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•••••••• I•• C•••••• L••

Former SEC-registered adviserCRD 300199SEC 801-114699websiteIAPD
Latest filing Mar 26, 2024
First filing on the tape Jan 11, 2019 · 16 filings
SEC status approved since Feb 12, 2019
RAUM
$26.8M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$2.3M gross assets
History
16 filings and snapshots on the tape
RAUM$26.8M as of Mar 26, 2024
Mar 31, 2020$3.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2024
Mar 31, 20200 then
Employees (5.A)1 as of Mar 26, 2024
Mar 31, 20201 then
Private funds1 as of Mar 26, 2024
Mar 31, 20221 then
RAUM +15% over the last fiscal year+4.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2024; 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
$13.4MderivedRAUM 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
+15%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 vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$2.3M, 1 clientsreportedItem 9.A
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)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • 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
  • Investment companies$24.5M91%
  • Pooled investment vehicles$2.3M8.6%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$2.3M for 1 clientsreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G•••••••• I•• P••••••• F••• L•Hedge Fund$2.3M5Mar 31, 2022
      Owners and control persons
      Schedule A and B, latest filing
      • J•••••• C••••• · Chief Executive Officer And Chief Compliance Officercontrol
        since 12/2018 · owns 75% or more
      Related persons
      Schedule D 7.A
      • G•••••••• I•• P••••••• G• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $2.3M to $2.3M
        May 24, 2023 to Mar 26, 2024
      • Discretionary RAUM · $23.3M to $26.8M
        May 24, 2023 to Mar 26, 2024
      • Pooled vehicle RAUM · $2.3M to $2.3M
        May 24, 2023 to Mar 26, 2024
      • RAUM · $23.3M to $26.8M
        May 24, 2023 to Mar 26, 2024
      • Accounts · 3 to 2
        Mar 31, 2022 to Mar 30, 2023
      • Advisory activities · 3 to 2
        Mar 31, 2022 to Mar 30, 2023
      • Assets in custody · $1.5M to $2.3M
        Mar 31, 2022 to Mar 30, 2023
      • Discretionary RAUM · $19.8M to $23.3M
        Mar 31, 2022 to Mar 30, 2023
      • Non-discretionary RAUM · $1.4M to $0
        Mar 31, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $1.5M to $2.3M
        Mar 31, 2022 to Mar 30, 2023
      • RAUM · $21.1M to $23.3M
        Mar 31, 2022 to Mar 30, 2023
      • Related bank · true to false
        Mar 31, 2022 to Mar 30, 2023
      • Accounts · 2 to 3
        Sep 13, 2021 to Mar 31, 2022
      • Advisory activities · 2 to 3
        Sep 13, 2021 to Mar 31, 2022
      • Pooled vehicle clients · unset to 1.0
        Sep 13, 2021 to Mar 31, 2022
      • Assets in custody · unset to 1453000.0
        Sep 13, 2021 to Mar 31, 2022
      • Custody of client assets · false to true
        Sep 13, 2021 to Mar 31, 2022
      • Private funds · unset to 1
        Sep 13, 2021 to Mar 31, 2022
      • Discretionary RAUM · $24.0M to $19.8M
        Sep 13, 2021 to Mar 31, 2022
      • Non-discretionary RAUM · $0 to $1.4M
        Sep 13, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · unset to 1453000.0
        Sep 13, 2021 to Mar 31, 2022
      • RAUM · $24.0M to $21.1M
        Sep 13, 2021 to Mar 31, 2022
      • Related bank · false to true
        Sep 13, 2021 to Mar 31, 2022
      • Discretionary RAUM · $23.6M to $24.0M
        Mar 17, 2021 to Mar 30, 2021
      • RAUM · $23.6M to $24.0M
        Mar 17, 2021 to Mar 30, 2021
      • Discretionary RAUM · $16.1M to $23.6M
        Sep 30, 2020 to Mar 17, 2021
      • RAUM · $16.1M to $23.6M
        Sep 30, 2020 to Mar 17, 2021
      • Discretionary RAUM · $3.0M to $16.1M
        Mar 31, 2020 to Sep 30, 2020
      • RAUM · $3.0M to $16.1M
        Mar 31, 2020 to Sep 30, 2020
      • Accounts · 0 to 2
        Sep 27, 2019 to Mar 31, 2020
      • Discretionary RAUM · $0 to $3.0M
        Sep 27, 2019 to Mar 31, 2020
      • RAUM · $0 to $3.0M
        Sep 27, 2019 to Mar 31, 2020
      • Advisory activities · 1 to 2
        Feb 13, 2019 to Sep 24, 2019
      Signals
      2 dated events
      • G•••••••• I•• C•••••• L•• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $26.8M)
        Feb 3, 2025 · Left the SEC roster · derived
      • G•••••••• I•• C•••••• L•• filed its initial SEC registration (Form ADV)
        Jan 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