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Former SEC-registered adviser

G••••••••• G•••

Former SEC-registered adviserCRD 313765SEC 801-121836websiteIAPD
Legal name G••••••••• A•••••••• L••
Latest filing Jul 21, 2025
First filing on the tape Jun 23, 2021 · 15 filings
SEC status approved since Sep 10, 2021
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM: $0
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 21, 2025
Mar 31, 20221 then
Employees (5.A)5 as of Jul 21, 2025
Mar 31, 20223 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 21, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
n/areported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • R•••• D•••••• · Chief Operating Officercontrol
        since 01/2023 · owns less than 5%
      • V•• C••••• T•••• · Chief Compliance Officer And Chief Executive Officercontrol
        since 05/2021 · owns 75% or more
      Entity owners
      • S••••••• O• W••••• I••••••••• · Sole Member Of Registrant
        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
      • Accounts · unset to 0.0
        Jul 8, 2024 to Jul 21, 2025
      • Employees · 7 to 5
        Jul 8, 2024 to Jul 21, 2025
      • Financial planning clients · unset to
        Jul 8, 2024 to Jul 21, 2025
      • HQ city · unset to
        Jul 8, 2024 to Jul 21, 2025
      • HQ state · unset to
        Jul 8, 2024 to Jul 21, 2025
      • Discretionary RAUM · unset to 0.0
        Jul 8, 2024 to Jul 21, 2025
      • Non-discretionary RAUM · unset to 0.0
        Jul 8, 2024 to Jul 21, 2025
      • RAUM · unset to 0.0
        Jul 8, 2024 to Jul 21, 2025
      • Employees · 3 to 7
        May 18, 2023 to Mar 30, 2024
      • State-registered IARs · 1 to 0
        Mar 31, 2022 to Mar 31, 2023
      • Business name · G••••••••• A•••••••• L•• to G••••••••• G•••
        Jan 7, 2022 to Mar 31, 2022
      • Employees · 2 to 3
        Jan 7, 2022 to Mar 31, 2022
      • Wrap assets (manager) · unset to 0.0
        Aug 24, 2021 to Nov 9, 2021
      • Wrap assets (sponsor) · unset to 0.0
        Aug 24, 2021 to Nov 9, 2021
      • Accounts · 0.0 to unset
        Aug 10, 2021 to Aug 24, 2021
      • Discretionary RAUM · 0.0 to unset
        Aug 10, 2021 to Aug 24, 2021
      • Non-discretionary RAUM · 0.0 to unset
        Aug 10, 2021 to Aug 24, 2021
      • RAUM · 0.0 to unset
        Aug 10, 2021 to Aug 24, 2021
      Signals
      3 dated events
      • G••••••••• G••• no longer on the SEC adviser roster (last listed 2025-12-20)
        Jan 2, 2026 · Left the SEC roster · derived
      • Deborah Rose (Chief Operating Officer) appeared on Schedule A of G••••••••• G•••
        Mar 31, 2023 · Control person joined · fact
      • G••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 23, 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.
      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