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•••••• G••••• A•••• M•••••••••
Legal name G•••••• G••••• A•••• M••••••••• •••••••• L••
Latest filing May 4, 2026
First filing on the tape Jun 24, 2025 · 4 filings
SEC status approved since Jun 26, 2025
RAUM
$364M
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
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$364M as of May 4, 2026
Jun 24, 2025$0 then
HNW client RAUM$0 as of May 4, 2026
Jun 24, 2025$0 then
State-registered IARs (5.B.3)0 as of May 4, 2026
Jun 24, 20250 then
Employees (5.A)7 as of May 4, 2026
Jun 24, 20257 then
Private funds2 as of May 4, 2026
Oct 21, 20252 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 4, 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
- $72.7MderivedRAUM 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
- unknownderivedbetween 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, performance-basedreportedItem 5.E
- Advisory activities
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$364M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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
- Accounts · 4 to 5Oct 21, 2025 to Mar 30, 2026
- Pooled vehicle clients · 4 to 5Oct 21, 2025 to Mar 30, 2026
- Discretionary RAUM · $358M to $364MOct 21, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $358M to $364MOct 21, 2025 to Mar 30, 2026
- RAUM · $358M to $364MOct 21, 2025 to Mar 30, 2026
- Accounts · 0 to 4Jun 24, 2025 to Oct 21, 2025
- Pooled vehicle clients · 0 to 4Jun 24, 2025 to Oct 21, 2025
- Assets in custody · unset to 0.0Jun 24, 2025 to Oct 21, 2025
- Private funds · unset to 2Jun 24, 2025 to Oct 21, 2025
- Discretionary RAUM · $0 to $358MJun 24, 2025 to Oct 21, 2025
- Pooled vehicle RAUM · $0 to $358MJun 24, 2025 to Oct 21, 2025
- RAUM · $0 to $358MJun 24, 2025 to Oct 21, 2025
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- G•••••• G••••• A•••• M••••••••• · Independent Sponsorsshared crd · capital_provider
- G•••••• G••••• A•••• M••••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 310 909 8800reportedpublic record, Form ADV, May 4, 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