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
Gw&K Investment Management, LLC
Latest filing Mar 26, 2026
First filing on the tape Mar 30, 2012 · 18 filings
SEC status approved since Nov 18, 2002
RAUM
$53B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
77%
$40B individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$6.6B
derived; firm RAUM over IAPD count
Employees
177
63 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$53B as of Mar 26, 2026
Mar 30, 2012$13B then
HNW client RAUM$40B as of Mar 26, 2026
Mar 28, 2018$28B then
State-registered IARs (5.B.3)10 as of Mar 26, 2026
Mar 15, 20134 then
Employees (5.A)177 as of Mar 26, 2026
Mar 15, 201395 then
Private funds3 as of Mar 26, 2026
Mar 30, 20151 then
RAUM -0.3% over the last fiscal year+4.1% a year over threeIARs 9 to 10
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $6.6BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 5,969derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $845,895derivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 22.1derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.6%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$40B77%
- Investment companies$4.9B9.3%
- Corporations and businesses$3.1B5.9%
- Pooled investment vehicles$3.0B5.7%
- Pension and profit-sharing plans$708M1.3%
- Banks and thrifts$312M0.6%
- State and municipal entities$294M0.6%
- Sovereign wealth funds$20.4M0.0%
- Individual clients
- 0reported
- HNW clients
- 47,749reported
- Pension plan clients
- 123reported
- Charitable clients
- 0reported
- Accounts
- 48,710reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $32B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.77 fund_share=0.15 institutional_share=0.02 related_bd=true related_bank=true bd_reps=39.0 bank_owner=falsederived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| James Michael MccarthyChartered Financial Analyst | Boston, Ma | Jun 15, 2022 | 23 y | 0 |
| Mark Patrick LewisChartered Financial Analyst | Boston, Ma | Jul 7, 2022 | 13 y | 0 |
| Scott Reed PetersonChartered Financial Analyst | Boston, Ma | Dec 6, 2022 | 13 y | 0 |
| Christopher Ryan LackeyChartered Financial Analyst | Boston, Ma | Jul 26, 2023 | 12 y | 0 |
| Joseph Stephen PasqualeChartered Financial Analyst | Boston, Ma | Aug 2, 2023 | 11 y | 0 |
| Daniel John FascianoChartered Financial Analyst | Boston, Ma | Dec 6, 2023 | 27 y | 1 |
| Chad E O'Neil | Boston, Ma | Aug 1, 2025 | 10 y | 1 |
| Matthew Theodore ShumakerCertified Financial Planner | Boston, Ma | Sep 17, 2025 | 13 y | 1 |
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount4 left over 36 months
Left, latest
- Julie Ann Sacchiero to MarinerMar 23, 2026 · RIA to affiliated broker-dealer or bank
- Alexander Joseph Matuschak to Crestwood AdvisorsJan 7, 2026 · RIA to RIA
- Chase Ryan Carmichael to Kayne Anderson Rudnick Investment Management, LLCSep 15, 2025 · Other
- Ross Patrick Mcwilliams to Dakota Wealth, LLCSep 4, 2025 · RIA to RIA
- Mark Richard Gudaitis to Cibc Private Wealth Advisors, Inc.Dec 21, 2012 · Other
Joined, latest
- Matthew Theodore Shumaker from Rwa Wealth PartnersSep 17, 2025 · RIA to RIA
- Chad E O'Neil from Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 1, 2025 · Wirehouse to independent RIA
- Chase Ryan Carmichael from Mercer Global Advisors Inc.Jan 9, 2024 · RIA to RIA
- Daniel John Fasciano from Laurel Capital Advisors LlpDec 6, 2023 · Other
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Gw&K International Small Cap Fund II, L.P. | Hedge Fund | $75.7M | 40 | Mar 28, 2018 |
| Gw&K International Small Cap Fund, L.P. | Hedge Fund | $66.2M | 76 | Mar 30, 2015 |
| Gw&K Long Term International Small Cap Fund, L.P. | Hedge Fund | $29.1M | 51 | Mar 26, 2021 |
| International LP Ino longer reported | Hedge Fund | $2.8M | 4 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Jason Michael Clare · Presidentcontrolsince 03/2026 · owns less than 5%
- Gilbert Harold Kotler · Founder- Chairmancontrolsince 06/2022 · owns less than 5%
- F X Thomas Powers · Chief Executive Officercontrolsince 06/2022 · owns 5% to 10%
- Williams Thomas III Roberts · Co-Chief Executive Officercontrolsince 06/2022 · owns 5% to 10%
- Timothy Brian Maguire · Chief Financial Officersince 01/2025 · owns less than 5%
- John David Rouse · Chief Compliance Officersince 03/2021 · owns less than 5%
Entity owners
- Affiliated Managers Group, Inc. · Manager And Sole Memberindirect · owns 75% or more of Amg Gwk Holdings, LLC · public reporting company
- Amg Gwk Holdings, LLC · Manager And Series A Memberindirect · owns 75% or more of Amg Boston Holdings, LLC
- Amg Boston Holdings, LLC · Manager Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- Amg Distributors, Inc.broker-dealern
- Amg Funds LLCinvestment adviserbankpooled vehicle sponsornRAUM $18B
- Gw&K Investment Management Gp, LLCpooled vehicle sponsory
