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.
SEC-registered adviser
Gamco Asset Management Inc.
Latest filing Mar 31, 2026
First filing on the tape Dec 21, 2011 · 21 filings
SEC status approved since Sep 5, 1978
RAUM
$12B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
40%
$4.6B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$1.2B
derived; firm RAUM over IAPD count
Employees
120
45 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
1
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$12B as of Mar 31, 2026
Mar 28, 2012$13B then
HNW client RAUM$4.6B as of Mar 31, 2026
Mar 29, 2018$4.3B then
State-registered IARs (5.B.3)6 as of Mar 31, 2026
Mar 27, 201315 then
Employees (5.A)120 as of Mar 31, 2026
Mar 27, 201345 then
Private funds1 as of Mar 31, 2026
Mar 27, 20131 then
RAUM +12% over the last fiscal year+3.3% a year over threeIARs 6 to 6offices 5 to 6
Practice profile
derived from the filing of Mar 31, 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)
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $1.2BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 176derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $5.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 20%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 12.0derivedItem 5.A over advisors
- Advisors per office
- 1.4derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +33%derived
- Compensation
- percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $331M, 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 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- 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
- High-net-worth individuals$4.6B40%
- Investment companies$4.4B38%
- Charitable organizations$1.2B10%
- Pension and profit-sharing plans$612M5.2%
- State and municipal entities$468M4.0%
- Corporations and businesses$365M3.1%
- Individual clients
- 0reported
- HNW clients
- 1,757reported
- Pension plan clients
- 50reported
- Charitable clients
- 149reported
- Accounts
- 2,042reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $264M managedreported
- Custody of client assets
- $331M for 1 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.4 fund_share=0.38 institutional_share=0.2 related_bd=true related_bank=false bd_reps=68.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Douglas Richard Jamieson | Rye, Ny | Jan 28, 2000 | 38 y | 0 |
| Mario Joseph GabelliChartered Financial Analyst | Rye, Ny | Jan 28, 2000 | 49 y | 0 |
| Regina Marie Pitaro | Rye, Ny | Jan 28, 2000 | 42 y | 0 |
| Howard Frank WardChartered Financial Analyst | Rye, Ny | Feb 29, 2000 | 43 y | 0 |
| Anne E. MorrissyChartered Financial Analyst | Bannockburn, Il | Oct 4, 2005 | 26 y | 0 |
| Michael Albert Accinelli | Greenwich, Ct | Mar 24, 2006 | 25 y | 1 |
| Wayne Christopher PinsentChartered Financial Analyst | Greenwich, Ct | Jul 16, 2008 | 20 y | 0 |
| Robert Douglas Leininger | Greenwich, Ct | Oct 6, 2010 | 36 y | 2 |
| Peter Alexandrovich Tcherepnine | Greenwich, Ct | Jun 21, 2019 | 44 y | 2 |
| John J. Phelan | Greenwich, Ct | Oct 19, 2021 | 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
- Christopher Hart to J.P. Morgan Securities LLCOct 18, 2021 · RIA to wirehouse
- William John Gilcher to UBS Financial Services Inc.Mar 15, 2012 · Other
- Ryan Bartholomew Lacedonia to E*Trade Capital Management, LLCApr 8, 2010 · Other
Joined, latest
- Peter Alexandrovich Tcherepnine from Loeb Partners CorporationJun 21, 2019 · RIA to RIA
- Robert Douglas Leininger from Copeland Capital Management, LLCOct 6, 2010 · Other
- William John Gilcher from Nmf Asset Management, LLCSep 27, 2010 · Other
- Michael Albert Accinelli from Wells Fargo AdvisorsMar 24, 2006 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Gabelli Performance Partnership | Hedge Fund | $331M | 27 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Douglas Kieran Caterina · Co Chief Accounting Officercontrolsince 03/2012 · owns less than 5%
- Christopher Desmarais · Managing Director, Directorcontrolsince 01/2010 · owns less than 5%
- Vaughn Kevin Dreyer · Managing Director, Co-Cio Valuecontrolsince 01/2015 · owns less than 5%
- Joseph Mario Gabelli · Chief Executive Officer And Chief Investment Officer - Value Portfolio, Majority Shareholder Of Ultimate Parent Companycontrolsince 11/1976 · owns less than 5%
- Marc David Goldman · General Counsel, Secretary & Chief Compliance Officercontrolsince 12/2011 · owns less than 5%
- Douglas Jamieson · President, Chief Operating Officer, Managingcontrolsince 03/1981 · owns less than 5%
- Christopher Marangi · Managing Director, Co-Cio Valuecontrolsince 01/2015 · owns less than 5%
- Elihu David Ourlicht · Managing Directorcontrolsince 05/2010 · owns less than 5%
- Marie Regina Pitaro · Managing Director, Directorcontrolsince 12/1984 · owns less than 5%
- Mason Paul Swirbul · Managing Director, Directorcontrolsince 01/2010 · owns less than 5%
- Joseph Mario Gabelli · Ceo, Director And The Majority Shareholder Of Common Stockcontrolsince 11/1976 · owns 75% or more of Ggcp, Inc.
- Frank Howard Ward · Chief Investment Officer-Growth Portfolios Officersince 01/2005 · owns less than 5%
Entity owners
- Gamco Investors, Inc. · Shareholder-100% Owner Of Applicantdirect · owns 75% or more
- Ggcp Holdings LLC · Majority Shareholder Of The Class B Common Stockindirect · owns 75% or more of Gamco Investors, Inc.
