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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Latest filing Aug 4, 2026
First filing on the tape Mar 30, 2012 · 36 filings
SEC status approved since Dec 11, 1989
RAUM
$1.5B
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
14
10 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
5
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$1.5B as of Aug 4, 2026
Mar 30, 2012$5.6B then
HNW client RAUM$0 as of Dec 22, 2025
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Aug 4, 2026
Mar 30, 20120 then
Employees (5.A)14 as of Aug 4, 2026
Mar 28, 201331 then
Private funds5 as of Aug 4, 2026
Mar 30, 20123 then
RAUM +28% over the last fiscal year+5.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 4, 2026; every figure names its basis
Archetypes, each a printed rule
- ocio i••••••••• advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- 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
- $134MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 57%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +35%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 businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
- 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
- Pension and profit-sharing plans$579M39%
- Pooled investment vehicles$547M37%
- Insurance companies$266M18%
- Corporations and businesses$82.6M5.6%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.37 institutional_share=0.57 related_bd=false related_bank=true bd_reps=5.0derived
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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•• S••• M•• T•••• R••••• | Securitized Asset Fund | $237M | 53 | Mar 31, 2023 |
| G•• I••••••••• D•••••••• I•••no longer reported | Hedge Fund | $109M | 1 | Mar 30, 2012 |
| G•• D•••••••• T•••••• I•••no longer reported | Hedge Fund | $102M | 2 | Mar 28, 2014 |
| G•• U• I••••••••• M••••••••• P••• I•••no longer reported | Hedge Fund | $84.8M | 1 | Mar 30, 2012 |
| G•• U• I••••••••• T•••••• I• L•••no longer reported | Hedge Fund | $20.7M | 1 | Mar 30, 2012 |
| G•• O••••••••• C••••• F••• L• | Other Private Fund | $20.3M | 6 | Mar 29, 2018 |
| G•• B•••••••• T•••• R••••• M••••• F•••no longer reported | Hedge Fund | $7.9M | 11 | Mar 31, 2015 |
| G•• M•••••••• A•• P••• | Securitized Asset Fund | $6.1M | 3 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• C•••• · Directorcontrolsince 03/2024 · owns less than 5%
- T••• N•••••••• S• · Directorcontrolsince 08/2023 · owns less than 5%
- T••••• M••••• L•••••• · Treasurer / Directorcontrolsince 11/2021 · owns less than 5%
- W•••••• I••• A••••• · Directorcontrolsince 08/2023 · owns less than 5%
- S••••••••• A•••• S••••••• · Chief Compliance Officersince 05/2023 · owns less than 5%
Entity owners
- G•• ••••••••• H•••••• A• · Shareholder Of Gam USAdirect · owns 75% or more
- G•• H•••••• A• · Shareholder Of G•• ••••••••• H•••••• A•indirect · owns 75% or more of G•• ••••••••• H•••••• A•
Related persons
Schedule D 7.A
- G•• ••••••• S•• S•••••pooled vehicle sponsorn
- G•• ••••••••• S•••pooled vehicle sponsorn
- G•• F••• M••••••••• L••••••pooled vehicle sponsorn
- G•• H••• K••• L••••••investment advisern
- G•• L••••• L••••••investment adviserbanknRAUM $9.4B
- G•• I••••••••• M••••••••• ••••••••• A•investment advisern
- G•• I••••••••• ••••••••• P•• L••investment advisern
- G•• J•••• L••••••investment advisern
- G•• L••••• L••••••investment advisern
- G•• S••••••• M••••••••• L••••••pooled vehicle sponsorn
- G•• S••••••••• L••investment adviserbanknRAUM $2.0B
Advisers that list G•• U•• I••• 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
- private fund count surgeChange between filings · filing Mar 31, 2026private funds (Schedule D 7.B.1) moved from 3.0 to 5.0 (+67.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was 0.0% (73 comparable advisers, 97.0th percentile of changes)peers: other advisers, $1B to $5B (73) · 97% percentile
What changed
consecutive filings, newest first
- Discretionary RAUM · $1.5B to $1.5BMar 31, 2026 to Jul 2, 2026
- Pooled vehicle RAUM · $620M to $547MMar 31, 2026 to Jul 2, 2026
- RAUM · $1.5B to $1.5BMar 31, 2026 to Jul 2, 2026
- Advisory employees · 4 to 10Dec 22, 2025 to Mar 31, 2026
- Charity clients · 1.0 to unsetDec 22, 2025 to Mar 31, 2026
- Corporate clients · 2 to 1Dec 22, 2025 to Mar 31, 2026
- HNW clients · 0.0 to unsetDec 22, 2025 to Mar 31, 2026
