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•••••••
Legal name G••••••• L•••• C•••••••••
Latest filing May 18, 2022
First filing on the tape Mar 19, 2019 · 18 filings
RAUM
$108M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
70%
$75.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$95.2M as of Mar 31, 2022
Mar 11, 2020$2.5M then
HNW client RAUM$60.4M as of Mar 31, 2022
Jan 13, 2021$334,764 then
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 11, 20200 then
Employees (5.A)2 as of Mar 31, 2022
Mar 11, 20204 then
Private funds: 2
RAUM +25140% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 18, 2022; 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
- $564,365derivedHNW RAUM over HNW clients
- Average account
- $324,381derivedRAUM 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
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22223%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +19%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $426,691, 249 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 custody of client cash or bank accounts (9.A.1.a)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$72.8M68%
- Corporations and businesses$32.4M30%
- Individuals$2.5M2.3%
- Individual clients
- 179reported
- HNW clients
- 129reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 332reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $426,691 for 249 clientsreported
- 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••• A••••••••• O••••••••• Z••• F••• W••••• 2•••no longer reported | Real Estate Fund | $16.3M | 5 | Mar 19, 2019 |
| G••••••• O••••••••• Z••• F•••no longer reported | Other Private Fund | $0 | 1 | Apr 25, 2019 |
Owners and control persons
Schedule A and B, latest filing
- A••• N•••••• I•• · Ceocontrolsince 01/2019 · owns 75% or more
- Q•••••••• A•••••• M••••• · Chief Compliance Officercontrolsince 12/2021 · owns less than 5%
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 · 318 to 332Mar 31, 2022 to May 18, 2022
- Corporate clients · 30 to 34Mar 31, 2022 to May 18, 2022
- HNW clients · 109 to 129Mar 31, 2022 to May 18, 2022
- HNW RAUM · $60.4M to $72.8MMar 31, 2022 to May 18, 2022
- Individual RAUM · $2.5M to $2.5MMar 31, 2022 to May 18, 2022
- Non-discretionary RAUM · $95.2M to $108MMar 31, 2022 to May 18, 2022
- RAUM · $95.2M to $108MMar 31, 2022 to May 18, 2022
- Accounts · 249 to 318Nov 2, 2021 to Mar 31, 2022
- Corporate clients · unset to 30.0Nov 2, 2021 to Mar 31, 2022
- HNW clients · 4 to 109Nov 2, 2021 to Mar 31, 2022
- Individual clients · 238 to 179Nov 2, 2021 to Mar 31, 2022
- Employees · 3 to 2Nov 2, 2021 to Mar 31, 2022
- Financial planning clients · 101-250 to 0Nov 2, 2021 to Mar 31, 2022
- HNW RAUM · $334,764 to $60.4MNov 2, 2021 to Mar 31, 2022
- Individual RAUM · $91,921 to $2.5MNov 2, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $426,685 to $95.2MNov 2, 2021 to Mar 31, 2022
- RAUM · $426,685 to $95.2MNov 2, 2021 to Mar 31, 2022
- Accounts · 238 to 249Oct 15, 2020 to Jan 13, 2021
- HNW clients · unset to 4.0Oct 15, 2020 to Jan 13, 2021
- Individual clients · unset to 238.0Oct 15, 2020 to Jan 13, 2021
- Pooled vehicle clients · 238.0 to unsetOct 15, 2020 to Jan 13, 2021
- Assets in custody · $4.9M to $426,691Oct 15, 2020 to Jan 13, 2021
- Employees · 2 to 3Oct 15, 2020 to Jan 13, 2021
- Financial planning clients · 251-500 to 101-250Oct 15, 2020 to Jan 13, 2021
- HNW RAUM · unset to 334764.0Oct 15, 2020 to Jan 13, 2021
- Individual RAUM · unset to 91921.0Oct 15, 2020 to Jan 13, 2021
- Non-discretionary RAUM · $4.9M to $426,685Oct 15, 2020 to Jan 13, 2021
- Pooled vehicle RAUM · 4894567.0 to unsetOct 15, 2020 to Jan 13, 2021
- RAUM · $4.9M to $426,685Oct 15, 2020 to Jan 13, 2021
- Accounts · 91 to 238Aug 10, 2020 to Oct 13, 2020
- Advisory employees · 3 to 2Aug 10, 2020 to Oct 13, 2020
- Pooled vehicle clients · 1 to 238Aug 10, 2020 to Oct 13, 2020
- Assets in custody · $2.5M to $4.9MAug 10, 2020 to Oct 13, 2020
- Employees · 4 to 2Aug 10, 2020 to Oct 13, 2020
- Financial planning clients · 11-25 to 251-500Aug 10, 2020 to Oct 13, 2020
- Private funds · 2 to unsetAug 10, 2020 to Oct 13, 2020
- Non-discretionary RAUM · $2.5M to $4.9MAug 10, 2020 to Oct 13, 2020
- Pooled vehicle RAUM · $2.5M to $4.9MAug 10, 2020 to Oct 13, 2020
- RAUM · $2.5M to $4.9MAug 10, 2020 to Oct 13, 2020
- Legal name · G••••• W••••• L•• CORPORATION to G••••••• L•••• C•••••••••Mar 11, 2020 to Jun 20, 2020
Signals
2 dated events
- Manlio Arthur Quintero (Chief Compliance Officer) appeared on Schedule A of GainvestMar 31, 2022 · Control person joined · fact
- G••••• W••••• L•• filed its initial SEC registration (Form ADV)Mar 19, 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••••••• 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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