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••••••• F•••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Apr 2, 2012 · 23 filings
SEC status approved since Dec 17, 2009
RAUM
$7.4B
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
75
32 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
43
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$7.4B as of Mar 31, 2026
Apr 2, 2012$2.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Apr 2, 20120 then
Employees (5.A)75 as of Mar 31, 2026
Mar 28, 201360 then
Private funds43 as of Mar 31, 2026
Apr 2, 201245 then
RAUM +0.5% over the last fiscal year+9.4% 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
- $146MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.5%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 vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $6.8B, 40 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
- 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)
- 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$6.0B83%
- State and municipal entities$569M7.8%
- Pension and profit-sharing plans$328M4.5%
- Insurance companies$228M3.1%
- Sovereign wealth funds$78.9M1.1%
- Investment companies$58.9M0.8%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 51reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.8B for 40 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.82 institutional_share=0.16 related_bd=false related_bank=true 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
137 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G••••••• C•••••• S•••••••• F••• I• L••• | Private Equity Fund | $685M | 13 | Mar 31, 2022 |
| G••••••• P• H••••••• L• | Private Equity Fund | $612M | 69 | Mar 29, 2024 |
| G••••••• C•••••• S•••••••• F••• I•• L• | Other Private Fund | $608M | 11 | Mar 29, 2024 |
| G••••••• S••••• M••••• F•••no longer reported | Hedge Fund | $542M | 6 | Apr 2, 2012 |
| G••••••• S••••• F•••no longer reported | Hedge Fund | $536M | 6 | Apr 2, 2012 |
| G••••• I••••••••• H••••••• L•• | Other Private Fund | $532M | 20 | Mar 29, 2019 |
| G••••••• D••••••••• A•••••••• M••••• F••• I•no longer reported | Hedge Fund | $531M | 47 | Mar 31, 2015 |
| G••••••• P• F••••• L• | Private Equity Fund | $509M | 19 | Mar 29, 2024 |
| G••••••• 1••• O••••••••• F••• L•• | Hedge Fund | $459M | 2 | Mar 29, 2019 |
| G••••••• M••••••••• F••• L••• | Hedge Fund | $374M | 5 | Mar 31, 2022 |
| G••••••• M••••••••• F••••• F••• L••• | Hedge Fund | $306M | 2 | Mar 31, 2022 |
| G••••••• D••••••••• A•••••••• O••••••• F••• I•no longer reported | Hedge Fund | $287M | 32 | Mar 31, 2015 |
| G••••••• D••••••••• O••••••••• F••• I•••• L• | Private Equity Fund | $252M | 8 | Mar 30, 2016 |
| G••••••• A•••••••• O••••••••• F••• L••no longer reported | Hedge Fund | $249M | 23 | Apr 2, 2012 |
| G••••••• D••••••••• O••••••••• O••••••• F••• I•••• L•• | Private Equity Fund | $248M | 2 | Mar 30, 2016 |
| G••••••• O••••••••• F••• S•• | Hedge Fund | $209M | 100 | Mar 31, 2015 |
| G••••••• C•••••• S•••••••• F•••• L••• | Private Equity Fund | $205M | 19 | Mar 29, 2018 |
| G••••••• D••••••••• O••••••••• F••• L••no longer reported | Hedge Fund | $204M | 43 | Apr 2, 2012 |
| G••••••• S•••••• S••••••••• O••••••••• I• L• | Private Equity Fund | $201M | 44 | Mar 29, 2024 |
| G••••••• D••••••••• O••••••••• F••• I•• L• | Private Equity Fund | $189M | 42 | Mar 30, 2016 |
| G••••••• D••••••••• O••••••••• O••••••• F••• L••no longer reported | Hedge Fund | $177M | 17 | Apr 2, 2012 |
| G••••••• S•••••• O••••••••• F••• S••••••••• S•no longer reported | Hedge Fund | $168M | 1 | Mar 31, 2015 |
| G••••••• A• F•• S•••••••• P••••••••• F••• L•• | Other Private Fund | $149M | 1 | Mar 30, 2021 |
| G••••••• E••••••• M•••••• F•••no longer reported | Hedge Fund | $141M | 24 | Apr 2, 2012 |
| G••••••• D••••••••• O••••••••• F••• I• L• | Private Equity Fund | $140M | 43 | Mar 28, 2013 |
| P••••• R••• H••••••• L•• | Private Equity Fund | $108M | 19 | Mar 29, 2019 |
| G••••••• M••••• F•••no longer reported | Hedge Fund | $103M | 5 | Apr 2, 2012 |
