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•••••• I••••••••• A•••••••• I•••
Latest filing Jul 7, 2026
First filing on the tape Dec 13, 2011 · 33 filings
SEC status approved since Jan 19, 2006
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
27
17 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
10
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$1.5B as of Jul 7, 2026
Mar 30, 2012$627M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 7, 2026
Mar 30, 20120 then
Employees (5.A)27 as of Jul 7, 2026
Mar 26, 201315 then
Private funds10 as of Jul 7, 2026
Mar 30, 201229 then
RAUM +16% over the last fiscal year-5.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 7, 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
- $124MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%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 vehiclesreportedItem 5.G
- Custody
- $769M, 10 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.5B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 12reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $769M for 10 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true 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
33 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•••••• A••••••••• L•••••• | Hedge Fund | $339M | 65 | Mar 30, 2012 |
| G•••••• A••••••••• F•••• L• | Hedge Fund | $237M | 73 | Mar 30, 2012 |
| G•••••• A••••••••• L•••••• I• E• | Hedge Fund | $114M | 50 | Mar 30, 2012 |
| G•••••• A••••••••• F••• I•• L• | Hedge Fund | $67.1M | 53 | Mar 30, 2012 |
| G•••••• I••••••••• C••••• F•••• L• | Hedge Fund | $31.1M | 28 | Mar 30, 2012 |
| G•••••• I••••••••• L•••••• | Hedge Fund | $19.3M | 7 | Mar 30, 2012 |
| G•••••• C•••••• S•••••••• A•••••••• M•••••• L•••no longer reported | Hedge Fund | $12.3M | 1 | Mar 30, 2012 |
| G••• C•••••• O••••••••• M•••••• L••no longer reported | Hedge Fund | $12.1M | 1 | Mar 25, 2015 |
| G•••••• G••••• P••••••• M••••• F•••• L••no longer reported | Hedge Fund | $11.3M | 2 | Mar 30, 2012 |
| G•••••• M••••••••• P•••••••• L• | Hedge Fund | $10.2M | 6 | Mar 30, 2012 |
| G•••••• C•••••• S•••••••• A••••••••• L•no longer reported | Hedge Fund | $8.4M | 7 | Mar 30, 2012 |
| G••• S••••• P••• M••••• F•••• L••no longer reported | Hedge Fund | $8.0M | 1 | Mar 30, 2012 |
| G••• C•••••• P•••••••• L•no longer reported | Hedge Fund | $7.9M | 3 | Mar 25, 2015 |
| G•••• M•••••• O••••••••• L• | Hedge Fund | $7.1M | 11 | Mar 30, 2012 |
| A••• P•••••••• L•no longer reported | Hedge Fund | $4.8M | 24 | Mar 30, 2012 |
| G••••• G••••• P•••••••• L•no longer reported | Hedge Fund | $4.6M | 7 | Mar 30, 2012 |
| G•••••• G••••• I••••••••• A•• D••••••••• P•••••••• L•••no longer reported | Hedge Fund | $4.3M | 8 | Mar 28, 2016 |
| S••• P•••••••• L•no longer reported | Hedge Fund | $3.8M | 18 | Mar 30, 2012 |
| G•••••• F•••• L•• | Hedge Fund | $3.4M | 2 | Mar 30, 2012 |
| M•••••••• P••••••• I• L•no longer reported | Hedge Fund | $2.8M | 14 | Mar 30, 2012 |
| G•••••• J••••••• V•••• P••••••• M••••• F•••• L••no longer reported | Hedge Fund | $1.9M | 2 | Mar 30, 2012 |
| G•••••• J••••••• V•••• P•••••••• L•no longer reported | Hedge Fund | $1.9M | 2 | Mar 30, 2012 |
| M•••••••• P••••••• I•• L•no longer reported | Hedge Fund | $1.8M | 13 | Mar 30, 2012 |
| G•••••• I••••••••• C••••• F•••• L•• | Hedge Fund | $1.4M | 2 | Mar 31, 2014 |
| G••• S••••• E••••• P•••• L•no longer reported | Hedge Fund | $1.1M | 3 | Mar 30, 2012 |
| G•••••• G•••• L••••••••• F••• L•no longer reported | Hedge Fund | $633,000 | 2 | Mar 30, 2012 |
| G•••••• I••••••••• G••• F••• L••••••no longer reported | Hedge Fund | $560,000 | 1 | Mar 30, 2012 |
| G•••••• J••••••• V•••• P•••••••• L••no longer reported | Hedge Fund | $0 | 0 | Mar 30, 2012 |
| G•••••• C•••••• S•••••••• A••••••••• L••no longer reported | Hedge Fund | $0 | 0 | Mar 30, 2012 |
| G•••••• G••••• P•••••••• L••no longer reported | Hedge Fund | $0 | 0 | Mar 30, 2012 |
| G•••••• G•••• L••••••••• F••• L••no longer reported | Hedge Fund | $0 | 0 | Mar 30, 2012 |
| G•••••• C•••••• O••••••••• P•••••••• L•no longer reported | Hedge Fund | $0 | 0 | Mar 30, 2012 |
| G••• C•••••• O••••••••• L••no longer reported | Hedge Fund | $0 | 0 | Mar 25, 2015 |
Owners and control persons
Schedule A and B, latest filing
- J•••••••• D••••••• R•••••• · President And Chief Executive Officer, Directorcontrolsince 10/2004 · owns less than 5%