- Ggcp, Inc. · Manager And Memberindirect · owns 75% or more of Ggcp Holdings LLC
Related persons
Schedule D 7.A
- G.Distributors, LLCbroker-dealery
- G.Research, LLCbroker-dealern
- Gabelli & Company Investment Advisers, Inc.investment adviserpooled vehicle sponsornRAUM $1.5B
- Gabelli Funds, LLCinvestment advisernRAUM $25B
- Gabelli Securities International (Uk) Limitedpooled vehicle sponsorn
- Gabelli Securities International Limited Bermudapooled vehicle sponsorn
- Gamco Asset Management (Uk) Ltd.investment advisern
- G-Legion, LLCinvestment adviseryRAUM $12.6M
- Mjg Associatespooled vehicle sponsorn
- Teton Advisors, LLCinvestment advisernRAUM $251M
Advisers that list Gamco Asset Management Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Greenwich, Ct · principal | 5 | 0 | 0 | ||
| Rye, Ny | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Greenwich, CT3 employees
- Morristown, NJ2 employees
- Palm Beach, FL2 employees
- Reno, NV2 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 31, 2026CATERINA, KIERAN, DOUGLAS (CO CHIEF ACCOUNTING OFFICER) left Schedule A between the filings of 2024-03-26 and 2026-03-31peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Mar 31, 2026GOLDMAN, DAVID, MARC (GENERAL COUNSEL, SECRETARY & CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-03-26 and 2026-03-31peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 1,601 to 2,042Jul 10, 2025 to Mar 31, 2026
- Advisory employees · 46 to 45Jul 10, 2025 to Mar 31, 2026
- BD registered reps · 70 to 68Jul 10, 2025 to Mar 31, 2026
- Charity clients · 152 to 149Jul 10, 2025 to Mar 31, 2026
- Corporate clients · 65 to 68Jul 10, 2025 to Mar 31, 2026
- HNW clients · 1,814 to 1,757Jul 10, 2025 to Mar 31, 2026
- Pension plan clients · 60 to 50Jul 10, 2025 to Mar 31, 2026
- Assets in custody · $306M to $331MJul 10, 2025 to Mar 31, 2026
- Employees · 112 to 120Jul 10, 2025 to Mar 31, 2026
- Discretionary RAUM · $11B to $12BJul 10, 2025 to Mar 31, 2026
- HNW RAUM · $4.3B to $4.6BJul 10, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $26.2M to $24.8MJul 10, 2025 to Mar 31, 2026
- Pension RAUM · $696M to $612MJul 10, 2025 to Mar 31, 2026
- RAUM · $11B to $12BJul 10, 2025 to Mar 31, 2026
- Wrap assets (manager) · $282M to $264MJul 10, 2025 to Mar 31, 2026
- Accounts · 1,590 to 1,601Mar 27, 2025 to Jul 10, 2025
- Advisory employees · 39 to 46Mar 27, 2025 to Jul 10, 2025
- Charity clients · 146 to 152Mar 27, 2025 to Jul 10, 2025
- Corporate clients · 55 to 65Mar 27, 2025 to Jul 10, 2025
- HNW clients · 1,320 to 1,814Mar 27, 2025 to Jul 10, 2025
- Pension plan clients · 51 to 60Mar 27, 2025 to Jul 10, 2025
- Employees · 105 to 112Mar 27, 2025 to Jul 10, 2025
- Financial planning clients · 0 to 0Mar 27, 2025 to Jul 10, 2025
- HQ city · RYE to GREENWICHMar 27, 2025 to Jul 10, 2025
- HQ state · NY to CTMar 27, 2025 to Jul 10, 2025
- Other offices · 5 to 6Mar 27, 2025 to Jul 10, 2025
- Discretionary RAUM · $10B to $11BMar 27, 2025 to Jul 10, 2025
- HNW RAUM · $3.9B to $4.3BMar 27, 2025 to Jul 10, 2025
- Pension RAUM · $635M to $696MMar 27, 2025 to Jul 10, 2025
- RAUM · $10B to $11BMar 27, 2025 to Jul 10, 2025
- Accounts · 1,651 to 1,590Mar 26, 2024 to Mar 27, 2025
- Advisory employees · 36 to 39Mar 26, 2024 to Mar 27, 2025
- BD registered reps · 72 to 70Mar 26, 2024 to Mar 27, 2025
- Charity clients · 144 to 146Mar 26, 2024 to Mar 27, 2025
- Corporate clients · 56 to 55Mar 26, 2024 to Mar 27, 2025
- HNW clients · 1,377 to 1,320Mar 26, 2024 to Mar 27, 2025
- Pension plan clients · 58 to 51Mar 26, 2024 to Mar 27, 2025
- Assets in custody · $272M to $306MMar 26, 2024 to Mar 27, 2025
- Other offices · 4 to 5Mar 26, 2024 to Mar 27, 2025
- Discretionary RAUM · $10B to $10BMar 26, 2024 to Mar 27, 2025
Signals
3 dated events
- Mason Paul Swirbul (Managing Director, Director) appeared on Schedule A of Gamco Asset Management Inc.Mar 26, 2024 · Control person joined · fact
- S William Selby (Managing Director, Director) no longer on Schedule A of Gamco Asset Management Inc. (listed 2019-03-28, absent 2020-03-26)Mar 26, 2020 · Control person left · inference
- Gamco Asset Management Inc. reported RAUM $13.0B, down 31% from $18.9B (2018-03-29 to 2019-03-28)Mar 28, 2019 · 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
- info@gabelli.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- clarosa@gabelli.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- closedend@gabelli.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jmusselwhite@gabelli.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- pswirbul@gabelli.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- sicavinfo@gabelli.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- cdesmarais@gabelli.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- tpope@gabelli.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 312-786-5050reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 314-238-1314reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 775-333-0360reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/INVESTGABELLIreportedpublic record, Form ADV, Sep 17, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.2Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026