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••••• L•••••• A•••••••••

Other adviserNew York, New YorkCRD 327603SEC 801-128620IAPD
Legal name G••••• L•••••• A••••••••• S••••••••• L••••••
Latest filing Mar 3, 2026
First filing on the tape Jul 24, 2023 · 5 filings
SEC status approved since Sep 7, 2023
RAUM
$27.0M
reported, Item 5.F
Discretionary
41%
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
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$27.0M as of Mar 3, 2026
Mar 31, 2024$28.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 3, 2026
Mar 31, 20241 then
Employees (5.A)6 as of Mar 3, 2026
Mar 31, 20246 then
Private funds: no history
RAUM +3.8% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
  • Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$27.0MderivedRAUM 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
$5.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
41%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
6.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+3.8%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 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
  • is a broker-dealer (6.A.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$16.0M59%
  • Investment companies$11.0M41%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, commissionsreported
Class basis
private_client_share=0.0 fund_share=0.41 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • G••• L•• · Ccocontrol
        since 04/2023 · 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
      • Discretionary RAUM · $10.0M to $11.0M
        Mar 25, 2025 to Mar 3, 2026
      • RAUM · $26.0M to $27.0M
        Mar 25, 2025 to Mar 3, 2026
      • Accounts · 6 to 5
        Mar 31, 2024 to Mar 25, 2025
      • Financial planning clients · 1-10 to 1-10
        Mar 31, 2024 to Mar 25, 2025
      • Discretionary RAUM · $12.0M to $10.0M
        Mar 31, 2024 to Mar 25, 2025
      • RAUM · $28.0M to $26.0M
        Mar 31, 2024 to Mar 25, 2025
      • Accounts · 5 to 6
        Sep 4, 2023 to Mar 31, 2024
      • Advisory activities · 3 to 4
        Sep 4, 2023 to Mar 31, 2024
      • Discretionary RAUM · $10.0M to $12.0M
        Sep 4, 2023 to Mar 31, 2024
      • RAUM · $26.0M to $28.0M
        Sep 4, 2023 to Mar 31, 2024
      Signals
      1 dated events
      • G••••• L•••••• A••••••••• filed its initial SEC registration (Form ADV)
        Jul 24, 2023 · 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.
      How to reach
      public business contact points only, each with its source
      Principal office phone
      646-905-1039reportedpublic record, Form ADV, Mar 3, 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
      Other 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