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•••••• F••••• L••
Latest filing Jul 14, 2026
First filing on the tape Jan 5, 2012 · 26 filings
SEC status approved since Nov 16, 1990
RAUM
$25B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$8.2B
derived; firm RAUM over IAPD count
Employees
56
47 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
4
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$25B as of Jul 14, 2026
Mar 29, 2012$20B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 14, 2026
Mar 29, 20120 then
Employees (5.A)56 as of Jul 14, 2026
Mar 28, 201337 then
Private funds4 as of Jul 14, 2026
Mar 29, 20162 then
RAUM +12% over the last fiscal year+8.3% a year over threeIARs 0 to 0offices 1 to 2
Practice profile
derived from the filing of Jul 14, 2026; every figure names its basis
- RAUM per advisor
- $8.2BderivedRAUM 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
- $455MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 18.7derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, 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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$24B97%
- Pooled investment vehicles$634M2.6%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 54reported
- Financial planning clients
- 0reported
- 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=true related_bank=true bd_reps=44.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• H••••• M•••••••• | Rye, Ny | Mar 17, 2023 | 12 y | 0 |
| P••••••• C••••• S•••• | Rye, Ny | Jun 13, 2024 | 14 y | 0 |
| K••••••••• S••••• K•••• | Reno, Nv | May 6, 2025 | 12 y | 1 |
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 headcount1 left over 36 months
Left, latest
- R•••••• J••••• N•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 28, 2024 · Other
Joined, latest
- K••••••••• S••••• K•••• from C••••••• C•••••• M••••••••• I•••May 6, 2025 · Other
- R•••••• J••••• N•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jan 3, 2024 · Other
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•••• M••••• A•••••••• | Other Private Fund | $628M | 254 | Mar 29, 2016 |
| G•••••• V•••• P••• T••••• P••no longer reported | Hedge Fund | $199M | 177 | Mar 30, 2018 |
| G•••••• M••••• P•••• T•••• P•• | Other Private Fund | $72.8M | 20 | Mar 30, 2018 |
| G•••• C••••••••• S••••••••• | Other Private Fund | $6.2M | 15 | Nov 24, 2021 |
| G•••• A•• C•• V•••• | Other Private Fund | $4.4M | 17 | Mar 29, 2016 |
Owners and control persons
Schedule A and B, latest filing
- B•••• J•••• C•••••• · Senior Vice President, Fund Administrationcontrolsince 01/2020 · owns less than 5%
- C•••••••• K•••••• D•••••• · Chief Accounting Officercontrolsince 03/2012 · owns less than 5%
- G••••••• M••••• J••••• · Chief Investment Officercontrolsince 02/1999 · owns less than 5%
- G••••••• D••••• M••• · Vice President, Corporate Developmentcontrolsince 01/2011 · owns less than 5%
- W•••• R••••••• J••• · Chief Compliance Officercontrolsince 03/2015 · owns less than 5%
- G••••••• M••••• J••••• · Ceo, Director And Shareholder Of Common Stockcontrolsince 11/1976 · owns 75% or more of G•••• I•••
Entity owners
- G•••• I••••••••• I••• · Sole Memberdirect · owns 75% or more
- G••• H••••••• L•• · Majority Shareholder Of The Class B Common Stockindirect · owns 75% or more of G•••• I••••••••• I•••
- G•••• I••• · Manager And Memberindirect · owns 75% or more of G••• H••••••• L••
Related persons
Schedule D 7.A
- G••••••••• L••broker-dealern
- G••••••••• L••broker-dealern
- G•••••• • C•••••• I••••••••• A•••••••• I•••investment adviserbankpooled vehicle sponsornRAUM $1.5B
- G•••••• • P•••••••• L••pooled vehicle sponsorn
- G•••••• S••••••••• I••••••••• L•••••• ••••••••pooled vehicle sponsorn
- G•••••• S••••••••• I••••••••• U• L••••••investment advisern
- G•••• A•••• M••••••••• ••• L•••investment advisern
- G•••• A•••• M••••••••• I•••investment advisernRAUM $12B
- G-Legion, LLCinvestment advisernRAUM $12.6M
- M•• A•••••••••pooled vehicle sponsorn
- T•••• A•••••••• I•••pooled vehicle sponsorn
- T•••• A•••••••• L••investment advisernRAUM $251M
