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•••• R•• I••••••••• A•••••• L••
Latest filing Mar 31, 2026
First filing on the tape Dec 19, 2023 · 4 filings
SEC status approved since Jan 23, 2024
RAUM
$84.6M
reported, Item 5.F
Discretionary
0.0%
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
1
beyond the principal office
Private funds
13
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$84.6M as of Mar 31, 2026
Mar 31, 2025$46.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20250 then
Employees (5.A)2 as of Mar 31, 2026
Mar 31, 20252 then
Private funds13 as of Mar 31, 2026
Mar 31, 202513 then
RAUM +81% 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
- $6.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +81%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$84.6M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 13reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, 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
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B••• F•••••••• Q• 2••• L• | Other Private Fund | $11.6M | 17 | Dec 19, 2023 |
| 5• C•••••••• N•• R•••••• L• | Other Private Fund | $8.5M | 14 | Dec 19, 2023 |
| E••••••• C••••••••• I• L• | Other Private Fund | $3.7M | 2 | Dec 19, 2023 |
| P•• C•••••••• L• | Other Private Fund | $2.0M | 9 | Dec 19, 2023 |
| B••• C•••••••• L• | Other Private Fund | $1.5M | 16 | Dec 19, 2023 |
| C••• C•••••••• L• | Other Private Fund | $1.1M | 3 | Dec 19, 2023 |
Owners and control persons
Schedule A and B, latest filing
- M•••••• J••••• · Chief Compliance Officersince 11/2021 · owns less than 5%
- M••••• A•••••••• · Presidentsince 11/2021 · owns 25% to 50%
Entity owners
- G•••• R•• M••••••••• I••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- G•••• R•• M••••••••• I•••y
Offices
Schedule D 1.F, the 25 largest
- Sarasota, FL
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 31, 2026discretionary share of RAUM of 0% against a peer median of 100% (139 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: ASSET_M••••••, under $100M (139) · 0.0% percentile
What changed
consecutive filings, newest first
- Non-discretionary RAUM · $46.7M to $84.6MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $46.7M to $84.6MMar 31, 2025 to Mar 31, 2026
- RAUM · $46.7M to $84.6MMar 31, 2025 to Mar 31, 2026
- Accounts · 6 to 13Nov 27, 2024 to Mar 31, 2025
- Pooled vehicle clients · 6 to 13Nov 27, 2024 to Mar 31, 2025
- Financial planning clients · unset to Nov 27, 2024 to Mar 31, 2025
- Private funds · 6 to 13Nov 27, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $28.4M to $46.7MNov 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $28.4M to $46.7MNov 27, 2024 to Mar 31, 2025
- RAUM · $28.4M to $46.7MNov 27, 2024 to Mar 31, 2025
- Other offices · 0 to 1Dec 19, 2023 to Nov 27, 2024
Signals
1 dated events
- G•••• R•• I••••••••• A•••••• L•• filed its initial SEC registration (Form ADV)Dec 19, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- G•••• R•• I••••••••• A•••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- g•••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 917-503-9730reportedpublic 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