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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 54 filings
SEC status approved since Oct 2, 1984
RAUM
$9.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
10%
$982M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
51
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
54 filings and snapshots on the tape
RAUM$9.4B as of Mar 31, 2026
Mar 30, 2012$40B then
HNW client RAUM: $982M
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)51 as of Mar 31, 2026
Mar 28, 2013419 then
Private funds1 as of Mar 31, 2025
Mar 30, 20126 then
RAUM -31% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $33.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%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
- -31%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $8.3B, 37 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$8.3B88%
- High-net-worth individuals$982M10%
- Corporations and businesses$104M1.1%
- Pension and profit-sharing plans$34.3M0.4%
- Charitable organizations$22.9M0.2%
- Individual clients
- n/areported
- HNW clients
- 205reported
- Pension plan clients
- 7reported
- Charitable clients
- 5reported
- Accounts
- 278reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $8.3B for 37 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.1 fund_share=0.88 institutional_share=0.01 related_bd=false related_bank=true bd_reps=0.0derived
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
38 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•• T•••••• I• I••no longer reported | Hedge Fund | $3.5B | 3,017 | Mar 30, 2012 |
| G•• A••••••• R••••• B••• M••••• F•••no longer reported | Hedge Fund | $3.4B | 6 | Aug 28, 2012 |
| G•• F•• C•• B••• I••• | Private Equity Fund | $2.5B | 98 | Nov 28, 2018 |
| G•• U••••••••• B••• F•••no longer reported | Hedge Fund | $2.2B | 70 | Aug 28, 2012 |
| G•• F•• C•• B••• I••••••••• I••• | Hedge Fund | $2.1B | 16 | Mar 27, 2013 |
| A••••••••• P••••• I••no longer reported | Hedge Fund | $774M | 3 | Feb 28, 2014 |
| G•• E••••••• M•••••• E••••• F•••no longer reported | Hedge Fund | $517M | 100 | Jun 4, 2018 |
| G•• M••••••••• M•••••• I••no longer reported | Hedge Fund | $371M | 320 | Mar 30, 2012 |
| G•• F•• I•••no longer reported | Other Private Fund | $306M | 17 | Feb 27, 2013 |
| G•• F•• I•• R••••• F••• | Hedge Fund | $241M | 6 | Mar 31, 2021 |
| G•• A••••••• S•• E••••• 2••no longer reported | Other Private Fund | $138M | 5 | Feb 24, 2015 |
| G•• A••••••• S•• E••••• 3•no longer reported | Other Private Fund | $127M | 5 | Aug 21, 2014 |
| G•• G••••• R•••• M••••• H•••• F•••no longer reported | Hedge Fund | $102M | 6 | Mar 30, 2012 |
| G•• G••••• R•••• H•••• F•••no longer reported | Hedge Fund | $102M | 6 | Aug 28, 2012 |
| G•• A••••••• S•• E••••• 1••no longer reported | Other Private Fund | $94.0M | 4 | Aug 21, 2014 |
| G•• A••••••• S•• E••••• 3•no longer reported | Other Private Fund | $64.6M | 6 | Aug 21, 2014 |
| G•• A••••••• S•• E••••• 6••no longer reported | Other Private Fund | $48.0M | 4 | Feb 27, 2013 |
| G•• G••••• R•••• H•••• F••• •• D••••••••no longer reported | Hedge Fund | $47.8M | 6 | Aug 28, 2012 |
| G•• E••••••• M••••• R•••• M••••• H•••• F•••no longer reported | Hedge Fund | $45.0M | 1 | Feb 27, 2013 |
| G•• D•••••••• I•• | Other Private Fund | $27.0M | 224 | Mar 30, 2012 |
| R•••••• B•• R••• E••••• F•••••• F••• L•••no longer reported | Other Private Fund | $26.3M | 14 | Feb 24, 2016 |
| G•• A••••••• S•• E••••• 2••no longer reported | Other Private Fund | $25.4M | 5 | Feb 24, 2015 |
| G•• A••••••• R••••• B••• F••• •• D••••••••no longer reported | Hedge Fund | $20.6M | 52 | Mar 30, 2012 |
| G•• S••• G••no longer reported | Hedge Fund | $20.0M | 14 | Aug 28, 2012 |
| G•• S••• A••••••••• E•••••no longer reported | Other Private Fund | $18.9M | 154 | Mar 30, 2012 |
