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•• A•••••••• L••
Latest filing Aug 3, 2026
First filing on the tape Apr 8, 2026 · 2 filings
SEC status approved since Apr 9, 2026
RAUM
$257M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$257M as of Aug 3, 2026
Apr 8, 2026$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 3, 2026
Apr 8, 20260 then
Employees (5.A)4 as of Aug 3, 2026
Apr 8, 20262 then
Private funds: 1
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 3, 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
- $257MderivedRAUM 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
- 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
- Custody
- $257M, 1 clientsreportedItem 9.A
- 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
- buys or sells securities as principal to or from clients (8.A.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$257M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $257M for 1 clientsreported
- 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
- G•••••••• B•••••••• H•••• · Managing Membercontrolsince 02/2026 · owns 75% or more
- L••••• J••••• M•••••• · Chief Compliance Officersince 02/2026 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Aug 3, 2026discretionary share of RAUM of 0% against a peer median of 100% (1567 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: asset managers, $100M to $500M (1,567) · 0.0% percentile
- business activity changedChange between filings · filing Aug 3, 2026advises private funds (Item 7.B): no on the filing of 2026-04-08, yes on the filing of 2026-08-03peers: asset managers, $100M to $500M (1,567)
- custody status changedChange between filings · filing Aug 3, 2026custody of client assets (Item 9.A): no on the filing of 2026-04-08, yes on the filing of 2026-08-03peers: asset managers, $100M to $500M (1,567)
What changed
consecutive filings, newest first
- Accounts · 0 to 1Apr 8, 2026 to Aug 3, 2026
- Advisory employees · 1 to 3Apr 8, 2026 to Aug 3, 2026
- Pooled vehicle clients · unset to 1.0Apr 8, 2026 to Aug 3, 2026
- Assets in custody · unset to 257309468.0Apr 8, 2026 to Aug 3, 2026
- Custody of client assets · false to trueApr 8, 2026 to Aug 3, 2026
- Employees · 2 to 4Apr 8, 2026 to Aug 3, 2026
- Private funds · unset to 1Apr 8, 2026 to Aug 3, 2026
- Non-discretionary RAUM · $0 to $257MApr 8, 2026 to Aug 3, 2026
- Pooled vehicle RAUM · unset to 257309468.0Apr 8, 2026 to Aug 3, 2026
- RAUM · $0 to $257MApr 8, 2026 to Aug 3, 2026
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- G•• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-257-5790reportedpublic record, Form ADV, Aug 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
- 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