 2020
Feb 15, 20193 then
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 14, 2020; every figure names its basis
- RAUM per advisor
- $12.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 125derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $96,800derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$12.1M100%
- Individual clients
- 125reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 125reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•••• L••• I••••••••• P••••••• C• L••• | Real Estate Fund | $0 | 100 | Oct 8, 2018 |
| G•••• L••• I••••••••• P••••••• B• L••• | Real Estate Fund | $0 | 1 | Oct 8, 2018 |
| G•••• L••• I••••••••• P••••••• A• L••• | Real Estate Fund | $0 | 100 | Sep 17, 2018 |
Owners and control persons
Schedule A and B, latest filing
- S••••••• S•••• N•••••• · Managing Member & Chief Compliance Officercontrolsince 06/2018 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 125Feb 22, 2019 to Feb 14, 2020
- Individual clients · 0 to 125Feb 22, 2019 to Feb 14, 2020
- Individual RAUM · $0 to $12.1MFeb 22, 2019 to Feb 14, 2020
- Non-discretionary RAUM · $0 to $12.1MFeb 22, 2019 to Feb 14, 2020
- RAUM · $0 to $12.1MFeb 22, 2019 to Feb 14, 2020
- Charity clients · unset to 0.0Feb 15, 2019 to Feb 22, 2019
- Corporate clients · unset to 0.0Feb 15, 2019 to Feb 22, 2019
- HNW clients · unset to 0.0Feb 15, 2019 to Feb 22, 2019
- Individual clients · unset to 0.0Feb 15, 2019 to Feb 22, 2019
- Pension plan clients · unset to 0.0Feb 15, 2019 to Feb 22, 2019
- Pooled vehicle clients · unset to 0.0Feb 15, 2019 to Feb 22, 2019
- HNW RAUM · unset to 0.0Feb 15, 2019 to Feb 22, 2019
- Individual RAUM · unset to 0.0Feb 15, 2019 to Feb 22, 2019
- Pension RAUM · unset to 0.0Feb 15, 2019 to Feb 22, 2019
- Pooled vehicle RAUM · unset to 0.0Feb 15, 2019 to Feb 22, 2019
- Private funds · 1 to 3Sep 17, 2018 to Oct 8, 2018
Signals
1 dated events
- G•••• L•••• F••••••••• L•• filed its initial SEC registration (Form ADV)Sep 17, 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
Across the graphs
G•••• L•••• F••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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