| G•• G••••• R•••• I•••no longer reported | Hedge Fund | $16.8M | 3 | Aug 28, 2012 |
| G•• A••••••• S•• E••••• 2••no longer reported | Other Private Fund | $11.7M | 1 | Mar 31, 2015 |
| M•••••• S•••• L••no longer reported | Other Private Fund | $11.6M | 51 | Jul 18, 2013 |
| G•• A••••••• S•• E••••• 2•• | Other Private Fund | $10.7M | 3 | Aug 25, 2016 |
| G•• S••••••••• A••••••••• R••• P••••• ••••••• M••••• F•••no longer reported | Hedge Fund | $6.3M | 3 | Jan 2, 2019 |
| G•• I••••••••• E••••••• E••••• I••• | Hedge Fund | $6.3M | 1 | Jun 4, 2018 |
| M•••••• S•••• I••no longer reported | Hedge Fund | $4.1M | 30 | Jul 18, 2013 |
| G•• A••••••• S•• E••••• 2••no longer reported | Other Private Fund | $3.7M | 2 | Feb 24, 2015 |
| G•• A••••••• S•• E••••• 2••no longer reported | Other Private Fund | $3.4M | 1 | Aug 25, 2016 |
| G•• A••••••• S•• E••••• 9•no longer reported | Other Private Fund | $2.3M | 6 | Feb 27, 2013 |
| G•• A••••••• S•• E••••• 2••no longer reported | Other Private Fund | $1.7M | 6 | Feb 27, 2013 |
| R• S• J•••••• P•••• L•••no longer reported | Other Private Fund | $347,387 | 21 | Feb 24, 2016 |
| G•• E••••••• M••••• R•••• H•••• F••• | Hedge Fund | $28,362 | 2 | Feb 27, 2013 |
Owners and control persons
Schedule A and B, latest filing
- K•••• D••••• R• J• · Directorcontrolsince 12/2023 · owns less than 5%
- W••••• D•••••• S• · Directorcontrolsince 12/2023 · owns less than 5%
- B•••••• C•••• · Compliance Officersince 09/2020 · owns less than 5%
Entity owners
- G•• ••••• L•••••• · Shareholderdirect · owns 75% or more
- G•• ••••••••• H•••••• A• · Shareholder Of Gam(Uk) L••••••indirect · owns F of G•• ••••• L••••••
- 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•• G• I•••pooled vehicle sponsorn
- G•• H••• K••• L••••••investment advisern
- 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
- G•• U•• I•••investment adviserbanknRAUM $1.5B
Advisers that list G•• L••••• L•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 31, 2026advises private funds (Item 7.B): no on the filing of 2025-10-30, yes on the filing of 2026-03-31peers: other advisers, $5B to $20B (134)
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): no on the filing of 2025-10-30, yes on the filing of 2026-03-31peers: other advisers, $5B to $20B (134)
- RAUM down 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $13,553,386,389 to $9,416,125,148 (-31.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +9.0% (119 comparable advisers, 2.0th percentile of changes)peers: other advisers, $5B to $20B (119) · 1.7% percentile
What changed
consecutive filings, newest first
- Accounts · 47 to 278Oct 30, 2025 to Mar 31, 2026
- Advisory employees · 14 to 11Oct 30, 2025 to Mar 31, 2026
- Advisory activities · 3 to 4Oct 30, 2025 to Mar 31, 2026
- Business name · G•• I••••••••• M••••••••• L•••••• to G•• L••••• L••••••Oct 30, 2025 to Mar 31, 2026
- Charity clients · unset to 5.0Oct 30, 2025 to Mar 31, 2026
- Corporate clients · unset to 24.0Oct 30, 2025 to Mar 31, 2026
- HNW clients · unset to 205.0Oct 30, 2025 to Mar 31, 2026
- Pension plan clients · unset to 7.0Oct 30, 2025 to Mar 31, 2026
- Pooled vehicle clients · 46 to 37Oct 30, 2025 to Mar 31, 2026
- Assets in custody · unset to 8272945943.0Oct 30, 2025 to Mar 31, 2026
- Custody of client assets · false to trueOct 30, 2025 to Mar 31, 2026
- Employees · 35 to 51Oct 30, 2025 to Mar 31, 2026
- Legal name · G•• I••••••••• M••••••••• L•••••• to G•• L••••• L••••••Oct 30, 2025 to Mar 31, 2026
- Discretionary RAUM · $14B to $9.4BOct 30, 2025 to Mar 31, 2026
- HNW RAUM · unset to 981990938.0Oct 30, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $0 to $5.6MOct 30, 2025 to Mar 31, 2026
- Pension RAUM · unset to 34295376.0Oct 30, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $13B to $8.3BOct 30, 2025 to Mar 31, 2026
- RAUM · $14B to $9.4BOct 30, 2025 to Mar 31, 2026