| G••••••• E• C••••• T•••• R••••• F••• | Other Private Fund | $96.6M | 1 | Mar 30, 2020 |
| G••••••• E• C••••• T•••• R••••• F••••• F••• | Other Private Fund | $96.3M | 3 | Mar 30, 2020 |
| B••• F••• I••••••••• H••••••• I• L•• | Other Private Fund | $89.6M | 17 | Mar 29, 2024 |
| G••••••• O••••••••• F••• S•• • V•• S• | Other Private Fund | $87.1M | 31 | Mar 31, 2017 |
| G••••••• M••••• F••• L••no longer reported | Hedge Fund | $86.4M | 5 | Apr 2, 2012 |
| G••••••• E••••••• M•••••• L••no longer reported | Hedge Fund | $85.1M | 4 | Apr 2, 2012 |
| G••••••• O••••••••• F••••••••• O••••••••• I• O••••••• S•no longer reported | Hedge Fund | $83.4M | 1 | Mar 28, 2013 |
| G••••••• E••••••• M•••••• E••••••• M••••• F•••no longer reported | Other Private Fund | $83.4M | 1 | Apr 2, 2012 |
| G••••••• E••••••• M•••••• E••••••• F••• L••no longer reported | Other Private Fund | $83.3M | 8 | Apr 2, 2012 |
| G••••••• D• L•• H••••••• L•• | Private Equity Fund | $82.2M | 36 | Mar 31, 2023 |
| G••••••• V•••••••• O••••••••• M••••• F••• | Hedge Fund | $77.6M | 12 | Mar 30, 2016 |
| G••••••• S•••••• O••••••••• F••••••• I•• L•• S•no longer reported | Hedge Fund | $73.5M | 1 | Mar 30, 2016 |
| G••••••• E••••••• M•••••• D•••••• C••••• F••• | Hedge Fund | $61.5M | 3 | Mar 30, 2021 |
Owners and control persons
Schedule A and B, latest filing
- E•••••••• M••••••• A•• · Chaircontrolsince 07/2020 · owns 10% to 25%
- H•••••••• T•••••• P•••••• · Presidentcontrolsince 02/2023 · owns less than 5%
- J••••••• R•••••• M•••••• · Co-Chief Operating Officercontrolsince 01/2014 · owns less than 5%
- K••••••••• R•••••• S•••• · Chief Investment Officercontrolsince 12/2009 · owns less than 5%
- L•••••• R•••••• J••• · Chief Compliance Officercontrolsince 12/2009 · owns less than 5%
- O••••••• J•••••• M•••••• · Chief Legal Officercontrolsince 03/2019 · owns less than 5%
- S•••••• S••••• G•• · Co-Chief Operating Officercontrolsince 12/2009 · owns less than 5%
- W•••••• D•••••• M•••••• · Chief Financial Officercontrolsince 07/2021 · owns less than 5%
- K••••••••• R•••••• S•••• · Managing Membercontrolsince 06/2009 · owns 75% or more of C•••• N•••• C•••••• M••••••••• L••
- S•••••• S••••• G•• · Managing Membercontrolsince 05/2018 · owns 75% or more of T••• O••• C•••••• M••••••••• L••
Entity owners
- G••••••• F•••••••• G•••• L•• · Ownerdirect · owns 50% to 75%
- C•••• N•••• C•••••• M••••••••• L•• · Memberindirect · owns 75% or more of G••••••• F•••••••• G•••• L••
- K••• I••••••••• H•••••••• L•• · Memberindirect · owns 75% or more of K••• I••••••••• U•• L••
- K••• I••••••••• M••••••••• L•• · Memberindirect · owns 75% or more of K••• I••••••••• H•••••••• L••
- S•• B••••••••• C••••• E••••••••• R••••••••• A••••••••• · Managing Memberindirect · owns 75% or more of G••••••• E• P• L••
- T••• O••• C•••••• M••••••••• L•• · Memberindirect · owns 25% to 50% of G••••••• F•••••••• G•••• L••
- W•••• M•••••••• I•••••••• G••••• L••• · Shareholderindirect · owns 75% or more of W• H••••• •••••••• L••• · public reporting company
- W• H••••• •••••••• L••• · Shareholderindirect · owns 75% or more of W• I••••••••• H••••••• L•••
- W• I••••••••• H••••••• L••• · Shareholderindirect · owns 75% or more of W• R••••• L•••
- W• R••••• L••• · Memberindirect · owns 75% or more of K••• I••••••••• M••••••••• L••
- G••••••• E• P• L•• · Memberdirect · owns 5% to 10%
- K••• I••••••••• U•• L•• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- C••••••••• R••••• H••••••• G• L••pooled vehicle sponsory
- C• C•••••••• A••••••••• G• L•••pooled vehicle sponsory
- G• S• M•••••• C••••pooled vehicle sponsory
- G••••••• C•••••• S•••••••• F••• G• L••bankpooled vehicle sponsory
- G••••••• C•••••• S•••••••• F••• I• G• L••bankpooled vehicle sponsory
- G••••••• C•••••• S•••••••• F••• I•• G• L••bankpooled vehicle sponsory
- G••••••• D••••••••• A•••••••• I•• G•• L•••bankpooled vehicle sponsory
- G••••••• D••••••••• O••••••••• G•• L•••bankpooled vehicle sponsory
- G••••••• D••••••••• O••••••••• I•• G•• L•••bankpooled vehicle sponsory
