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
Teton Advisors, LLC
Latest filing Mar 30, 2026
First filing on the tape Dec 15, 2011 · 34 filings
SEC status approved since Oct 6, 1994
RAUM
$251M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$251M as of Mar 30, 2026
Mar 29, 2012$846M then
HNW client RAUM$8.4M as of Nov 12, 2025
Mar 30, 2023$15.2M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 29, 20120 then
Employees (5.A)5 as of Mar 30, 2026
Mar 27, 201311 then
Private funds: no history
RAUM -24% over the last fiscal year-24% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $83.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -24%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, 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$251M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
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
- Francis Nicola Galluccio · Chairmancontrolsince 12/2021 · owns less than 5%
- Carl Casey Haars · Chief Financial Officercontrolsince 03/2024 · owns less than 5%
- Renee Tiffany Hayden · Chief Compliance Officercontrolsince 01/2022 · owns less than 5%
- Singh Manjit Kalha · Vice President Financecontrolsince 03/2023 · owns less than 5%
- Charles Mark Majewski · Associate Compliance Officercontrolsince 03/2023 · owns less than 5%
- Anand Rawani · Risk Management / Esgcontrolsince 03/2023 · 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.
Entity owners
- Teton Advisors, Inc. · Sole Memberdirect · owns 75% or more
- Ggcp, Inc. · Shareholder Of Class A And B Common Stockindirect · owns 50% to 75% of Teton Advisors, Inc.
Related persons
Schedule D 7.A
- G.Distributors, LLCbroker-dealern
- 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
- Gamco Asset Management (Uk) Ltd.investment advisern
- Gamco Asset Management Inc.investment advisernRAUM $12B
- G-Legion, LLCinvestment adviseryRAUM $12.6M
- Teton Advisors, Inc.pooled vehicle sponsory
Advisers that list Teton Advisors, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Mar 30, 2026employees (Item 5.A) moved from 10.0 to 5.0 (-50.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was 0.0% (393 comparable advisers, 2.0th percentile of changes)peers: asset managers, $100M to $500M (393) · 2.3% percentile
What changed
consecutive filings, newest first
- Accounts · 18 to 3Nov 12, 2025 to Mar 30, 2026
- Advisory employees · 4 to 1Nov 12, 2025 to Mar 30, 2026
- BD registered reps · 3 to 1Nov 12, 2025 to Mar 30, 2026
- HNW clients · 14.0 to unsetNov 12, 2025 to Mar 30, 2026
- Employees · 10 to 5Nov 12, 2025 to Mar 30, 2026
- State-registered IARs · 1 to 0Nov 12, 2025 to Mar 30, 2026
- Discretionary RAUM · $330M to $251MNov 12, 2025 to Mar 30, 2026
- HNW RAUM · 8368412.0 to unsetNov 12, 2025 to Mar 30, 2026
- RAUM · $330M to $251MNov 12, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0Jun 10, 2025 to Nov 12, 2025
- Accounts · 15 to 18Aug 20, 2024 to Mar 31, 2025
- BD registered reps · 2 to 3Aug 20, 2024 to Mar 31, 2025
- HNW clients · 11 to 14Aug 20, 2024 to Mar 31, 2025
- Discretionary RAUM · $457M to $330MAug 20, 2024 to Mar 31, 2025
- HNW RAUM · $5.3M to $8.4MAug 20, 2024 to Mar 31, 2025
- RAUM · $457M to $330MAug 20, 2024 to Mar 31, 2025
- Employees · 9 to 10Dec 21, 2023 to Mar 28, 2024
- Discretionary RAUM · $570M to $457MDec 21, 2023 to Mar 28, 2024
- HNW RAUM · $15.2M to $5.3MDec 21, 2023 to Mar 28, 2024
- RAUM · $570M to $457MDec 21, 2023 to Mar 28, 2024
- Accounts · 4 to 15Feb 28, 2022 to Mar 30, 2023
- Advisory employees · 0 to 4Feb 28, 2022 to Mar 30, 2023
- Advisory activities · 2 to 3Feb 28, 2022 to Mar 30, 2023
- HNW clients · unset to 11.0Feb 28, 2022 to Mar 30, 2023
- Employees · 5 to 9Feb 28, 2022 to Mar 30, 2023
