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•••••• M••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 35 filings
SEC status approved since Jan 27, 2006
RAUM
$3.1B
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
31
14 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
26
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$3.1B as of Mar 31, 2026
Mar 30, 2012$2.5B then
HNW client RAUM$0 as of Mar 31, 2026
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)31 as of Mar 31, 2026
Mar 28, 201335 then
Private funds26 as of Mar 31, 2026
Mar 30, 201213 then
RAUM -11% over the last fiscal year-8.5% 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $64.3MderivedRAUM 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
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%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 pooled vehiclesreportedItem 5.G
- Custody
- $705M, 42 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$3.1B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 48reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $705M for 42 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
53 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G••••••• C•• V• L••• | Securitized Asset Fund | $679M | 3 | Feb 25, 2015 |
| G••••••• C•• I•• L••• | Securitized Asset Fund | $542M | 3 | May 28, 2013 |
| G••••••• C•••••• P••••••• I• L•no longer reported | Hedge Fund | $540M | 100 | Mar 30, 2012 |
| G••••••• C•• I••• L••• | Securitized Asset Fund | $525M | 1 | Aug 22, 2013 |
| G••••••• C•• I•• L••• | Securitized Asset Fund | $515M | 1 | Aug 22, 2014 |
| G••••••• C•• V•• L••• | Securitized Asset Fund | $505M | 1 | Aug 27, 2018 |
| G••••••• C•• I• L•••no longer reported | Securitized Asset Fund | $490M | 0 | Mar 30, 2012 |
| G••••••• C•• V••• L••• | Securitized Asset Fund | $455M | 1 | Oct 30, 2018 |
| G••••••• C•••••• O••••••• F••• I• • C•••• A••no longer reported | Hedge Fund | $294M | 9 | Mar 30, 2012 |
| G••••••• C•••••• O••••••• F•••no longer reported | Hedge Fund | $197M | 103 | Mar 30, 2012 |
| E•• Q•• I• P••no longer reported | Other Private Fund | $130M | 1 | Mar 30, 2012 |
| G••••••• C••••••••• O••••••••• M••••• F••• I• L• | Hedge Fund | $118M | 108 | Aug 22, 2022 |
| B•••••• F•••••• 2••••• L•• | Securitized Asset Fund | $104M | 1 | Aug 17, 2021 |
| G••••••• O••••••••• M••••• F••• I• L• | Hedge Fund | $96.4M | 52 | Nov 21, 2022 |
| G••••••• E•••• D••••• M••••• F••• | Hedge Fund | $79.8M | 60 | Mar 30, 2012 |
| G••••••• D••••••••• O••••••••• M••••• F••• L••• | Hedge Fund | $60.3M | 25 | Nov 20, 2020 |
| G••••••• C•• C••••• F••• I•• L••• | Hedge Fund | $39.4M | 6 | Nov 20, 2017 |
| G••••••• S•••••••• F••• S••• L••• • S•••no longer reported | Hedge Fund | $38.6M | 1 | May 18, 2017 |
| G••••••• D••••••••• O••••••••• M••••• Q•• F••• L• | Hedge Fund | $37.7M | 3 | Nov 20, 2020 |
| G••••••• S•••••••• M••••• F••• S••• L••• • M••• | Hedge Fund | $32.7M | 9 | Nov 20, 2015 |
| G••••••• C•• E••••• P••••••••• L• | Hedge Fund | $31.5M | 20 | May 28, 2013 |
