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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SEC-registered adviser
G•••••• C••••••
Legal name G•••••• C•••••• I•••
Latest filing Jun 12, 2026
First filing on the tape Jan 6, 2012 · 24 filings
SEC status approved since Apr 6, 2004
RAUM
$2.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
64%
$1.7B individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$901M
derived; firm RAUM over IAPD count
Employees
31
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$2.7B as of Jun 12, 2026
Jan 6, 2012$2.5M then
HNW client RAUM$706M as of Jun 12, 2026
Nov 22, 2017$147M then
State-registered IARs (5.B.3)3 as of Jun 12, 2026
Dec 18, 20120 then
Employees (5.A)31 as of Jun 12, 2026
Dec 18, 20126 then
Private funds1 as of Jun 12, 2026
Dec 24, 20151 then
RAUM +54% over the last fiscal year+19% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 12, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- 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)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $901MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 1,469derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $536,045derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 10.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +40%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
- Individuals$1.0B38%
- Corporations and businesses$933M35%
- High-net-worth individuals$706M26%
- Pension and profit-sharing plans$15.8M0.6%
- Charitable organizations$11.2M0.4%
- Individual clients
- 4,037reported
- HNW clients
- 371reported
- Pension plan clients
- n/areported
- Charitable clients
- 8reported
- Accounts
- 5,043reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.64 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N•••••• L••••••• | Montreal | Jun 30, 2023 | 20 y | 0 |
| S•••••••• G••••••••• | Montreal | Oct 23, 2025 | 13 y | 0 |
| J••••••••• B••••••• | Princeton, Nj | Nov 5, 2025 | 23 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
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•••••• C•••••• E••••• F••• | Other Private Fund | $1.4B | 3,682 | Dec 24, 2015 |
Owners and control persons
Schedule A and B, latest filing
- B•••••••• J••••••••• · Vpcontrolsince 01/2010 · owns less than 5%
- P•••••••• S•••••••• · Chief Operating Officercontrolsince 04/2026 · owns less than 5%
- R•••••• F••••••• · Ceocontrolsince 01/1998 · owns 50% to 75%
- S•••••• M••••••••• · Chief Compliance Officercontrolsince 06/2026 · owns less than 5%
- B•••••••• J••••••••• · Shareholdercontrolsince 08/2007 · owns 75% or more of 9•••••••• Q••••• I•••
- R•••••• F••••••• · Shareholdercontrolsince 01/2007 · owns 75% or more of M•••• G•••••• C•••••• I•••
Entity owners
- 9•••••••• Q••••• I••• · Shareholderdirect · owns 10% to 25%
- H•• C••••••••• I••• · Shareholderdirect · owns 5% to 10%
- M•••• G•••••• C•••••• I••• · Shareholderdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- G•••••• C•••••• A•••••••investment advisernRAUM $421M
- G•••••• C•••••• A•••• M•••••••••investment advisernRAUM $599M
Advisers that list G•••••• C•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Jun 12, 2026RAUM per registered advisor of $901,092,391 against a peer median of $147,054,737 (1222 comparable advisers, 99.0th percentile, 7.6 robust deviations)peers: independent wealth managers, $1B to $5B (1,222) · 99% percentile
- unusually high clients per advisorStatic outlier · filing Jun 12, 2026private clients per advisor of 1,469.3 against a peer median of 64.5 (1151 comparable advisers, 100.0th percentile, 34.5 robust deviations)peers: independent wealth managers, $1B to $5B (1,151) · 100% percentile
