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•••••• C•••••• Q•• A••••••• L••

Former SEC-registered adviserEl Segundo, CaliforniaCRD 300159SEC 801-115269IAPD
Latest filing Mar 29, 2023
First filing on the tape Apr 11, 2019 · 12 filings
RAUM
$4
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
24
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$1.2B gross assets
History
12 filings and snapshots on the tape
RAUM$4 as of Mar 29, 2023
Mar 26, 2020$303M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2023
Mar 26, 20200 then
Employees (5.A)24 as of Mar 29, 2023
Mar 26, 202012 then
Private funds3 as of Mar 29, 2023
Mar 26, 20201 then
RAUM -100% over the last fiscal year-100% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2023; 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
$1derivedRAUM 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
-100%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-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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$4100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G•••••• C•••••• Q•••••••• O••••••••• Z••• F••• I•• L•••Real Estate Fund$532M966Mar 30, 2021
      G•••••• C•••••• Q•••••••• O••••••••• Z••• F•••• L•••Real Estate Fund$421M803Apr 11, 2019
      G•••••• C•••••• Q•••••••• O••••••••• Z••• F••• I••• L•••Real Estate Fund$271M486Mar 31, 2022
      Owners and control persons
      Schedule A and B, latest filing
      • H••••••• M•••• P• · General Counselcontrol
        since 07/2019 · owns less than 5%
      • S••••••• K••••• A••• · Chief Executive Officercontrol
        since 12/2018 · owns less than 5%
      • S••••• D•••••• C•••• · Chief Financial Officercontrol
        since 01/2023 · owns less than 5%
      • S•••••• S••••• M••••• · Chief Compliance Officercontrol
        since 01/2023 · owns less than 5%
      • S••••••• E•••••• T• · As Trustee For The S•••••• 2017 Irrevocable Trustcontrol
        since 12/2020 · owns 25% to 50% of G•••••• C•••••• H••••••• C•••••••••
      • S••••••• J•••••• D•••• · As Trustee For The S•••••• 2017 Irrevocable Trustcontrol
        since 12/2020 · owns 25% to 50% of G•••••• C•••••• H••••••• C•••••••••
      • S••••••• K••••• A••• · As Trustee For The S•••••• 2020 Irrevocable Trustcontrol
        since 12/2020 · owns 25% to 50% of G•••••• C•••••• H••••••• C•••••••••
      Entity owners
      • G•••••• C•••••• P•••••• E•••••• L•• · Sole Member
        direct · owns 75% or more
      • G•••••• C•••••• C••••••• L•• · Manager And Member Of G•••••• C••••••• L••
        indirect · owns 75% or more of G•••••• C••••••• L••
      • G•••••• C•••••• H••••••• C••••••••• · Sole Member Of G•••••• C•••••• C••••••• L••
        indirect · owns 75% or more of G•••••• C•••••• C••••••• L••
      • G•••••• C••••••• L•• · Sole Member
        indirect · owns 75% or more of G•••••• C•••••• P•••••• E•••••• L••
      Related persons
      Schedule D 7.A
      • G•••••• C•••••• C••••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 13
        Jan 5, 2023 to Mar 29, 2023
      • BD registered reps · 0 to 4
        Jan 5, 2023 to Mar 29, 2023
      • Pooled vehicle clients · 2 to 3
        Jan 5, 2023 to Mar 29, 2023
      • Employees · 14 to 24
        Jan 5, 2023 to Mar 29, 2023
      • Discretionary RAUM · $1.1B to $4
        Jan 5, 2023 to Mar 29, 2023
      • Pooled vehicle RAUM · $1.1B to $4
        Jan 5, 2023 to Mar 29, 2023
      • RAUM · $1.1B to $4
        Jan 5, 2023 to Mar 29, 2023
      • Related adviser · true to false
        Jan 5, 2023 to Mar 29, 2023
      • Accounts · 2 to 3
