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
C••• G•••••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Apr 5, 2024 · 6 filings
SEC status approved since May 14, 2024
RAUM
$335M
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
5
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$335M as of Mar 31, 2026
Jan 17, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Jan 17, 20250 then
Employees (5.A)5 as of Mar 31, 2026
Jan 17, 20255 then
Private funds: no history
RAUM +332784% 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
- $168MderivedRAUM 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
- +332784%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 investment companiesreportedItem 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
- Investment companies$335M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• M••• · Co-Ceo, Directorcontrolsince 03/2024 · owns less than 5%
- Q••••• P••••••• T••••• · Chief Legal Officercontrolsince 03/2024 · owns less than 5%
- R••••••• M••••••• A••• · Co-Ceo, Directorcontrolsince 03/2024 · owns less than 5%
- R••••• S•••••• · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- S•••••• G••••••• M•••••• · Vice Presidentcontrolsince 03/2024 · owns less than 5%
- G••••• M••• · Trusteecontrolsince 12/2022 · owns 75% or more of G•••• L••••• T••••
- R••••••• M••••••• A••• · Trusteecontrolsince 02/2024 · owns 75% or more of M•••••• R•••••• R•••••••• L••••• T••••
- S••••• M••••••• J•• · Managing Membercontrolsince 02/1998 · owns F of G•••••••• H•••••••• L•••••
- S••••• M••••••• J•• · Trusteecontrolsince 12/1995 · owns F of M•••••• J• S•••• R•••••••• T••••
Entity owners
- C••• J• S•• 1• L•• · Memberdirect · owns 75% or more
- C••• I••••••••• G••••• L•• · Sole Memberindirect · owns 75% or more of C••• J• H•••••••• L••
- C••• J• H•••••••• L•• · Sole Memberindirect · owns 75% or more of C••• J• S•• 1• L••
- G•••• L••••• T•••• · Shareholderindirect · owns 25% to 50% of W•••••••• C•••••• C••••
- G•• G•••••••• H•••••••• L•• · Sole General Partnerindirect · owns F of G•••••••• C•••••• M••••••••• H•••••••• L•••
- G•• G•••••••• I••• · Sole Memberindirect · owns 75% or more of G•• G•••••••• H•••••••• L•• · public reporting company
- G•••••••• C•••••• M••••••••• H•••••••• L••• · Sole Memberindirect · owns 75% or more of G•• J• H••••••• L••
- G•••••••• H•••••••• L••••• · Limited Partnerindirect · owns 50% to 75% of G•••••••• C•••••• M••••••••• H•••••••• L•••
- M•••••• J• S•••• R•••••••• T•••• · Memberindirect · owns 25% to 50% of G•••••••• H•••••••• L•••••
- M•••••• J• S•••• R•••••••• T•••• · Sole Memberindirect · owns 75% or more of M•• L••
- M•••••• R•••••• R•••••••• L••••• T•••• · Shareholderindirect · owns 25% to 50% of W•••••••• C•••••• C••••
- M•• L•• · Managing Memberindirect · owns F of G•••••••• H•••••••• L•••••
- W•••••••• C•••••• C•••• · Member Series Bindirect · owns 50% to 75% of C••• I••••••••• G••••• L••
- G•• J• H••••••• L•• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- C••• I••••••••• G••••• L••pooled vehicle sponsory
- C••• I••••••••• M••••••••• I•• L••investment advisern
- C••• I••••••••• M••••••••• L••investment adviserbanknRAUM $1.8B
- C••• S••••••••• L••broker-dealern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $100,696 to $335MMar 26, 2025 to Mar 31, 2026
- RAUM · $100,696 to $335MMar 26, 2025 to Mar 31, 2026
- Accounts · 0 to 2Jan 17, 2025 to Mar 26, 2025
- Financial planning clients · unset to Jan 17, 2025 to Mar 26, 2025
- Discretionary RAUM · $0 to $100,696Jan 17, 2025 to Mar 26, 2025
- RAUM · $0 to $100,696Jan 17, 2025 to Mar 26, 2025
Signals
1 dated events
- C••• G•••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 5, 2024 · 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
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-253-8235reportedpublic 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