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
Gardner Lewis Asset Management LP
Latest filing Jul 21, 2026
First filing on the tape Mar 29, 2012 · 27 filings
SEC status approved since Apr 2, 1990
RAUM
$456M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.7%
$3.3M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$456M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$456M as of Jul 21, 2026
Mar 29, 2012$375M then
HNW client RAUM$3.3M as of Jul 21, 2026
Mar 29, 2018$3.5M then
State-registered IARs (5.B.3)1 as of Jul 21, 2026
Mar 29, 20120 then
Employees (5.A)8 as of Jul 21, 2026
Mar 26, 201316 then
Private funds5 as of Jul 21, 2026
Mar 29, 20124 then
RAUM +6.0% over the last fiscal year+10% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jul 21, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $456MderivedRAUM 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
- $28.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 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
- Custody
- $69.7M, 3 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$355M78%
- Corporations and businesses$50.2M11%
- Investment companies$47.9M10%
- High-net-worth individuals$3.3M0.7%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 16reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $69.7M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.01 fund_share=0.88 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| William Whitfield Gardner | Chadds Ford, Pa | Nov 18, 2002 | 36 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
- John Stuart Larson to Mdt Advisers, A Division Of Federated Mdta LLCFeb 13, 2012 · Other
- Christopher Todd Valerio to Hirtle & Co., LLCMar 1, 2004 · Other
Joined, latest
none on the tape
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Gardner Lewis Fund, LP | Hedge Fund | $76.1M | 13 | Mar 29, 2012 |
| Gardner Lewis Event Driven Fund, L.P. | Hedge Fund | $60.8M | 6 | Mar 29, 2016 |
| Gl Event And Special Situations Master Fund, Ltd | Hedge Fund | $28.5M | 12 | Mar 31, 2017 |
| Gardner Lewis Merger Arbitrage Offshore Fund, Ltd.no longer reported | Hedge Fund | $12.5M | 2 | Mar 29, 2016 |
| Gardner Lewis Merger Arbitrage Fund, LP | Hedge Fund | $11.6M | 10 | Mar 29, 2012 |
| Gl Event And Special Situation Holdings, LLC | Hedge Fund | $7.8M | 2 | Mar 29, 2019 |
| Gardner Lewis Merger Arbitrage Master Fund, LP | Hedge Fund | $99,675 | 2 | Mar 29, 2012 |
| Gardner Lewis Merger Arbitrage Fund II, LPno longer reported | Hedge Fund | $26,765 | 1 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Whitfield William Gardner · Limited Partnercontrolsince 09/1994 · owns 75% or more
- Whitfield William Gardner · Chairman & Ceocontrolsince 09/1994 · owns 75% or more of Gardner Lewis Asset Management, Inc.
- M Denise Caruso · Ccosince 10/2022 · owns less than 5%
Entity owners
- Gardner Lewis Asset Management, Inc. · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- Gardner Lewis Partners, LLCpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Pooled vehicle clients · 9 to 11May 21, 2025 to Mar 27, 2026
- Assets in custody · $0 to $69.7MMay 21, 2025 to Mar 27, 2026
- Employees · 9 to 8May 21, 2025 to Mar 27, 2026
- Discretionary RAUM · $431M to $456MMay 21, 2025 to Mar 27, 2026
- HNW RAUM · $3.3M to $3.3MMay 21, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $336M to $355MMay 21, 2025 to Mar 27, 2026
- RAUM · $431M to $456MMay 21, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 0Mar 26, 2025 to May 21, 2025
- Accounts · 18 to 16Aug 14, 2024 to Mar 26, 2025
- Advisory employees · 6 to 5Aug 14, 2024 to Mar 26, 2025
- Pooled vehicle clients · 11 to 9Aug 14, 2024 to Mar 26, 2025
- Employees · 10 to 9Aug 14, 2024 to Mar 26, 2025
- Private funds · 6 to 5Aug 14, 2024 to Mar 26, 2025
- Discretionary RAUM · $357M to $431MAug 14, 2024 to Mar 26, 2025
- HNW RAUM · $3.4M to $3.3MAug 14, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $269M to $336MAug 14, 2024 to Mar 26, 2025
- RAUM · $357M to $431MAug 14, 2024 to Mar 26, 2025
- Discretionary RAUM · $342M to $357MJun 7, 2023 to Mar 22, 2024
- HNW RAUM · $3.1M to $3.4MJun 7, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $268M to $269MJun 7, 2023 to Mar 22, 2024
- RAUM · $342M to $357MJun 7, 2023 to Mar 22, 2024
- Discretionary RAUM · $561M to $342MOct 13, 2022 to Mar 28, 2023
- HNW RAUM · $5.1M to $3.1MOct 13, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $452M to $268MOct 13, 2022 to Mar 28, 2023
- RAUM · $561M to $342MOct 13, 2022 to Mar 28, 2023
- Advisory employees · 7 to 6Jun 10, 2021 to Mar 30, 2022
- Employees · 12 to 10Jun 10, 2021 to Mar 30, 2022
- Discretionary RAUM · $562M to $561MJun 10, 2021 to Mar 30, 2022
- HNW RAUM · $4.9M to $5.1MJun 10, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $459M to $452MJun 10, 2021 to Mar 30, 2022
- RAUM · $562M to $561MJun 10, 2021 to Mar 30, 2022
- Accounts · 19 to 18Jun 30, 2020 to Mar 29, 2021
- Corporate clients · 4.0 to unsetJun 30, 2020 to Mar 29, 2021
- HNW clients · 2.0 to unsetJun 30, 2020 to Mar 29, 2021
- Pension plan clients · 1.0 to unsetJun 30, 2020 to Mar 29, 2021
- Discretionary RAUM · $766M to $562MJun 30, 2020 to Mar 29, 2021
- HNW RAUM · $3.9M to $4.9MJun 30, 2020 to Mar 29, 2021
- Pension RAUM · 9954285.0 to unsetJun 30, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $668M to $459MJun 30, 2020 to Mar 29, 2021
- RAUM · $766M to $562MJun 30, 2020 to Mar 29, 2021
Signals
3 dated events
- Gardner Lewis Asset Management Lp reported RAUM $342.2M, down 39% from $561.3M (2022-10-13 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- Gardner Lewis Asset Management Lp reported RAUM $561.8M, down 27% from $765.9M (2020-06-30 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- Gardner Lewis Asset Management Lp reported RAUM $765.9M, down 37% from $1.2B (2019-07-26 to 2020-03-17)Mar 17, 2020 · 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
- Website
- GARDNERLEWIS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 610-558-2800reportedpublic record, Form ADV, Jul 21, 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
- $456Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026