        Nov 2, 2021 to Mar 31, 2022
      • Private funds · 2 to 3
        Nov 2, 2021 to Mar 31, 2022
      • Discretionary RAUM · $509M to $1.1B
        Nov 2, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $509M to $1.1B
        Nov 2, 2021 to Mar 31, 2022
      • RAUM · $509M to $1.1B
        Nov 2, 2021 to Mar 31, 2022
      • Accounts · 1 to 2
        Apr 9, 2020 to Mar 30, 2021
      • Pooled vehicle clients · 1 to 2
        Apr 9, 2020 to Mar 30, 2021
      • Employees · 12 to 14
        Apr 9, 2020 to Mar 30, 2021
      • Private funds · 1 to 2
        Apr 9, 2020 to Mar 30, 2021
      • Discretionary RAUM · $303M to $509M
        Apr 9, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $303M to $509M
        Apr 9, 2020 to Mar 30, 2021
      • RAUM · $303M to $509M
        Apr 9, 2020 to Mar 30, 2021
      • Advisory employees · 6 to 4
        Oct 22, 2019 to Mar 26, 2020
      • Employees · 6 to 12
        Oct 22, 2019 to Mar 26, 2020
      • Discretionary RAUM · $7.3M to $303M
        Oct 22, 2019 to Mar 26, 2020
      • Pooled vehicle RAUM · $7.3M to $303M
        Oct 22, 2019 to Mar 26, 2020
      • RAUM · $7.3M to $303M
        Oct 22, 2019 to Mar 26, 2020
      Signals
      13 dated events
      • G•••••• C•••••• Q•• A••••••• L•• reported RAUM $4, down 100% from $1.1B (2023-01-05 to 2023-03-29)
        Mar 29, 2023 · RAUM change · derived
      • C•••• D••••• S•••• (Chief Financial Officer) appeared on Schedule A of G•••••• C•••••• Q•• A••••••• L••
        Jan 5, 2023 · Control person joined · fact
      • Mathew Scott Street (Chief Compliance Officer) appeared on Schedule A of G•••••• C•••••• Q•• A••••••• L••
        Jan 5, 2023 · Control person joined · fact
      • Everett Joseph Miller (Chief Financial Officer And Chief Compliance Officer) no longer on Schedule A of G•••••• C•••••• Q•• A••••••• L•• (listed 2022-03-31, absent 2023-01-05)
        Jan 5, 2023 · Control person left · inference
      • G•••••• C•••••• Q•• A••••••• L•• reported RAUM $1.1B, up 117% from $508.5M (2021-11-02 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • G•••••• C•••••• Q•• A••••••• L•• reported RAUM $508.5M, up 68% from $303.3M (2020-04-09 to 2021-03-30)
        Mar 30, 2021 · RAUM change · derived
      • Higgins P Mary (General Counsel) no longer on Schedule A of G•••••• C•••••• Q•• A••••••• L•• (listed 2020-04-09, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • P Mary Higgins (General Counsel) appeared on Schedule A of G•••••• C•••••• Q•• A••••••• L••
        Mar 30, 2021 · Control person joined · fact
      • T Eileen Shields (As Trustee For The Shields 2017 Irrevocable Trust) appeared on Schedule A of G•••••• C•••••• Q•• A••••••• L••
        Mar 30, 2021 · Control person joined · fact
      • David Jordan Shields (As Trustee For The Shields 2017 Irrevocable Trust) appeared on Schedule A of G•••••• C•••••• Q•• A••••••• L••
        Mar 30, 2021 · Control person joined · fact
      • Joseph Erik Dolan (Chief Compliance Officer) no longer on Schedule A of G•••••• C•••••• Q•• A••••••• L•• (listed 2019-08-05, absent 2019-10-22)
        Oct 22, 2019 · Control person left · inference
      • Joseph Erik Dolan (Chief Compliance Officer) appeared on Schedule A of G•••••• C•••••• Q•• A••••••• L••
        Aug 5, 2019 · Control person joined · fact
      • G•••••• C•••••• Q•• A••••••• L•• filed its initial SEC registration (Form ADV)
        Apr 11, 2019 · 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•••••• C•••••• Q•• A••••••• 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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