DFX Intelligence
RIA Intelligence
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SEC-registered adviser
G••••• S••••••••• L••
Latest filing Aug 12, 2026
First filing on the tape Dec 8, 2011 · 41 filings
SEC status approved since Oct 21, 2005
RAUM
$530M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$472M individuals and HNW
Advisors
19
registered through the firm on IAPD
RAUM per advisor
$27.9M
derived; firm RAUM over IAPD count
Employees
19
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$530M as of Aug 12, 2026
Feb 29, 2012$140M then
HNW client RAUM$224M as of Aug 12, 2026
Mar 30, 2018$148M then
State-registered IARs (5.B.3)19 as of Aug 12, 2026
Mar 22, 20130 then
Employees (5.A)19 as of Aug 12, 2026
Mar 22, 201322 then
Private funds: no history
RAUM -2.9% over the last fiscal year+4.7% a year over threeIARs 20 to 19
Practice profile
derived from the filing of Aug 12, 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)
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $27.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.8MderivedHNW RAUM over HNW clients
- Average account
- $440,694derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 19.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- -5.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.7%derived
- Compensation
- percentage of assets, commissionsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$248M47%
- High-net-worth individuals$224M42%
- Corporations and businesses$58.0M11%
- Individual clients
- 1,025reported
- HNW clients
- 33reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,202reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, commissionsreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=19.0derived
Advisors registered through the firm
19 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• H••••• J•••••• | New York, Ny | Jul 30, 2021 | 27 y | 0 |
| J•••• M•••••• C••••••• | New York, Ny | Jul 30, 2021 | 11 y | 0 |
| W••••• G••• T••••• | New York, Ny | Jul 30, 2021 | 25 y | 0 |
| A••••• A••• T•••••••• | New York, Ny | Jul 30, 2021 | 25 y | 0 |
| H•••• C••• B•••••••• | New York, Ny | Jul 30, 2021 | 24 y | 0 |
| M••••••• D••••••••• | New York, Ny | Jul 30, 2021 | 21 y | 0 |
| S•••• G• J•••• | New York, Ny | Jul 30, 2021 | 15 y | 0 |
| C•••••• A••••• R•••••• | New York, Ny | Jul 30, 2021 | 27 y | 0 |
| J••••••• W••••••• R••••• | New York, Ny | Jul 30, 2021 | 26 y | 0 |
| D••••• E••••••••• L•• | New York, Ny | Jul 30, 2021 | 26 y | 0 |
| L••• C•••••••• F••••••• | New York, Ny | Jul 30, 2021 | 27 y | 0 |
| G•••••••• R•••••••• | New York, Ny | Jul 30, 2021 | 11 y | 0 |
| B•••• J••••• G••••• | New York, Ny | Jul 30, 2021 | 32 y | 0 |
| A••••••• M••••••• G••••••• | New York, Ny | Jul 30, 2021 | 14 y | 0 |
| M•••••• O••••• D••• | New York, Ny | Jul 30, 2021 | 30 y | 0 |
| J•••• C•••• | New York, Ny | Nov 23, 2021 | 12 y | 0 |
| N••• J••••• G••••• | New York, Ny | Nov 30, 2021 | 32 y | 0 |
| J•••••• R••• V•••••••• | New York, Ny | Nov 30, 2021 | 16 y | 0 |
| E••••• F•••••• A•• | New York, Ny | Jan 14, 2026 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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
- D••••••••• M••••••• · Chief Financial Officercontrolsince 08/2017 · owns less than 5%
- D•••• M•••••• O••••• · Membercontrolsince 01/2002 · owns 5% to 10%
- F•••••••• L••• C•••••••• · Membercontrolsince 02/2006 · owns less than 5%
- G•••••• B•••• J••••• · Membercontrolsince 01/2002 · owns 5% to 10%
- G•••••• N••• J••••• · Manager/Ceocontrolsince 10/1999 · owns 50% to 75%
- T•••••• W••••• G••• · Membercontrolsince 05/2008 · owns 5% to 10%
- T••••••••• A••••• O•••••• · Membercontrolsince 03/2007 · owns less than 5%
- B••••••••• H•••• C••• · Membersince 04/2005 · owns less than 5%
- C•••••••• J•••• M•••••• · Membersince 01/2021 · owns less than 5%
- G•••••••• A••••••• M••••••• · Membersince 03/2015 · owns less than 5%
- J••••••• M•••••• H••••• · Membersince 12/2004 · owns less than 5%
- J••••• S•••• G• · Membersince 01/2018 · owns less than 5%
- L••• D••••• E••••••••• · Membersince 08/2005 · owns less than 5%
- R••••••• C•••••• A••••• · Membersince 01/2018 · owns less than 5%
- R•••••• J••••••• W••••••• · Membersince 04/2005 · owns less than 5%
- S••••••• M••••••• · Membersince 10/2014 · owns less than 5%
