DFX Intelligence

Data Factory

G•••••• • C•••••• I••••••••• A•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

G•••••• • C•••••• I••••••••• A•••••••• I•••

CRD 137024

GREENWICH, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:b446babd-9ab0-d6e4-1560-8966d9511067

Data as of Jul 7, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 49
Dated events: 3
On other graphs: 1
Observed: Dec 13, 2011 to Jul 7, 2026
33 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Creditidentity

G•••••• • C•••••• I••••••••• A•••••••• I•••

Private credit manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=5.0
Regulatory AUM: $1.5BItem 5.F on the latest filing (2026-07-07); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.5B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31; showing 25 of 33

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
G•••••• A••••••••• L••••••	Hedge Fund	$339M	Apr 29, 2024	65	Mar 30, 2012	reported	021-86792
G•••••• A••••••••• F•••• L•	Hedge Fund	$237M

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• C•••••• G••••• I•••	SHAREHOLDER - 100% OWNER OF THE REGISTRANT	E	yes	11/2015	Dec 2, 2015	Apr 29, 2024
G••••••• M••••• J•••••	CEO, DIRECTOR AND MAJORITY SHAREHOLDER OF COMMON STOCK	D	yes	11/1976	Dec 13, 2011

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G•••••• F••••• L••	n/a	Asset manager	$25B	N	yes	n/a
G•••• A•••• M••••••••• I•••	n/a	Mixed wealth	$12B	N	yes

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Rye	NY	United States	2	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.5B	$1.3B	16.2%	$1.8B	-5.7%	27	21	1	1

Relationships

Affiliated with (9)

← G-LEGION, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← G•••••• F••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ G•••••• F••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ G•••• A•••• M••••••••• I•••Registered adviser

Dated events

Occurred
Mar 29, 2022
Regulatory AUM changed
G•••••• • C•••••• I••••••••• A•••••••• I••• reported RAUM $1.9B, up 29% from $1.5B (2021-08-24 to 2022-03-29)
Form ADVobserved 6 days ago
$427M
Occurred
Mar 27, 2019
Control person left
Joseph Francis Conroy (Interim Chief Financial Officer) no longer on Schedule A of G•••••• • C•••••• I••••••••• A•••••••• I••• (listed 2018-04-13, absent 2019-03-27)
Form ADVobserved 6 days ago
Occurred
Mar 29, 2018
Regulatory AUM changed
G•••••• • C•••••• I••••••••• A•••••••• I••• reported RAUM $1.9B, up 1534% from $115.6M (2017-03-30 to 2018-03-29)
Form ADVobserved 6 days ago
$1.8B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b446babd-9ab0-d6e4-1560-8966d9511067
First observed: Dec 13, 2011
Last observed: Jul 7, 2026 2 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

2025	Mar 31, 2026	$1.5B	$1.5B	27	17	1	10	n/a
2024	Mar 25, 2025	$1.3B	$1.3B	21	18	1	10	n/a
2023	Mar 27, 2024	$1.5B	$1.5B	21	18	1	10	$829M
2022	Mar 28, 2023	$1.8B	$1.8B	21	8	0	10	$811M
2021	Mar 29, 2022	$1.9B	$1.9B	21	8	0	17	$988M
2020	Mar 29, 2021	$1.5B	$1.5B	23	8	0	17	$898M
2019	Mar 26, 2020	$1.9B	$1.9B	23	9	0	23	$978M
2018	Mar 27, 2019	$1.7B	$1.7B	24	7	0	24	$902M
2017	Mar 29, 2018	$1.9B	$1.9B	22	5	0	24	$1.1B
2016	Mar 30, 2017	$116M	$116M	22	5	n/a	24	$983M
2015	Mar 28, 2016	$1.1B	$1.1B	22	5	n/a	25	$973M
2014	Mar 25, 2015	$1.3B	$1.3B	19	3	n/a	29	$961M
2013	Mar 31, 2014	$1.3B	$1.3B	19	4	n/a	25	$813M
2012	Mar 26, 2013	$1.1B	$1.1B	15	5	n/a	25	$788M
2011	Mar 30, 2012	$627M	$627M	n/a	n/a	n/a	29	$771M