- State-registered IARs · 0 to 1Feb 28, 2022 to Mar 30, 2023
- Discretionary RAUM · $869M to $570MFeb 28, 2022 to Mar 30, 2023
- HNW RAUM · unset to 15196119.0Feb 28, 2022 to Mar 30, 2023
- RAUM · $869M to $570MFeb 28, 2022 to Mar 30, 2023
- Succession · true to falseFeb 28, 2022 to Mar 30, 2023
- Business name · TETON ADVISORS, INC. to TETON ADVISORS, LLCJan 31, 2022 to Feb 28, 2022
- Legal name · TETON ADVISORS, INC. to TETON ADVISORS, LLCJan 31, 2022 to Feb 28, 2022
- Succession · false to trueJan 31, 2022 to Feb 28, 2022
- Accounts · 6 to 4Oct 7, 2021 to Jan 31, 2022
- Advisory employees · 2 to 0Oct 7, 2021 to Jan 31, 2022
- HQ city · RYE to GREENWICHOct 7, 2021 to Jan 31, 2022
- HQ state · NY to CTOct 7, 2021 to Jan 31, 2022
- Organization form · Corporation to Limited Liability CompanyOct 7, 2021 to Jan 31, 2022
- Discretionary RAUM · $932M to $869MOct 7, 2021 to Jan 31, 2022
- RAUM · $932M to $869MOct 7, 2021 to Jan 31, 2022
Signals
17 dated events
- Teton Advisors, Llc reported RAUM $330.1M, down 28% from $456.9M (2024-08-20 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Gerard Stephen Bondi (Chief Executive Officer) no longer on Schedule A of Teton Advisors, Llc (listed 2024-03-28, absent 2024-08-20)Aug 20, 2024 · Control person left · inference
- Gerard Stephen Bondi (Chief Executive Officer) appeared on Schedule A of Teton Advisors, LlcMar 28, 2024 · Control person joined · fact
- Teton Advisors, Llc reported RAUM $569.6M, down 34% from $868.6M (2022-02-28 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Casey Haars (Controller / Chief Financial Officer) appeared on Schedule A of Teton Advisors, LlcMar 30, 2023 · Control person joined · fact
- Joseph Marc Gabelli (Chief Executive Officer) no longer on Schedule A of Teton Advisors, Llc (listed 2022-02-28, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Bernard Patrick Huvane (Treasurer And Chief Financial Officer) no longer on Schedule A of Teton Advisors, Llc (listed 2022-02-28, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Singh Manjit Kalha (Executive Vice President Finance) appeared on Schedule A of Teton Advisors, LlcMar 30, 2023 · Control person joined · fact
- Charles Mark Majewski (Associate Compliance Officer) appeared on Schedule A of Teton Advisors, LlcMar 30, 2023 · Control person joined · fact
- Anand Rawani (Risk Management / Esg) appeared on Schedule A of Teton Advisors, LlcMar 30, 2023 · Control person joined · fact
- Teton Advisors, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Feb 28, 2022 · Succession (Item 4) · fact
- Matthew Kevin Keeley (Director) no longer on Schedule A of Teton Advisors, Llc (listed 2021-10-07, absent 2022-01-31)Jan 31, 2022 · Control person left · inference
- Broggi Deanna Marotz (Chief Compliance Officer) no longer on Schedule A of Teton Advisors, Llc (listed 2021-06-30, absent 2021-10-07)Oct 7, 2021 · Control person left · inference
- Bernard Patrick Huvane (Chief Financial Officer) appeared on Schedule A of Teton Advisors, LlcMay 13, 2019 · Control person joined · fact
- Nmn Michael Mancuso (Chief Financial Officer) no longer on Schedule A of Teton Advisors, Llc (listed 2019-04-30, absent 2019-05-13)May 13, 2019 · Control person left · inference
- Joseph Marc Gabelli (Executive Chairman) appeared on Schedule A of Teton Advisors, LlcMar 25, 2019 · Control person joined · fact
- Matthew Kevin Keeley (Director) appeared on Schedule A of Teton Advisors, LlcMar 25, 2019 · Control person joined · fact
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
- TETONADV.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 914-457-1070reportedpublic record, Form ADV, Mar 30, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026