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••
Latest filing Mar 31, 2026
First filing on the tape Jun 29, 2023 · 5 filings
SEC status approved since Aug 1, 2023
RAUM
$856M
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
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$856M as of Mar 31, 2026
Mar 29, 2024$457M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20240 then
Employees (5.A)14 as of Mar 31, 2026
Mar 29, 20249 then
Private funds3 as of Mar 31, 2026
Mar 29, 20243 then
RAUM +33% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $285MderivedRAUM 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
- +33%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 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
- buys or sells securities as principal to or from clients (8.A.2)
- 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$856M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- 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=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•• F••• I• L• | Hedge Fund | $330M | 166 | Feb 3, 2021 |
| P•• F•••• F••• I• L• | Private Equity Fund | $87.7M | 78 | Jun 29, 2023 |
| P•• F••• I•• L• | Hedge Fund | $38.6M | 25 | Jan 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- G•••• C•••• · Managing Membercontrolsince 11/2019 · owns 75% or more
- S•••• P•••• H•••• · Chief Compliance Officercontrolsince 06/2023 · owns less than 5%
Related persons
Schedule D 7.A
- P•• F•••• F••• I• G•• L••bankpooled vehicle sponsorn
- P•• F••• I• G•• L••bankpooled vehicle sponsorn
- P•• F••• I• G•• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $643M to $856MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $643M to $856MMar 31, 2025 to Mar 31, 2026
- RAUM · $643M to $856MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 3 to 6Mar 29, 2024 to Mar 31, 2025
- Employees · 9 to 14Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $457M to $643MMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $457M to $643MMar 29, 2024 to Mar 31, 2025
- RAUM · $457M to $643MMar 29, 2024 to Mar 31, 2025
- Employees · 6 to 9Dec 11, 2023 to Mar 29, 2024
- Discretionary RAUM · $310M to $457MDec 11, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $310M to $457MDec 11, 2023 to Mar 29, 2024
- RAUM · $310M to $457MDec 11, 2023 to Mar 29, 2024
- Related bank · false to trueDec 11, 2023 to Mar 29, 2024
- HQ city · BOCA RATON to MIAMI BEACHJun 29, 2023 to Dec 11, 2023
- Private funds · 6 to 3Jun 29, 2023 to Dec 11, 2023
Signals
4 dated events
- G•• A•••• M••••••••• L•• reported RAUM $856.1M, up 33% from $643.1M (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- G•• A•••• M••••••••• L•• reported RAUM $643.1M, up 41% from $456.7M (2024-03-29 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- G•• A•••• M••••••••• L•• reported RAUM $456.7M, up 47% from $310.3M (2023-12-11 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- G•• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 29, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- G•• A•••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- G•• A•••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- (203) 550-4233reportedpublic record, Form ADV, Mar 31, 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