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
Gotham Asset Management, LLC
Latest filing Jul 30, 2026
First filing on the tape Mar 30, 2012 · 51 filings
SEC status approved since Mar 9, 2009
RAUM
$30B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
47%
$14B individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$6.0B
derived; firm RAUM over IAPD count
Employees
56
22 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
27
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$30B as of Jul 30, 2026
Mar 30, 2012$1.4B then
HNW client RAUM$14B as of Jul 30, 2026
Mar 28, 2025$4.1B then
State-registered IARs (5.B.3)4 as of Jul 30, 2026
Mar 28, 20135 then
Employees (5.A)56 as of Jul 30, 2026
Mar 28, 201340 then
Private funds27 as of Jul 30, 2026
Mar 30, 201210 then
RAUM +148% over the last fiscal year+93% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Jul 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $6.0BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $57.4MderivedHNW RAUM over HNW clients
- Average account
- $103MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 11.2derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +148%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 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 vehicles, portfolio management for investment companiesreportedItem 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)
- 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
- High-net-worth individuals$14B47%
- Pooled investment vehicles$12B39%
- Investment companies$3.7B12%
- Corporations and businesses$398M1.3%
- State and municipal entities$36.6M0.1%
- Individual clients
- n/areported
- HNW clients
- 245reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 292reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.47 fund_share=0.52 institutional_share=0.0 related_bd=false related_bank=true bd_reps=10.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Rory Patrick CollinsCertified Financial Planner | New York, Ny | Mar 20, 2009 | 25 y | 2 |
| Patricia Jean Kolb | New York, Ny | Feb 2, 2016 | 16 y | 1 |
| Lisa L Charkoudian-Barry | New York, Ny | Feb 2, 2016 | 32 y | 2 |
| Oliver Wickham Irwin | New York, Ny | Jan 7, 2026 | 11 y | 1 |
| Donato Alfredo MonetaCertified Financial Planner | New York, Ny | Aug 18, 2026 | 10 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Thomas Desiderio to American Beacon Advisors, Inc.May 7, 2021 · Other
Joined, latest
- Donato Alfredo Moneta from MarinerAug 18, 2026 · Affiliated broker-dealer or bank to independent RIA
- Oliver Wickham Irwin from Lord, Abbett & Co. LLCJan 7, 2026 · Other
- Lisa L Charkoudian-Barry from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 23, 2013 · Other
- Thomas Desiderio from Morgan Stanley & Co. LLCJul 2, 2009 · Other
- Rory Patrick Collins from Advice And Planning ServicesMar 20, 2009 · Other
Private funds
119 reported on Schedule D 7.B.(1)
All funds of Gotham Asset Management, LLC
Owners and control persons
Schedule A and B, latest filing
- Laurence Robert Goldstein · Managing Principal/Co- Chief Investment Officercontrolsince 09/2010 · owns less than 5%
- Michael Joel Greenblatt · Managing Principal/Co- Chief Investment Officercontrolsince 09/2010 · owns less than 5%
- Nmm Louis Larocca · General Counsel & Chief Compliance Officercontrolsince 03/2013 · owns less than 5%
- Philips Bernard Seibert · Chief Financial Officercontrolsince 09/2010 · owns less than 5%
- Laurence Robert Goldstein · Partnercontrolsince 08/2008 · owns 25% to 50% of Gotham Asset Management Holdings, LP
- Michael Joel Greenblatt · Partnercontrolsince 08/2008 · owns 25% to 50% of Gotham Asset Management Holdings, LP
Entity owners
- Gotham Asset Management · Owner / Memberdirect · owns 75% or more
- Gotham Asset Management Holdings, LP · Owner / Memberdirect · owns 75% or more
- Gotham Gp, LLC · General Partnerindirect · owns F of Gotham Asset Management Holdings, LP
Related persons
Schedule D 7.A
- Gotham Hedge Strategies Gp, LLCbankpooled vehicle sponsorn