- control person changedChange between filings · filing Jun 12, 2026P•••••••• S•••••••• (CHIEF OPERATING OFFICER) appeared on Schedule A between the filings of 2015-12-24 and 2026-06-12peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Jun 12, 2026S•••••• M••••••••• (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2015-12-24 and 2026-06-12peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 4,563 to 5,043Dec 24, 2024 to Dec 24, 2025
- Advisory employees · 5 to 6Dec 24, 2024 to Dec 24, 2025
- Charity clients · 7 to 8Dec 24, 2024 to Dec 24, 2025
- Corporate clients · 556 to 626Dec 24, 2024 to Dec 24, 2025
- HNW clients · 358 to 371Dec 24, 2024 to Dec 24, 2025
- Individual clients · 3,642 to 4,037Dec 24, 2024 to Dec 24, 2025
- Pension plan clients · 0.0 to unsetDec 24, 2024 to Dec 24, 2025
- Employees · 26 to 31Dec 24, 2024 to Dec 24, 2025
- Financial planning clients · unset to Dec 24, 2024 to Dec 24, 2025
- HQ state · unset to Dec 24, 2024 to Dec 24, 2025
- Discretionary RAUM · $2.5B to $2.7BDec 24, 2024 to Dec 24, 2025
- HNW RAUM · $656M to $706MDec 24, 2024 to Dec 24, 2025
- Individual RAUM · $942M to $1.0BDec 24, 2024 to Dec 24, 2025
- Pension RAUM · unset to 15813909.0Dec 24, 2024 to Dec 24, 2025
- RAUM · $2.5B to $2.7BDec 24, 2024 to Dec 24, 2025
- Accounts · 4,135 to 4,563Dec 22, 2023 to Dec 24, 2024
- Corporate clients · 490 to 556Dec 22, 2023 to Dec 24, 2024
- HNW clients · 213 to 358Dec 22, 2023 to Dec 24, 2024
- Individual clients · 3,425 to 3,642Dec 22, 2023 to Dec 24, 2024
- Employees · 24 to 26Dec 22, 2023 to Dec 24, 2024
- Discretionary RAUM · $1.8B to $2.5BDec 22, 2023 to Dec 24, 2024
- HNW RAUM · $402M to $656MDec 22, 2023 to Dec 24, 2024
- Individual RAUM · $813M to $942MDec 22, 2023 to Dec 24, 2024
- RAUM · $1.8B to $2.5BDec 22, 2023 to Dec 24, 2024
- Accounts · 3,847 to 4,135Jun 29, 2023 to Dec 22, 2023
- Advisory employees · 6 to 5Jun 29, 2023 to Dec 22, 2023
- Charity clients · 6 to 7Jun 29, 2023 to Dec 22, 2023
- Corporate clients · 473 to 490Jun 29, 2023 to Dec 22, 2023
- HNW clients · 137 to 213Jun 29, 2023 to Dec 22, 2023
- Individual clients · 3,231 to 3,425Jun 29, 2023 to Dec 22, 2023
- Employees · 22 to 24Jun 29, 2023 to Dec 22, 2023
- Discretionary RAUM · $1.4B to $1.8BJun 29, 2023 to Dec 22, 2023
- HNW RAUM · $251M to $402MJun 29, 2023 to Dec 22, 2023
- Individual RAUM · $691M to $813MJun 29, 2023 to Dec 22, 2023
- RAUM · $1.4B to $1.8BJun 29, 2023 to Dec 22, 2023
- Accounts · 3,367 to 3,847Dec 24, 2021 to Dec 22, 2022
- Advisory employees · 5 to 6Dec 24, 2021 to Dec 22, 2022
- Corporate clients · 422 to 473Dec 24, 2021 to Dec 22, 2022
- HNW clients · 219 to 137Dec 24, 2021 to Dec 22, 2022
- Individual clients · 2,720 to 3,231Dec 24, 2021 to Dec 22, 2022
Signals
4 dated events
- G•••••• C•••••• reported RAUM $2.5B, up 40% from $1.8B (2023-12-22 to 2024-12-24)Dec 24, 2024 · RAUM change · derived
- G•••••• C•••••• reported RAUM $1.8B, up 27% from $1.4B (2023-06-29 to 2023-12-22)Dec 22, 2023 · RAUM change · derived
- G•••••• C•••••• reported RAUM $1.6B, up 49% from $1.1B (2020-12-24 to 2021-12-24)Dec 24, 2021 · RAUM change · derived
- G•••••• C•••••• reported RAUM $912.2M, up 30% from $703.5M (2018-07-17 to 2018-12-20)Dec 20, 2018 · 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
- Business email
- i•••@g•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 514-842-5589reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- ca.linkedin.com/company/giverny-capital-increportedpublic record, Form ADV, Sep 19, 2026
- Website
- G••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 514-842-5589reportedpublic record, Form ADV, Jun 12, 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
- $901Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026