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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SEC-registered adviser
G•••• A••••••• A•••• M••••••••• L•••
Latest filing Sep 25, 2025
First filing on the tape Jun 9, 2021 · 9 filings
SEC status approved since Jul 12, 2021
RAUM
$1.8B
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
44
27 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$1.8B as of Sep 25, 2025
Sep 26, 2021$1.3B then
HNW client RAUM$0 as of Sep 25, 2025
Sep 26, 2021$0 then
State-registered IARs (5.B.3)0 as of Sep 25, 2025
Sep 26, 20210 then
Employees (5.A)44 as of Sep 25, 2025
Sep 26, 202136 then
Private funds2 as of Sep 25, 2025
Sep 26, 20211 then
RAUM +7.9% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 25, 2025; 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
- $258MderivedRAUM 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
- +32%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 businesses and institutions, 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)
- 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
- Pooled investment vehicles$1.4B78%
- Corporations and businesses$391M22%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.78 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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 |
|---|---|---|---|---|
| S••• V••••• | Hedge Fund | $729M | 217 | Aug 21, 2017 |
| G•••• A••••••• C•••• F•••no longer reported | Hedge Fund | $14.4M | 31 | May 6, 2020 |
Owners and control persons
Schedule A and B, latest filing
- L••• Y•••• · Chief Compliance Officercontrolsince 08/1999 · owns less than 5%
- L•• H•• C•• · Chief Financial Officercontrolsince 07/2006 · owns less than 5%
- M••• W•• Y•• D••••• · Chief Risk Officercontrolsince 04/2016 · owns less than 5%
- T•••• F•••••• H• Y••• · Directorcontrolsince 07/2023 · owns less than 5%
- L••• Y•••• · Directorcontrolsince 09/2017 · owns 25% to 50% of G•••• A••••••• A••• L•••
- T•••• F•••••• H• Y••• · Directorcontrolsince 07/2023 · owns F of G•••• A••••••• A••• L•••
Entity owners
- G•••• A••••••• A••• L••• · Shareholderdirect · 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 · 5 to 7Sep 9, 2024 to Sep 25, 2025
- Pooled vehicle clients · 3 to 5Sep 9, 2024 to Sep 25, 2025
- Employees · 42 to 44Sep 9, 2024 to Sep 25, 2025
- Financial planning clients · unset to Sep 9, 2024 to Sep 25, 2025
- HQ state · unset to Sep 9, 2024 to Sep 25, 2025
- Private funds · 1 to 2Sep 9, 2024 to Sep 25, 2025
- Discretionary RAUM · $2.2B to $1.8BSep 9, 2024 to Sep 25, 2025
- Pooled vehicle RAUM · $1.6B to $1.4BSep 9, 2024 to Sep 25, 2025
- RAUM · $2.2B to $1.8BSep 9, 2024 to Sep 25, 2025
- Advisory employees · 22 to 27Aug 28, 2023 to Sep 9, 2024
- Employees · 40 to 42Aug 28, 2023 to Sep 9, 2024
- Discretionary RAUM · $1.7B to $2.2BAug 28, 2023 to Sep 9, 2024
- Pooled vehicle RAUM · $1.3B to $1.6BAug 28, 2023 to Sep 9, 2024
- RAUM · $1.7B to $2.2BAug 28, 2023 to Sep 9, 2024
- Discretionary RAUM · $1.6B to $1.7BMar 30, 2023 to Aug 22, 2023
- Pooled vehicle RAUM · $1.2B to $1.3BMar 30, 2023 to Aug 22, 2023
- RAUM · $1.6B to $1.7BMar 30, 2023 to Aug 22, 2023
- Accounts · 3 to 5Oct 25, 2021 to Sep 14, 2022
- Advisory activities · 1 to 2Oct 25, 2021 to Sep 14, 2022
- Corporate clients · 0 to 2Oct 25, 2021 to Sep 14, 2022
- Employees · 36 to 40Oct 25, 2021 to Sep 14, 2022
- Discretionary RAUM · $933M to $1.6BOct 25, 2021 to Sep 14, 2022
- Non-discretionary RAUM · $402M to $0Oct 25, 2021 to Sep 14, 2022
- Pooled vehicle RAUM · $1.3B to $1.2BOct 25, 2021 to Sep 14, 2022
- RAUM · $1.3B to $1.6BOct 25, 2021 to Sep 14, 2022
- Advisory employees · 21 to 22Jun 9, 2021 to Sep 26, 2021
- Employees · 35 to 36Jun 9, 2021 to Sep 26, 2021
- Private funds · 2 to 1Jun 9, 2021 to Sep 26, 2021
- Discretionary RAUM · $861M to $933MJun 9, 2021 to Sep 26, 2021
- Non-discretionary RAUM · $361M to $402MJun 9, 2021 to Sep 26, 2021
- Pooled vehicle RAUM · $1.2B to $1.3BJun 9, 2021 to Sep 26, 2021
- RAUM · $1.2B to $1.3BJun 9, 2021 to Sep 26, 2021
Signals
4 dated events
- G•••• A••••••• A•••• M••••••••• L••• reported RAUM $2.2B, up 32% from $1.7B (2023-08-28 to 2024-09-09)Sep 9, 2024 · RAUM change · derived
- F•••••• Ho Y••• T••• (Director) appeared on Schedule A of G•••• A••••••• A•••• M••••••••• L•••Aug 22, 2023 · Control person joined · fact
- Z•••• You (Director) no longer on Schedule A of G•••• A••••••• A•••• M••••••••• L••• (listed 2023-03-30, absent 2023-08-22)Aug 22, 2023 · Control person left · inference
- G•••• A••••••• A•••• M••••••••• L••• filed its initial SEC registration (Form ADV)Jun 9, 2021 · 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/gaamhkreportedpublic record, Form ADV, Sep 19, 2026
- Website
- g•••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (852) 3852 6351reportedpublic record, Form ADV, Sep 25, 2025
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
- Asset manager (funds and pooled vehicles)deriveda 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