Advisers that list Gw&K Investment Management, LLC as a related person
- 153456 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boston, Ma · principal | 8 | 1 | 2 |
Offices
Schedule D 1.F, the 25 largest
- Winter Park, FL3 employees
- New York, NY2 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 26, 2026CLARE, MICHAEL, JASON (PRESIDENT) appeared on Schedule A between the filings of 2021-03-26 and 2026-03-26peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Mar 26, 2026ROBERTS, III, THOMAS, WILLIAMS (CO-CHIEF EXECUTIVE OFFICER) left Schedule A between the filings of 2021-03-26 and 2026-03-26peers: independent wealth managers, $20B and over (84)
What changed
consecutive filings, newest first
- Accounts · 50,559 to 48,710Mar 27, 2025 to Mar 26, 2026
- Advisory employees · 68 to 63Mar 27, 2025 to Mar 26, 2026
- BD registered reps · 37 to 39Mar 27, 2025 to Mar 26, 2026
- Corporate clients · 824 to 776Mar 27, 2025 to Mar 26, 2026
- HNW clients · 49,547 to 47,749Mar 27, 2025 to Mar 26, 2026
- Pension plan clients · 125 to 123Mar 27, 2025 to Mar 26, 2026
- Pooled vehicle clients · 12 to 14Mar 27, 2025 to Mar 26, 2026
- Employees · 180 to 177Mar 27, 2025 to Mar 26, 2026
- State-registered IARs · 9 to 10Mar 27, 2025 to Mar 26, 2026
- Discretionary RAUM · $53B to $53BMar 27, 2025 to Mar 26, 2026
- HNW RAUM · $40B to $40BMar 27, 2025 to Mar 26, 2026
- Pension RAUM · $836M to $708MMar 27, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $2.7B to $3.0BMar 27, 2025 to Mar 26, 2026
- RAUM · $53B to $53BMar 27, 2025 to Mar 26, 2026
- Wrap assets (manager) · $33B to $32BMar 27, 2025 to Mar 26, 2026
- Accounts · 49,211 to 50,559Mar 27, 2024 to Mar 27, 2025
- Advisory employees · 54 to 68Mar 27, 2024 to Mar 27, 2025
- BD registered reps · 34 to 37Mar 27, 2024 to Mar 27, 2025
- Charity clients · unset to 0.0Mar 27, 2024 to Mar 27, 2025
- Corporate clients · 872 to 824Mar 27, 2024 to Mar 27, 2025
- HNW clients · 48,191 to 49,547Mar 27, 2024 to Mar 27, 2025
- Individual clients · unset to 0.0Mar 27, 2024 to Mar 27, 2025
- Pension plan clients · 77 to 125Mar 27, 2024 to Mar 27, 2025
- Pooled vehicle clients · 14 to 12Mar 27, 2024 to Mar 27, 2025
- Employees · 181 to 180Mar 27, 2024 to Mar 27, 2025
- Financial planning clients · 51-100 to 51-100Mar 27, 2024 to Mar 27, 2025
- State-registered IARs · 10 to 9Mar 27, 2024 to Mar 27, 2025
- Other offices · 2 to 0Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $51B to $53BMar 27, 2024 to Mar 27, 2025
- HNW RAUM · $39B to $40BMar 27, 2024 to Mar 27, 2025
- Individual RAUM · unset to 0.0Mar 27, 2024 to Mar 27, 2025
- Pension RAUM · $911M to $836MMar 27, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $2.4B to $2.7BMar 27, 2024 to Mar 27, 2025
- RAUM · $51B to $53BMar 27, 2024 to Mar 27, 2025
- Wrap assets (manager) · $32B to $33BMar 27, 2024 to Mar 27, 2025
- Accounts · 48,353 to 49,211Mar 29, 2023 to Mar 27, 2024
- Advisory employees · 59 to 54Mar 29, 2023 to Mar 27, 2024
- BD registered reps · 32 to 34Mar 29, 2023 to Mar 27, 2024
- Corporate clients · 884 to 872Mar 29, 2023 to Mar 27, 2024
- HNW clients · 47,306 to 48,191Mar 29, 2023 to Mar 27, 2024
Signals
4 dated events
- Julie Ann Sacchiero left Gw&K Investment Management, Llc for Mariner (registered 2026-03-26)Mar 23, 2026 · Advisor changed firm · fact
- Alexander Joseph Matuschak left Gw&K Investment Management, Llc for Crestwood Advisors (registered 2026-01-13)Jan 7, 2026 · Advisor changed firm · fact
- Chase Ryan Carmichael left Gw&K Investment Management, Llc for Kayne Anderson Rudnick Investment Management, Llc (registered 2025-12-16)Sep 15, 2025 · Advisor changed firm · fact
- Ross Patrick Mcwilliams left Gw&K Investment Management, Llc for Dakota Wealth, Llc (registered 2025-09-02)Sep 4, 2025 · Advisor changed firm · 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
- Business email
- info@gwkinvest.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- advisorservices@gwkinvest.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- riaservices@gwkinvest.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- investorservices@gwkinvest.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- institutionalservices@gwkinvest.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- gwkpublicrelations@gwkinvest.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 407-660-6100reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 617-236-8900reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-225-4236reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/gw&k-investment-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- gwkinvest.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 617-236-8900reportedpublic record, Form ADV, Mar 26, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $6.6Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026