Advisers that list G•••••• F••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Rye, Ny · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Morristown, NJ2 employees
What changed
consecutive filings, newest first
- Accounts · 51 to 54Jun 6, 2025 to Mar 31, 2026
- Advisory employees · 48 to 47Jun 6, 2025 to Mar 31, 2026
- Employees · 58 to 56Jun 6, 2025 to Mar 31, 2026
- Discretionary RAUM · $22B to $25BJun 6, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $498M to $634MJun 6, 2025 to Mar 31, 2026
- RAUM · $22B to $25BJun 6, 2025 to Mar 31, 2026
- Accounts · 48 to 51Mar 27, 2025 to Jun 6, 2025
- Advisory employees · 46 to 48Mar 27, 2025 to Jun 6, 2025
- BD registered reps · 43 to 44Mar 27, 2025 to Jun 6, 2025
- Employees · 60 to 58Mar 27, 2025 to Jun 6, 2025
- Financial planning clients · 0 to 0Mar 27, 2025 to Jun 6, 2025
- Other offices · 1 to 2Mar 27, 2025 to Jun 6, 2025
- Discretionary RAUM · $22B to $22BMar 27, 2025 to Jun 6, 2025
- Pooled vehicle RAUM · $492M to $498MMar 27, 2025 to Jun 6, 2025
- RAUM · $22B to $22BMar 27, 2025 to Jun 6, 2025
- Advisory employees · 43 to 46May 17, 2024 to Mar 27, 2025
- BD registered reps · 39 to 43May 17, 2024 to Mar 27, 2025
- Employees · 58 to 60May 17, 2024 to Mar 27, 2025
- Discretionary RAUM · $21B to $22BMay 17, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $711M to $492MMay 17, 2024 to Mar 27, 2025
- RAUM · $21B to $22BMay 17, 2024 to Mar 27, 2025
- Accounts · 47 to 48Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 45 to 43Mar 31, 2023 to Mar 29, 2024
- BD registered reps · 42 to 39Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $19B to $21BMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $964M to $711MMar 31, 2023 to Mar 29, 2024
- RAUM · $19B to $21BMar 31, 2023 to Mar 29, 2024
- Accounts · 45 to 47Mar 29, 2022 to Mar 31, 2023
- Advisory employees · 41 to 45Mar 29, 2022 to Mar 31, 2023
- BD registered reps · 39 to 42Mar 29, 2022 to Mar 31, 2023
- Employees · 59 to 58Mar 29, 2022 to Mar 31, 2023
- Discretionary RAUM · $23B to $19BMar 29, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $963M to $964MMar 29, 2022 to Mar 31, 2023
- RAUM · $23B to $19BMar 29, 2022 to Mar 31, 2023
- Accounts · 44 to 45Nov 24, 2021 to Mar 29, 2022
- BD registered reps · 31 to 39Nov 24, 2021 to Mar 29, 2022
- Pooled vehicle clients · 3 to 2Nov 24, 2021 to Mar 29, 2022
- Insurance-licensed employees · 6 to 5Nov 24, 2021 to Mar 29, 2022
- Discretionary RAUM · $21B to $23BNov 24, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $769M to $963MNov 24, 2021 to Mar 29, 2022
Signals
7 dated events
- R•••••• J••••• N•••••• left G•••••• F••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-09-09)Aug 28, 2024 · Advisor changed firm · fact
- N Bruce Alpert (Executive Vp And Coo) no longer on Schedule A of G•••••• F••••• L•• (listed 2022-03-29, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- D Peter Goldstein (General Counsel) no longer on Schedule A of G•••••• F••••• L•• (listed 2022-03-29, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- D Peter Goldstein (General Counsel) appeared on Schedule A of G•••••• F••••• L••Mar 29, 2021 · Control person joined · fact
- Chester John Ball (Senior Vice President, Fund Administration) appeared on Schedule A of G•••••• F••••• L••Mar 26, 2020 · Control person joined · fact
- Nora Agnes Mullady (Vice President Of G•••••• F••••• L•• And President And Coo Of The Fund Division) no longer on Schedule A of G•••••• F••••• L•• (listed 2019-03-28, absent 2020-03-26)Mar 26, 2020 · Control person left · inference
- Marie Diane Lapointe (Co-Chief Accounting Officer) no longer on Schedule A of G•••••• F••••• L•• (listed 2019-03-28, absent 2020-03-26)Mar 26, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- G•••••• F••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/INVESTG••••••reportedpublic record, Form ADV, Sep 18, 2026
- Website
- Gabelli.co.ukreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 914-921-5000reportedpublic record, Form ADV, Jul 14, 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
- $8.2Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026