Related persons
Schedule D 7.A
- G••••• A••••••• L••investment advisern
- G••••• I••••••••• I••pooled vehicle sponsorn
- G•••••••• A•••••••••pooled vehicle sponsorn
- G•••••••• M••••••••• L••investment advisern
- L•• A••••••••• L••pooled vehicle sponsorn
- O• C•••••• P••••••• L••investment advisern
- S•••••• V••••••• L••investment advisern
- U••••• A•••• M••••••••• L•pooled vehicle sponsorn
- W•• A•••• M••••••••• L••investment advisern
- W•• C•••••• L••pooled vehicle sponsorn
Advisers that list G••••• S••••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 19 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,203 to 1,202Aug 13, 2025 to Feb 19, 2026
- BD registered reps · 20 to 19Aug 13, 2025 to Feb 19, 2026
- Corporate clients · 138 to 144Aug 13, 2025 to Feb 19, 2026
- HNW clients · 34 to 33Aug 13, 2025 to Feb 19, 2026
- Individual clients · 1,031 to 1,025Aug 13, 2025 to Feb 19, 2026
- Employees · 20 to 19Aug 13, 2025 to Feb 19, 2026
- State-registered IARs · 20 to 19Aug 13, 2025 to Feb 19, 2026
- Discretionary RAUM · $545M to $530MAug 13, 2025 to Feb 19, 2026
- HNW RAUM · $225M to $224MAug 13, 2025 to Feb 19, 2026
- Individual RAUM · $263M to $248MAug 13, 2025 to Feb 19, 2026
- RAUM · $545M to $530MAug 13, 2025 to Feb 19, 2026
- Financial planning clients · 0 to 0Jun 3, 2025 to Aug 13, 2025
- Accounts · 1,242 to 1,203Mar 28, 2024 to Mar 27, 2025
- Advisory employees · 11 to 10Mar 28, 2024 to Mar 27, 2025
- BD registered reps · 22 to 20Mar 28, 2024 to Mar 27, 2025
- Corporate clients · 144 to 138Mar 28, 2024 to Mar 27, 2025
- HNW clients · 36 to 34Mar 28, 2024 to Mar 27, 2025
- Individual clients · 1,062 to 1,031Mar 28, 2024 to Mar 27, 2025
- Employees · 22 to 20Mar 28, 2024 to Mar 27, 2025
- State-registered IARs · 22 to 20Mar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $438M to $545MMar 28, 2024 to Mar 27, 2025
- HNW RAUM · $181M to $225MMar 28, 2024 to Mar 27, 2025
- Individual RAUM · $213M to $263MMar 28, 2024 to Mar 27, 2025
- RAUM · $438M to $545MMar 28, 2024 to Mar 27, 2025
- Accounts · 1,235 to 1,242May 24, 2023 to Mar 26, 2024
- BD registered reps · 23 to 22May 24, 2023 to Mar 26, 2024
- Corporate clients · 147 to 144May 24, 2023 to Mar 26, 2024
- HNW clients · 40 to 36May 24, 2023 to Mar 26, 2024
- Individual clients · 1,048 to 1,062May 24, 2023 to Mar 26, 2024
- Employees · 23 to 22May 24, 2023 to Mar 26, 2024
- State-registered IARs · 21 to 22May 24, 2023 to Mar 26, 2024
- Discretionary RAUM · $461M to $438MMay 24, 2023 to Mar 26, 2024
- HNW RAUM · $185M to $181MMay 24, 2023 to Mar 26, 2024
- Individual RAUM · $231M to $213MMay 24, 2023 to Mar 26, 2024
- RAUM · $461M to $438MMay 24, 2023 to Mar 26, 2024
- Advisory employees · 12 to 11Mar 3, 2023 to May 1, 2023
- BD registered reps · 24 to 23Mar 3, 2023 to May 1, 2023
- Employees · 24 to 23Mar 3, 2023 to May 1, 2023
- Accounts · 1,192 to 1,235Nov 3, 2022 to Mar 3, 2023
- BD registered reps · 23 to 24Nov 3, 2022 to Mar 3, 2023
Signals
4 dated events
- G••••• S••••••••• L•• reported RAUM $461.4M, down 35% from $710.1M (2022-11-03 to 2023-03-03)Mar 3, 2023 · RAUM change · derived
- G••••• S••••••••• L•• reported 21 state-registered advisory representatives, up from 0 (2021-10-20 to 2022-02-24)Feb 24, 2022 · Advisor headcount change · derived
- G••••• S••••••••• L•• reported RAUM $689.4M, up 78% from $388.1M (2020-08-17 to 2021-03-02)Mar 2, 2021 · RAUM change · derived
- G••••• S••••••••• L•• reported RAUM $408.9M, up 82% from $224.4M (2018-05-08 to 2018-10-24)Oct 24, 2018 · RAUM change · derived
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
- Business email
- c•••••••••@g••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 212-554-5000reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 212-554-5007reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 212-554-5006reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/gagnon-securities/posts/?feedView=allreportedpublic record, Form ADV, Sep 21, 2026
- Website
- G•••••SEC.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-554-5000reportedpublic record, Form ADV, Aug 12, 2026
- Contact form
- g••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- g••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $27.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026