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••••••• I••••••••• A•••• M••••••••• L••

Former SEC-registered adviserJersey City, New JerseyCRD 318405SEC 801-123311IAPD
Latest filing May 14, 2024
First filing on the tape Jan 25, 2022 · 6 filings
RAUM
$151M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$151M as of Sep 12, 2023
Aug 11, 2022$136M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 12, 2023
Aug 11, 20220 then
Employees (5.A)2 as of Sep 12, 2023
Aug 11, 20223 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 14, 2024; 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
$151MderivedRAUM 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
+11%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 assetsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$151M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••• T•••••• K•••••• · Chief Compliance Officercontrol
        since 05/2023 · owns less than 5%
      • A•••••• C•••••• M••••• · Ownercontrol
        since 03/2017 · owns 50% to 75% of G••••••• I••••••••• H••••••• G• L••
      • A•••••• C•••••• M••••• · Ownercontrol
        since 03/2017 · owns 50% to 75% of G••••••• I••••••••• H••••••• L•
      • B••••• D••••••• N••••••• · Ownercontrol
        since 03/2017 · owns 25% to 50% of G••••••• I••••••••• H••••••• G• L••
      • B••••• D••••••• N••••••• · Ownercontrol
        since 03/2017 · owns 25% to 50% of G••••••• I••••••••• H••••••• L•
      • P•••• B••••••• C•••••• · Membercontrol
        since 10/2006 · owns 50% to 75% of S••••••• R••• F•••••••• P•••••••• L••
      • B•••••• A•••••• S• · Manager
        since 01/2022 · owns less than 5%
      Entity owners
      • G••••••• I••••••••• L•• · Owner
        direct · owns 75% or more
      • G••••••• I••••••••• H••••••• G• L•• · Owner
        indirect · owns F of G••••••• I••••••••• H••••••• L•
      • G••••••• I••••••••• H••••••• L• · Owner
        indirect · owns 50% to 75% of G••••••• I••••••••• L••
      • S••••••• R••• A•••• M••••••••• L•• · Owner
        indirect · owns 25% to 50% of G••••••• I••••••••• L••
      • S••••••• R••• F•••••••• P•••••••• L•• · Owner
        indirect · owns 75% or more of S••••••• R••• A•••• M••••••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list G••••••• I••••••••• A•••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Business name · R•••• A•• M••••••••• A•••• M••••••••• L•• to G••••••• I••••••••• A•••• M••••••••• L••
        Nov 13, 2023 to May 14, 2024
      • Legal name · R•••• A•• M••••••••• A•••• M••••••••• L•• to G••••••• I••••••••• A•••• M••••••••• L••
        Nov 13, 2023 to May 14, 2024
      • BD registered reps · 1 to 0
        Aug 11, 2022 to Sep 12, 2023
      • Employees · 3 to 2
        Aug 11, 2022 to Sep 12, 2023
      • HQ city · CHICAGO to JERSEY CITY
        Aug 11, 2022 to Sep 12, 2023
      • HQ state · IL to NJ
        Aug 11, 2022 to Sep 12, 2023
      • Discretionary RAUM · $136M to $151M
        Aug 11, 2022 to Sep 12, 2023
      • Pooled vehicle RAUM · $136M to $151M
        Aug 11, 2022 to Sep 12, 2023
      • RAUM · $136M to $151M
        Aug 11, 2022 to Sep 12, 2023
      • Accounts · 0 to 1
        Mar 17, 2022 to Aug 11, 2022
      • Advisory employees · 4 to 2
        Mar 17, 2022 to Aug 11, 2022
      • Pooled vehicle clients · unset to 1.0
        Mar 17, 2022 to Aug 11, 2022
      • Employees · 5 to 3
        Mar 17, 2022 to Aug 11, 2022
      • Discretionary RAUM · $0 to $136M
        Mar 17, 2022 to Aug 11, 2022
      • Pooled vehicle RAUM · unset to 135720000.0
        Mar 17, 2022 to Aug 11, 2022
      • RAUM · $0 to $136M
        Mar 17, 2022 to Aug 11, 2022
      • Related bank · true to false
        Mar 17, 2022 to Aug 11, 2022
      Signals
      5 dated events
      • Kenneth Thomas Morgan (Chief Compliance Officer) appeared on Schedule A of G••••••• I••••••••• A•••• M••••••••• L••
        Sep 12, 2023 · Control person joined · fact
      • Manuel Carlos Asilis (Owner) appeared on Schedule A of G••••••• I••••••••• A•••• M••••••••• L••
        Sep 12, 2023 · Control person joined · fact
      • Niranjan Darshan Bhatt (Owner) appeared on Schedule A of G••••••• I••••••••• A•••• M••••••••• L••
        Sep 12, 2023 · Control person joined · fact
      • Chapman Blakely Page (Member) appeared on Schedule A of G••••••• I••••••••• A•••• M••••••••• L••
        Sep 12, 2023 · Control person joined · fact
      • R•••• A•• M••••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jan 25, 2022 · 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