| G•• S••••• O••••••••• S••• L••• • S•• | Hedge Fund | $27.7M | 1 | Aug 8, 2024 |
| G••••••• C•••••• O••••••• F••• I• • C•••• C•no longer reported | Hedge Fund | $24.3M | 25 | Mar 30, 2012 |
| G••••••• S•••••••• M••••• F••• S••• L••• • M•••no longer reported | Hedge Fund | $23.4M | 5 | Feb 25, 2015 |
| G• U• M••••••• F••• L• | Private Equity Fund | $21.6M | 42 | Aug 8, 2024 |
| G••••••• O••••••••• F••• L••no longer reported | Hedge Fund | $19.0M | 17 | Aug 22, 2013 |
| G••••••• C•• C••••• M••••• F•••• L•••no longer reported | Hedge Fund | $17.4M | 21 | Mar 30, 2012 |
| G••••••• C••••••••• O••••••••• M••••• F••• L• | Hedge Fund | $16.9M | 46 | Nov 6, 2019 |
| G••••••• O••••••• I••••••••• F••• • C•••• C• | Hedge Fund | $16.1M | 34 | Mar 30, 2015 |
| G••••••• C•• C••••• F••• I•• L•no longer reported | Hedge Fund | $12.3M | 2 | Feb 25, 2013 |
| G••••••• C•• M•••••••• D••• F••• I• L• | Hedge Fund | $11.9M | 1 | May 26, 2016 |
| G••••••• O••••••••• F••• I• L•no longer reported | Hedge Fund | $11.5M | 3 | Mar 30, 2012 |
| G••••••• S•••••••• M••••• F••• S••• L••• • M•••no longer reported | Hedge Fund | $11.3M | 21 | May 26, 2021 |
| G•• S••••• O••••••••• S••• L••• • S•• | Hedge Fund | $11.0M | 6 | Aug 17, 2021 |
| G•• S••••• O••••••••• S••• L••• • S•• | Hedge Fund | $9.3M | 2 | Nov 21, 2022 |
| G••••••• C•• C••••• F••• I•• L• • C••no longer reported | Hedge Fund | $9.2M | 1 | Mar 30, 2016 |
| G••••••• S•••••••• M••••• F••• S••• L••• • M••• | Hedge Fund | $8.2M | 6 | May 18, 2017 |
| G••••••• S•••••••• M••••• F••• S••• L••• • M•••no longer reported | Hedge Fund | $7.9M | 2 | May 18, 2017 |
| G•• S••••• O••••••••• S••• L••• • S•• | Hedge Fund | $7.4M | 3 | Aug 17, 2021 |
| G••••••• C•• C••••• F••• I•• L• • O••••no longer reported | Hedge Fund | $5.0M | 1 | Mar 31, 2017 |
Owners and control persons
Schedule A and B, latest filing
- B•••• B••••• M•••••• · Chief Operating Officercontrolsince 05/2005 · owns 5% to 10%
- G••••••••• J••••• R••••• · Limited Partnercontrolsince 03/2003 · owns 25% to 50%
- M••••••• J•••••• C• · Limited Partnercontrolsince 09/2013 · owns 5% to 10%
- S•••••• C••••••••• G••••• · Chief Compliance Officer & General Counselcontrolsince 03/2010 · owns less than 5%
- S•••••• J•••••••• S•••••• · Chief Executive Officercontrolsince 02/2003 · owns 25% to 50%
- S••••• J••••••• D••••• · Chief Financial Officercontrolsince 07/2010 · owns less than 5%
- T•••• W••••••• R••••• · Chief Risk Officercontrolsince 02/2003 · owns 10% to 25%
- S•••••• J•••••••• S•••••• · Managing Membercontrolsince 03/2003 · owns 75% or more of G••••••• G• L••
Entity owners
- G••••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- G••••••• A••••••• L••investment adviserpooled vehicle sponsorn
- G••••••• L••• M••••••••• L• • S••••• 2•••••investment adviseryRAUM $2.2B
Advisers that list G••••••• C•••••• M••••••••• L• as a related person
- 288162 n
Offices
Schedule D 1.F, the 25 largest
- Purchase, NY9 employees
- San Francisco, CA3 employees
- Miami, FL2 employees
What changed
consecutive filings, newest first
