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•••• M••••••••• L••

Asset manager (funds and pooled vehicles)South Bend, IndianaCRD 309925SEC 801-133963websiteIAPD
Latest filing May 5, 2026
First filing on the tape Jun 25, 2025 · 3 filings
SEC status approved since Jul 25, 2025
RAUM
$287M
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
14
13 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
2
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$287M as of May 5, 2026
Jun 25, 2025$270M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 5, 2026
Jun 25, 20250 then
Employees (5.A)14 as of May 5, 2026
Jun 25, 202512 then
Private funds2 as of May 5, 2026
Jun 25, 20252 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 5, 2026; 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
$143MderivedRAUM 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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 5.G
Custody
$192M, 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)
  • 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)
  • marketing includes testimonials (5.L.1.c)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$287M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$192M for 1 clientsreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=1.0 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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D••• F•••• F••• L•••Private Equity Fund$109M34Jun 30, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• L•••••• C•••••••• · Chief Compliance Officer, Chief Financial Officercontrol
        since 08/2022 · owns less than 5%
      • G•••••• T••••• D••••• · Managing Principalcontrol
        since 04/2020 · owns less than 5%
      Entity owners
      • G••• I•• L•• · Member
        direct · 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
      • Advisory employees · 11 to 13
        Jun 25, 2025 to Mar 27, 2026
      • Assets in custody · $179M to $192M
        Jun 25, 2025 to Mar 27, 2026
      • Employees · 12 to 14
        Jun 25, 2025 to Mar 27, 2026
      • Other offices · 1 to 2
        Jun 25, 2025 to Mar 27, 2026
      • Discretionary RAUM · $270M to $287M
        Jun 25, 2025 to Mar 27, 2026
      • Pooled vehicle RAUM · $270M to $287M
        Jun 25, 2025 to Mar 27, 2026
      • RAUM · $270M to $287M
        Jun 25, 2025 to Mar 27, 2026
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Firm profile
      linkedin.com/company/graham-allen-partnersreportedpublic record, Form ADV, Sep 18, 2026
      Website
      g•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      574-485-2146reportedpublic record, Form ADV, May 5, 2026
      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