- Gotham Strategies, Ltd.bankpooled vehicle sponsorn
- Joel M. Greenblattpooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 5 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Port Washington, NY1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 30, 2026SEIBERT, BERNARD, PHILIPS (CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2013-03-28 and 2026-07-30peers: independent wealth managers, $20B and over (84)
- RAUM up 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $12,125,094,734 to $30,030,456,378 (+148.0%) between the annual amendments of 2025-03-28 and 2026-03-30; the peer median change was +16.0% (80 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $20B and over (80) · 96% percentile
What changed
consecutive filings, newest first
- Private funds · 24 to 27May 29, 2026 to Jul 30, 2026
- Private funds · 21 to 24Mar 30, 2026 to May 29, 2026
- Accounts · 122 to 292Feb 25, 2026 to Mar 30, 2026
- Advisory employees · 19 to 22Feb 25, 2026 to Mar 30, 2026
- BD registered reps · 8 to 10Feb 25, 2026 to Mar 30, 2026
- HNW clients · 78 to 245Feb 25, 2026 to Mar 30, 2026
- Pooled vehicle clients · 27 to 33Feb 25, 2026 to Mar 30, 2026
- Employees · 42 to 56Feb 25, 2026 to Mar 30, 2026
- State-registered IARs · 3 to 4Feb 25, 2026 to Mar 30, 2026
- Discretionary RAUM · $12B to $30BFeb 25, 2026 to Mar 30, 2026
- HNW RAUM · $4.1B to $14BFeb 25, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $4.7B to $12BFeb 25, 2026 to Mar 30, 2026
- RAUM · $12B to $30BFeb 25, 2026 to Mar 30, 2026
- Private funds · 20 to 21Nov 20, 2025 to Feb 25, 2026
- Private funds · 17 to 20Aug 5, 2025 to Nov 20, 2025
- Private funds · 16 to 17May 29, 2025 to Aug 5, 2025
- Financial planning clients · unset to Mar 28, 2025 to May 29, 2025
- Private funds · 15 to 16Mar 28, 2025 to May 29, 2025
- Accounts · 69 to 122Feb 20, 2025 to Mar 28, 2025
- BD registered reps · 7 to 8Feb 20, 2025 to Mar 28, 2025
- HNW clients · unset to 78.0Feb 20, 2025 to Mar 28, 2025
- Pooled vehicle clients · 53 to 27Feb 20, 2025 to Mar 28, 2025
- Employees · 39 to 42Feb 20, 2025 to Mar 28, 2025
- Private funds · 85 to 15Feb 20, 2025 to Mar 28, 2025
- Discretionary RAUM · $6.3B to $12BFeb 20, 2025 to Mar 28, 2025
- HNW RAUM · unset to 4098441276.0Feb 20, 2025 to Mar 28, 2025
- Pooled vehicle RAUM · $3.9B to $4.7BFeb 20, 2025 to Mar 28, 2025
- RAUM · $6.3B to $12BFeb 20, 2025 to Mar 28, 2025
- Private funds · 75 to 85Nov 19, 2024 to Feb 20, 2025
- Private funds · 58 to 75Aug 19, 2024 to Nov 19, 2024
- Private funds · 41 to 58May 30, 2024 to Aug 19, 2024
- Private funds · 33 to 41Mar 28, 2024 to May 30, 2024
- Accounts · 60 to 69Feb 29, 2024 to Mar 28, 2024
- Advisory employees · 20 to 19Feb 29, 2024 to Mar 28, 2024
- Pooled vehicle clients · 41 to 53Feb 29, 2024 to Mar 28, 2024
- Employees · 37 to 39Feb 29, 2024 to Mar 28, 2024
- Discretionary RAUM · $4.2B to $6.3BFeb 29, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $2.1B to $3.9BFeb 29, 2024 to Mar 28, 2024
- RAUM · $4.2B to $6.3BFeb 29, 2024 to Mar 28, 2024
- Private funds · 32 to 33Nov 26, 2023 to Feb 29, 2024
Signals
4 dated events
- Gotham Asset Management, Llc reported RAUM $30.0B, up 148% from $12.1B (2026-02-25 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Gotham Asset Management, Llc reported RAUM $12.1B, up 92% from $6.3B (2025-02-20 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- Gotham Asset Management, Llc reported RAUM $6.3B, up 50% from $4.2B (2024-02-29 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Gotham Asset Management, Llc reported RAUM $4.1B, down 48% from $7.9B (2020-08-24 to 2021-03-29)Mar 29, 2021 · 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
- Firm profile
- linkedin.com/company/gotham-asset-management-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- gotham.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-319-4100reportedpublic record, Form ADV, Jul 30, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $6.0Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026