DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

B••••••• G••••• L••

Former SEC-registered adviserFormer SEC adviser1 private funds· Ahmedabad Gujarat

Former SEC-registered adviser, based in Ahmedabad Gujarat, reporting $35,000 of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$35,000
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
Not applicable
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 11 Form ADV filings for this adviser, the latest 5.8 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 300325 · SEC 801-120013 · 11 filingsShow
CRD 300325SEC 801-120013First filing on the tape Jan 5, 2019, latest Dec 9, 2020IAPD
RAUM
$35,000
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
2
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
$35,000 gross assets
History
11 filings and snapshots on the tape
RAUM$35,000 as of Dec 9, 2020
Jan 5, 2019$50,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 9, 2020
Jan 5, 20190 then
Employees (5.A)2 as of Dec 9, 2020
Jan 5, 20192 then
Private funds1 as of Dec 9, 2020
Jan 5, 20191 then
Practice profile
derived from the filing of Dec 9, 2020; 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
$35,000derivedRAUM 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
unknownderived3 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 individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$35,000, 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
  • Pooled investment vehicles$35,000100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$35,000 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
      B••••••• U•••• G••••• L•Hedge Fund$35,0003Jan 5, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • P••••• A••••• T••••••••• · Chief Operating Officercontrol
        since 01/2019 · owns 25% to 50%
      • S•••••• V•••••• R•••••• · Chief Investment Officercontrol
        since 01/2019 · owns less than 5%
      • P••••• A••••• T••••••••• · Beneficial Ownercontrol
        since 11/2019 · owns 25% to 50% of Rising Financials Private Limited
      • S•••••• V•••••• R•••••• · Beneficial Ownercontrol
        since 11/2019 · owns 25% to 50% of Rising Financials Private Limited
      Related persons
      Schedule D 7.A
      • B••••••• O•
        pooled vehicle sponsory
      Advisers that list B••••••• G••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Gandhinagar, India1 employees
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Private funds · 2 to 1
        Nov 19, 2020 to Dec 1, 2020
      • Assets in custody · $50,000 to $35,000
        Feb 26, 2019 to Nov 19, 2020
      • Financial planning clients · unset to 0
        Feb 26, 2019 to Nov 19, 2020
      • Other offices · 1 to 2
        Feb 26, 2019 to Nov 19, 2020
      • Private funds · 1 to 2
        Feb 26, 2019 to Nov 19, 2020
      • Discretionary RAUM · $50,000 to $35,000
        Feb 26, 2019 to Nov 19, 2020
      • Pooled vehicle RAUM · $50,000 to $35,000
        Feb 26, 2019 to Nov 19, 2020
      • RAUM · $50,000 to $35,000
        Feb 26, 2019 to Nov 19, 2020
      • Related bank · true to false
        Feb 26, 2019 to Nov 19, 2020
      • Assets in custody · unset to 50000.0
        Jan 31, 2019 to Feb 26, 2019
      • Custody of client assets · false to true
        Jan 31, 2019 to Feb 26, 2019
      • Accounts · 3 to 1
        Jan 7, 2019 to Jan 28, 2019
      • Advisory activities · 2 to 3
        Jan 7, 2019 to Jan 28, 2019
      • Related bank · false to true
        Jan 7, 2019 to Jan 28, 2019
      Signals
      3 dated events
      • ••• Locked
        Dec 1, 2020 · ria registration change · fact
      • ••• Locked
        Apr 22, 2019 · ria registration change · fact
      • ••• Locked
        Jan 5, 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