- Individual clients · 0.0 to unsetDec 22, 2025 to Mar 31, 2026
- Pooled vehicle clients · 2 to 5Dec 22, 2025 to Mar 31, 2026
- Employees · 11 to 14Dec 22, 2025 to Mar 31, 2026
- Private funds · 3 to 5Dec 22, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.1B to $1.5BDec 22, 2025 to Mar 31, 2026
- HNW RAUM · 0.0 to unsetDec 22, 2025 to Mar 31, 2026
- Individual RAUM · 0.0 to unsetDec 22, 2025 to Mar 31, 2026
- Pension RAUM · $544M to $579MDec 22, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $299M to $620MDec 22, 2025 to Mar 31, 2026
- RAUM · $1.1B to $1.5BDec 22, 2025 to Mar 31, 2026
- Accounts · 8 to 11May 29, 2024 to Mar 31, 2025
- Advisory employees · 3 to 4May 29, 2024 to Mar 31, 2025
- BD registered reps · 4 to 5May 29, 2024 to Mar 31, 2025
- Employees · 9 to 11May 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to May 29, 2024 to Mar 31, 2025
- Other offices · 0 to 3May 29, 2024 to Mar 31, 2025
- Private funds · 2 to 3May 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $984M to $1.1BMay 29, 2024 to Mar 31, 2025
- Pension RAUM · $409M to $544MMay 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $243M to $299MMay 29, 2024 to Mar 31, 2025
- RAUM · $984M to $1.1BMay 29, 2024 to Mar 31, 2025
- Accounts · 9 to 8Oct 30, 2023 to Mar 29, 2024
- BD registered reps · 6 to 4Oct 30, 2023 to Mar 29, 2024
- Assets in custody · 20328362.0 to unsetOct 30, 2023 to Mar 29, 2024
- Custody of client assets · true to falseOct 30, 2023 to Mar 29, 2024
- Employees · 13 to 9Oct 30, 2023 to Mar 29, 2024
- Private funds · 3 to 2Oct 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.3B to $984MOct 30, 2023 to Mar 29, 2024
- Pension RAUM · $417M to $409MOct 30, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $600M to $243MOct 30, 2023 to Mar 29, 2024
- RAUM · $1.3B to $984MOct 30, 2023 to Mar 29, 2024
- Related broker-dealer · true to falseOct 30, 2023 to Mar 29, 2024
- Accounts · 17 to 9Dec 16, 2022 to Mar 31, 2023
Signals
15 dated events
- G•• U•• I••• reported RAUM $1.5B, up 35% from $1.1B (2025-12-22 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- C•••• B••••• (Director) appeared on Schedule A of G•• U•• I•••May 29, 2024 · Control person joined · fact
- Andrew Ian Walker (Director) appeared on Schedule A of G•• U•• I•••Mar 29, 2024 · Control person joined · fact
- Kris Petar Mostarac (Director) no longer on Schedule A of G•• U•• I••• (listed 2023-05-02, absent 2023-10-30)Oct 30, 2023 · Control person left · inference
- S N••••••• Tan (Director) appeared on Schedule A of G•• U•• I•••Oct 30, 2023 · Control person joined · fact
- G•• U•• I••• reported RAUM $1.3B, down 37% from $2.0B (2022-12-16 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Ann Sharon Ingram (Chief Compliance Officer) no longer on Schedule A of G•• U•• I••• (listed 2021-11-22, absent 2022-02-23)Feb 23, 2022 · Control person left · inference
- Pierce Timothy Dana (Director) no longer on Schedule A of G•• U•• I••• (listed 2021-03-31, absent 2021-07-26)Jul 26, 2021 · Control person left · inference
- Kris Petar Mostarac (Director) appeared on Schedule A of G•• U•• I•••Mar 31, 2021 · Control person joined · fact
- David Andrew Higginson (Director) no longer on Schedule A of G•• U•• I••• (listed 2020-11-23, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Bunn Teresa Riggin (Director) no longer on Schedule A of G•• U•• I••• (listed 2020-05-21, absent 2020-11-23)Nov 23, 2020 · Control person left · inference
- David Andrew Higginson (Director) appeared on Schedule A of G•• U•• I•••Nov 23, 2020 · Control person joined · fact
- Adam Kenneth Dursht (General Counsel And Secretary) no longer on Schedule A of G•• U•• I••• (listed 2020-03-30, absent 2020-05-21)May 21, 2020 · Control person left · inference
- Elizabeth Marianne Gresio (Director - Managing Director, Business Development - North America) no longer on Schedule A of G•• U•• I••• (listed 2019-09-27, absent 2019-11-06)Nov 6, 2019 · Control person left · inference
- Elizabeth Marianne Gresio (Director - Managing Director, Business Development - North America) appeared on Schedule A of G•• U•• I•••May 20, 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
- GAM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-407-4600reportedpublic record, Form ADV, Aug 4, 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
- Other adviserderiveda 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