- G••••••• M••••• J••••• · Ceo, Director And Majority Shareholder Of Common Stockcontrolsince 11/1976 · owns 50% to 75% of G•••• I•••
- G•••••••• J•••• N• · Comptroller And Senior Vice Presidentsince 12/2004 · owns less than 5%
- W••••••• C••••• A••• · Chief Compliance Officer, Counsel & Secretarysince 08/2021 · owns less than 5%
Entity owners
- A••••••••• C•••••• G••••• I••• · Shareholder - 100% Owner Of The Registrantdirect · owns 75% or more · public reporting company
- G••• H••••••• L•• · Majority Shareholder Of The Class B Common Stockindirect · owns 75% or more of A••••••••• C•••••• G••••• I•••
- G•••• I••• · Manager And Memberindirect · owns 75% or more of G••• H••••••• L••
Related persons
Schedule D 7.A
- G••••••••• L••broker-dealern
- G••••••••• L••broker-dealern
- G•••••• • P•••••••• L••pooled vehicle sponsory
- G•••••• F••••• L••investment adviserbanknRAUM $25B
- G•••••• S••••••••• I••••••••• U• L••••••investment advisery
- G•••• A•••• M••••••••• ••• L•••investment advisern
- G•••• A•••• M••••••••• I•••investment adviserbanknRAUM $12B
- G-Legion, LLCinvestment advisernRAUM $12.6M
- T•••• A•••••••• L••investment adviserpooled vehicle sponsornRAUM $251M
Advisers that list G•••••• • C•••••• I••••••••• A•••••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Rye, NY2 employees
What changed
consecutive filings, newest first
- Advisory employees · 18 to 17Mar 25, 2025 to Mar 31, 2026
- BD registered reps · 15 to 5Mar 25, 2025 to Mar 31, 2026
- Assets in custody · $828M to $769MMar 25, 2025 to Mar 31, 2026
- Employees · 21 to 27Mar 25, 2025 to Mar 31, 2026
- Insurance-licensed employees · 3 to 4Mar 25, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.3B to $1.5BMar 25, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.3B to $1.5BMar 25, 2025 to Mar 31, 2026
- RAUM · $1.3B to $1.5BMar 25, 2025 to Mar 31, 2026
- Accounts · 13 to 12Feb 18, 2025 to Mar 25, 2025
- Pooled vehicle clients · 13 to 12Feb 18, 2025 to Mar 25, 2025
- Financial planning clients · unset to Feb 18, 2025 to Mar 25, 2025
- Discretionary RAUM · $1.5B to $1.3BFeb 18, 2025 to Mar 25, 2025
- Pooled vehicle RAUM · $1.5B to $1.3BFeb 18, 2025 to Mar 25, 2025
- RAUM · $1.5B to $1.3BFeb 18, 2025 to Mar 25, 2025
- Advisory employees · 8 to 18Apr 27, 2023 to Mar 27, 2024
- Assets in custody · $810M to $828MApr 27, 2023 to Mar 27, 2024
- Insurance-licensed employees · 2 to 3Apr 27, 2023 to Mar 27, 2024
- State-registered IARs · 2 to 0Apr 27, 2023 to Mar 27, 2024
- Other offices · 0 to 1Apr 27, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.8B to $1.5BApr 27, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $1.8B to $1.5BApr 27, 2023 to Mar 27, 2024
- RAUM · $1.8B to $1.5BApr 27, 2023 to Mar 27, 2024
- Accounts · 20 to 13Apr 14, 2022 to Mar 28, 2023
- BD registered reps · 13 to 15Apr 14, 2022 to Mar 28, 2023
- Pooled vehicle clients · 20 to 13Apr 14, 2022 to Mar 28, 2023
- Assets in custody · $974M to $810MApr 14, 2022 to Mar 28, 2023
- State-registered IARs · 0 to 2Apr 14, 2022 to Mar 28, 2023
- Private funds · 17 to 10Apr 14, 2022 to Mar 28, 2023
- Discretionary RAUM · $1.9B to $1.8BApr 14, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $1.9B to $1.8BApr 14, 2022 to Mar 28, 2023
- RAUM · $1.9B to $1.8BApr 14, 2022 to Mar 28, 2023
- Accounts · 21 to 20Aug 24, 2021 to Mar 29, 2022
- BD registered reps · 9 to 13Aug 24, 2021 to Mar 29, 2022
- Pension plan clients · 1.0 to unsetAug 24, 2021 to Mar 29, 2022
- Assets in custody · $877M to $974MAug 24, 2021 to Mar 29, 2022
- Employees · 23 to 21Aug 24, 2021 to Mar 29, 2022
- Insurance-licensed employees · 0 to 2Aug 24, 2021 to Mar 29, 2022
- Discretionary RAUM · $1.5B to $1.9BAug 24, 2021 to Mar 29, 2022
- Pension RAUM · 2458835.0 to unsetAug 24, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $1.5B to $1.9BAug 24, 2021 to Mar 29, 2022
Signals
3 dated events
- G•••••• • C•••••• I••••••••• A•••••••• I••• reported RAUM $1.9B, up 29% from $1.5B (2021-08-24 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Joseph Francis Conroy (Interim Chief Financial Officer) no longer on Schedule A of G•••••• • C•••••• I••••••••• A•••••••• I••• (listed 2018-04-13, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
- G•••••• • C•••••• I••••••••• A•••••••• I••• reported RAUM $1.9B, up 1534% from $115.6M (2017-03-30 to 2018-03-29)Mar 29, 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 914-921-5135reportedpublic record, Form ADV, Jul 7, 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