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•• P•••••• C•••••• U••
Latest filing Mar 27, 2024
First filing on the tape Jul 9, 2021 · 11 filings
RAUM
$193M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$177M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$14.9M gross assets
History
11 filings and snapshots on the tape
RAUM$193M as of Mar 27, 2024
Mar 31, 2022$185M then
HNW client RAUM$161M as of Mar 27, 2024
Mar 31, 2022$157M then
State-registered IARs (5.B.3)1 as of Mar 27, 2024
Mar 31, 20221 then
Employees (5.A)5 as of Mar 27, 2024
Mar 31, 20225 then
Private funds1 as of Mar 27, 2024
Mar 31, 20221 then
RAUM +7.3% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2024; every figure names its basis
- RAUM per advisor
- $193MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 102derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $856,209derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.9%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $36.0M, 111 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$161M84%
- Individuals$16.0M8.3%
- Pooled investment vehicles$14.9M7.7%
- Corporations and businesses$859,1290.4%
- Charitable organizations$51,7070.0%
- Individual clients
- 52reported
- HNW clients
- 50reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 225reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $36.0M for 111 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•••• S•••••• O••••••••• F••• L• | Other Private Fund | $14.9M | 37 | Apr 5, 2018 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• M••••••• T••••• · President, Chief Compliance Officer And Chief Investment Officercontrolsince 08/2021 · owns less than 5%
- G••••• R•••••• S•••••• · Chief Executive Officer, Chief Financial Officer And Directorcontrolsince 08/2021 · owns less than 5%
Entity owners
- C•••••••• C••••• W••••• M••••••••• U•• · Shareholderdirect · owns 75% or more
- C••• F•••••••• C••••••••• L••• · Partnerindirect · owns 25% to 50% of C••• F•••••••• H•••••••• L•••
- C••• F•••••••• H•••••••• L••• · Partnerindirect · owns 50% to 75% of F•••••••• F•• U••••••• H•••••••• L•
- C••••••• D••••••• • R••• F••• X••• L••• · Partnerindirect · owns 50% to 75% of C••• F•••••••• H•••••••• L•••
- C•••••••• G••••• L•• · Member (Manager)indirect · owns 75% or more of F•••• C••••• H••••••• I•• L••
- F•••••••• F•• A••••••••• L•• · Shareholder, Class A Common Stockindirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
- F•••••••• F•• I••••••••• H•••••••• L•• · Memberindirect · owns 75% or more of F•••••••• F•• A••••••••• L••
- F•••••••• F•• P•••••• I••• · Memberindirect · owns 75% or more of F•••••••• F•• I••••••••• H•••••••• L••
- F•••••••• F•• U••••••• H•••••••• L• · Shareholderindirect · owns 75% or more of F•••••••• F•• P•••••• I•••
- F•••••••• F•• U••••••• H•••••••• L• · Shareholder, Class B Common Stockindirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
- F•••• C••••• H••••••• I•• L•• · Member (Manager)indirect · owns 75% or more of C•••••••• C••••• W••••• M••••••••• U••
- F•••• F•••••••• P••••••• I••• · Memberindirect · owns 75% or more of F•••• F•••••••• P•••••••• L••
- F•••• F•••••••• P•••••••• L•• · Memberindirect · owns 75% or more of F•••• O••••••••• L••
- F•••• O••••••••• L•• · Member (Manager)indirect · owns 75% or more of C•••••••• G••••• L••
Related persons
Schedule D 7.A
- C•••••••• W•••••investment advisernRAUM $8.7B
- F•••• R••• S••••••••• L••real estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 201 to 225Sep 28, 2023 to Mar 27, 2024
- Charity clients · unset to 1.0Sep 28, 2023 to Mar 27, 2024
- Corporate clients · 1 to 5Sep 28, 2023 to Mar 27, 2024
- HNW clients · 49 to 50Sep 28, 2023 to Mar 27, 2024
- Individual clients · 63 to 52Sep 28, 2023 to Mar 27, 2024
- Assets in custody · $158M to $36.0MSep 28, 2023 to Mar 27, 2024
- Discretionary RAUM · $179M to $193MSep 28, 2023 to Mar 27, 2024
- HNW RAUM · $152M to $161MSep 28, 2023 to Mar 27, 2024
- Individual RAUM · $14.3M to $16.0MSep 28, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $12.1M to $14.9MSep 28, 2023 to Mar 27, 2024
- RAUM · $179M to $193MSep 28, 2023 to Mar 27, 2024
- Accounts · 186 to 201Sep 20, 2022 to Mar 29, 2023
- HNW clients · 42 to 49Sep 20, 2022 to Mar 29, 2023
- Individual clients · 43 to 63Sep 20, 2022 to Mar 29, 2023
- Assets in custody · $163M to $158MSep 20, 2022 to Mar 29, 2023
- Discretionary RAUM · $185M to $179MSep 20, 2022 to Mar 29, 2023
- HNW RAUM · $157M to $152MSep 20, 2022 to Mar 29, 2023
- Individual RAUM · $11.6M to $14.3MSep 20, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $15.4M to $12.1MSep 20, 2022 to Mar 29, 2023
- RAUM · $185M to $179MSep 20, 2022 to Mar 29, 2023
- Business name · G•• P•••••• C••••••• U•• to G•• P•••••• C•••••• U••Mar 31, 2022 to Jun 22, 2022
- Assets in custody · $0 to $163MMar 31, 2022 to Jun 22, 2022
- Legal name · G•• P•••••• C••••••• U•• to G•• P•••••• C•••••• U••Mar 31, 2022 to Jun 22, 2022
- Accounts · 194 to 186Jan 14, 2022 to Mar 31, 2022
- Advisory activities · 4 to 5Jan 14, 2022 to Mar 31, 2022
- Corporate clients · unset to 1.0Jan 14, 2022 to Mar 31, 2022
- HNW clients · 48 to 42Jan 14, 2022 to Mar 31, 2022
- Assets in custody · $161M to $0Jan 14, 2022 to Mar 31, 2022
- Discretionary RAUM · $181M to $185MJan 14, 2022 to Mar 31, 2022
- HNW RAUM · $154M to $157MJan 14, 2022 to Mar 31, 2022
- Individual RAUM · $10.0M to $11.6MJan 14, 2022 to Mar 31, 2022
- Pooled vehicle RAUM · $15.8M to $15.4MJan 14, 2022 to Mar 31, 2022
- RAUM · $181M to $185MJan 14, 2022 to Mar 31, 2022
- Business name · G•• P•••••• C••••••• I••• to G•• P•••••• C••••••• U••Nov 2, 2021 to Jan 14, 2022
- State-registered IARs · 0 to 1Nov 2, 2021 to Jan 14, 2022
- Legal name · G•• P•••••• C••••••• I••• to G•• P•••••• C••••••• U••Nov 2, 2021 to Jan 14, 2022
- Accounts · 0 to 194Jul 9, 2021 to Nov 2, 2021
- HNW clients · unset to 48.0Jul 9, 2021 to Nov 2, 2021
- Individual clients · unset to 43.0Jul 9, 2021 to Nov 2, 2021
- Pooled vehicle clients · unset to 1.0Jul 9, 2021 to Nov 2, 2021
Signals
1 dated events
- G•• P•••••• C••••••• I••• filed its initial SEC registration (Form ADV)Jul 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.
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