- Accounts · 47 to 48Aug 5, 2025 to Mar 31, 2026
- Advisory employees · 15 to 14Aug 5, 2025 to Mar 31, 2026
- Pooled vehicle clients · 47 to 48Aug 5, 2025 to Mar 31, 2026
- Assets in custody · $804M to $705MAug 5, 2025 to Mar 31, 2026
- Private funds · 25 to 26Aug 5, 2025 to Mar 31, 2026
- Discretionary RAUM · $3.5B to $3.1BAug 5, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $3.5B to $3.1BAug 5, 2025 to Mar 31, 2026
- RAUM · $3.5B to $3.1BAug 5, 2025 to Mar 31, 2026
- Private funds · 24 to 25Mar 31, 2025 to Aug 5, 2025
- Accounts · 56 to 47Aug 8, 2024 to Mar 31, 2025
- Advisory employees · 14 to 15Aug 8, 2024 to Mar 31, 2025
- Advisory activities · 2 to 1Aug 8, 2024 to Mar 31, 2025
- Pooled vehicle clients · 56 to 47Aug 8, 2024 to Mar 31, 2025
- Assets in custody · $483M to $804MAug 8, 2024 to Mar 31, 2025
- Financial planning clients · 51-100 to 26-50Aug 8, 2024 to Mar 31, 2025
- Private funds · 30 to 24Aug 8, 2024 to Mar 31, 2025
- Discretionary RAUM · $3.9B to $3.5BAug 8, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $3.9B to $3.5BAug 8, 2024 to Mar 31, 2025
- RAUM · $3.9B to $3.5BAug 8, 2024 to Mar 31, 2025
- Private funds · 27 to 30Apr 1, 2024 to Aug 8, 2024
- Accounts · 60 to 56Mar 31, 2023 to Apr 1, 2024
- Corporate clients · 2.0 to unsetMar 31, 2023 to Apr 1, 2024
- Pooled vehicle clients · 58 to 56Mar 31, 2023 to Apr 1, 2024
- Assets in custody · $617M to $483MMar 31, 2023 to Apr 1, 2024
- Employees · 32 to 31Mar 31, 2023 to Apr 1, 2024
- Private funds · 29 to 27Mar 31, 2023 to Apr 1, 2024
- Discretionary RAUM · $4.0B to $3.9BMar 31, 2023 to Apr 1, 2024
- Non-discretionary RAUM · $49.2M to $0Mar 31, 2023 to Apr 1, 2024
- Pooled vehicle RAUM · $4.0B to $3.9BMar 31, 2023 to Apr 1, 2024
- RAUM · $4.0B to $3.9BMar 31, 2023 to Apr 1, 2024
- Accounts · 54 to 60Nov 21, 2022 to Mar 31, 2023
- Advisory employees · 13 to 14Nov 21, 2022 to Mar 31, 2023
- Corporate clients · 0 to 2Nov 21, 2022 to Mar 31, 2023
- Pooled vehicle clients · 54 to 58Nov 21, 2022 to Mar 31, 2023
- Employees · 29 to 32Nov 21, 2022 to Mar 31, 2023
- Other offices · 1 to 3Nov 21, 2022 to Mar 31, 2023
- Discretionary RAUM · $4.7B to $4.0BNov 21, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $10.6M to $49.2MNov 21, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $4.7B to $4.0BNov 21, 2022 to Mar 31, 2023
- RAUM · $4.7B to $4.0BNov 21, 2022 to Mar 31, 2023
Signals
2 dated events
- G••••••• C•••••• M••••••••• L• reported RAUM $3.9B, up 267% from $1.1B (2018-03-31 to 2019-03-30)Mar 30, 2019 · RAUM change · derived
- G••••••• C•••••• M••••••••• L• reported RAUM $1.1B, down 70% from $3.5B (2017-11-20 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- G••••••• C•••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
- G••••••• C•••••• M••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- G•••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 914-251-8200reportedpublic 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
- 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