- Private funds · 1 to unsetMar 31, 2025 to Aug 29, 2025
- Accounts · 59 to 47Mar 28, 2024 to Mar 31, 2025
- Advisory employees · 45 to 14Mar 28, 2024 to Mar 31, 2025
- Pooled vehicle clients · 55 to 46Mar 28, 2024 to Mar 31, 2025
- Employees · 56 to 35Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- HQ state · unset to Mar 28, 2024 to Mar 31, 2025
- Private funds · 2 to 1Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $20B to $14BMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $20B to $13BMar 28, 2024 to Mar 31, 2025
- RAUM · $20B to $14BMar 28, 2024 to Mar 31, 2025
- Related broker-dealer · true to falseMar 28, 2024 to Mar 31, 2025
- Accounts · 58 to 59Feb 20, 2024 to Mar 28, 2024
- Advisory employees · 54 to 45Feb 20, 2024 to Mar 28, 2024
- Pooled vehicle clients · 57 to 55Feb 20, 2024 to Mar 28, 2024
- Employees · 66 to 56Feb 20, 2024 to Mar 28, 2024
- Private funds · 6 to 2Feb 20, 2024 to Mar 28, 2024
- Discretionary RAUM · $14B to $20BFeb 20, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $14B to $20BFeb 20, 2024 to Mar 28, 2024
- RAUM · $14B to $20BFeb 20, 2024 to Mar 28, 2024
- Private funds · 7 to 6Mar 31, 2023 to Aug 18, 2023
Signals
16 dated events
- G•• L••••• L•••••• reported RAUM $9.4B, down 31% from $13.6B (2025-10-30 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- G•• L••••• L•••••• reported RAUM $13.6B, down 33% from $20.3B (2024-03-28 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- G•• L••••• L•••••• reported RAUM $20.3B, up 42% from $14.3B (2024-02-20 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- J•••• S•••••• R••••••• (Director) no longer on Schedule A of G•• L••••• L•••••• (listed 2023-08-18, absent 2024-02-20)Feb 20, 2024 · Control person left · inference
- S D••••• W•••• (Director) appeared on Schedule A of G•• L••••• L••••••Feb 20, 2024 · Control person joined · fact
- R J D•••• K••• (Director) appeared on Schedule A of G•• L••••• L••••••Feb 20, 2024 · Control person joined · fact
- R••••• H••••• J•••• (Director) no longer on Schedule A of G•• L••••• L•••••• (listed 2023-08-18, absent 2024-02-20)Feb 20, 2024 · Control person left · inference
- C•••••• R••••• G•••••• C••••••• (Director) no longer on Schedule A of G•• L••••• L•••••• (listed 2022-03-31, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Edward Darren Nicholls (Director) no longer on Schedule A of G•• L••••• L•••••• (listed 2022-01-11, absent 2022-02-23)Feb 23, 2022 · Control person left · inference
- J•••• S•••••• R••••••• (Director) appeared on Schedule A of G•• L••••• L••••••Mar 31, 2021 · Control person joined · fact
- C•••••• Matthew Beesley (Director) no longer on Schedule A of G•• L••••• L•••••• (listed 2019-09-30, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- C•••••• R••••• G•••••• C••••••• (Director) appeared on Schedule A of G•• L••••• L••••••Mar 30, 2020 · Control person joined · fact
- Simon Paul Fieldhouse (Chief Compliance Officer) no longer on Schedule A of G•• L••••• L•••••• (listed 2019-08-30, absent 2019-09-30)Sep 30, 2019 · Control person left · inference
- G•• L••••• L•••••• reported RAUM $35.1B, down 39% from $57.9B (2019-03-08 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- Howell Lawrence Hatheway (Director) no longer on Schedule A of G•• L••••• L•••••• (listed 2019-02-11, absent 2019-03-08)Mar 8, 2019 · Control person left · inference
- G•• L••••• L•••••• reported RAUM $57.9B, up 43% from $40.3B (2018-01-24 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- G•• I••••••••• M••••••••• L•••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/gam-investmentsreportedpublic record, Form ADV, Sep 19, 2026
- Website
- GAM.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 44-20-7493-9990reportedpublic record, Form ADV, Mar 31, 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