- G••••••• D••••••••• O••••••••• I•••• G•• L•••bankpooled vehicle sponsory
- G••••••• D• L•• G• L••pooled vehicle sponsory
- G••••••• E•••••• F••• G• L••pooled vehicle sponsory
- G••••••• L••investment advisery
- G••••••• M••••••••• G•••••• P••••••• L••pooled vehicle sponsory
- G••••••• P• G• L••pooled vehicle sponsory
- G••••••• S•••••• S••••••••• O••••••••• I• G• L••pooled vehicle sponsory
- G••••••• V•••••••• S•••••• S••••••••• G• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Miami, FL2 employees
- West Palm Beach, FL2 employees
What changed
consecutive filings, newest first
- Accounts · 50 to 51Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 30 to 32Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 39 to 40Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $5.8B to $6.8BMar 31, 2025 to Mar 31, 2026
- Employees · 68 to 75Mar 31, 2025 to Mar 31, 2026
- Private funds · 45 to 43Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $7.4B to $7.4BMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $395M to $328MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $5.8B to $6.0BMar 31, 2025 to Mar 31, 2026
- RAUM · $7.4B to $7.4BMar 31, 2025 to Mar 31, 2026
- Accounts · 52 to 50Jan 30, 2025 to Mar 31, 2025
- Advisory employees · 28 to 30Jan 30, 2025 to Mar 31, 2025
- Advisory activities · 2 to 3Jan 30, 2025 to Mar 31, 2025
- Pooled vehicle clients · 42 to 39Jan 30, 2025 to Mar 31, 2025
- Assets in custody · $5.5B to $5.8BJan 30, 2025 to Mar 31, 2025
- Employees · 60 to 68Jan 30, 2025 to Mar 31, 2025
- Financial planning clients · 0 to 0Jan 30, 2025 to Mar 31, 2025
- Private funds · 48 to 45Jan 30, 2025 to Mar 31, 2025
- Discretionary RAUM · $7.1B to $7.4BJan 30, 2025 to Mar 31, 2025
- Pension RAUM · $506M to $395MJan 30, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $5.4B to $5.8BJan 30, 2025 to Mar 31, 2025
- RAUM · $7.1B to $7.4BJan 30, 2025 to Mar 31, 2025
- HQ city · GREENWICH to WEST PALM BEACHApr 30, 2024 to Jan 30, 2025
- HQ state · CT to FLApr 30, 2024 to Jan 30, 2025
- Accounts · 48 to 52Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 30 to 28Mar 31, 2023 to Mar 29, 2024
- Pooled vehicle clients · 36 to 42Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $3.8B to $5.5BMar 31, 2023 to Mar 29, 2024
- Employees · 61 to 60Mar 31, 2023 to Mar 29, 2024
- Private funds · 43 to 48Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $5.7B to $7.1BMar 31, 2023 to Mar 29, 2024
- Pension RAUM · $532M to $506MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $3.8B to $5.4BMar 31, 2023 to Mar 29, 2024
- RAUM · $5.7B to $7.1BMar 31, 2023 to Mar 29, 2024
- Accounts · 43 to 48Dec 2, 2022 to Mar 31, 2023
- Advisory employees · 29 to 30Dec 2, 2022 to Mar 31, 2023
- Pooled vehicle clients · 31 to 36Dec 2, 2022 to Mar 31, 2023
- Assets in custody · $4.0B to $3.8BDec 2, 2022 to Mar 31, 2023
- Other offices · 0 to 2Dec 2, 2022 to Mar 31, 2023
- Private funds · 38 to 43Dec 2, 2022 to Mar 31, 2023
Signals
7 dated events
- Patrick Thomas Humphrey (President) appeared on Schedule A of G••••••• F•••• M••••••••• L••Mar 31, 2023 · Control person joined · fact
- Michael Dennis Wilson (Co-Chief Financial Officer) appeared on Schedule A of G••••••• F•••• M••••••••• L••Mar 31, 2023 · Control person joined · fact
- Aly Mohamed El-Erian (Chair) appeared on Schedule A of G••••••• F•••• M••••••••• L••Mar 31, 2022 · Control person joined · fact
- Michael Joshua O'Melia (Chief Legal Officer) appeared on Schedule A of G••••••• F•••• M••••••••• L••Mar 29, 2019 · Control person joined · fact
- James Taylor (Chief Legal Officer) no longer on Schedule A of G••••••• F•••• M••••••••• L•• (listed 2018-04-23, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Lawrence Robert Rauch (Portfolio Manager) no longer on Schedule A of G••••••• F•••• M••••••••• L•• (listed 2018-04-23, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Walter David Herzberg (Portfolio Manager) no longer on Schedule A of G••••••• F•••• M••••••••• L•• (listed 2018-04-23, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- G••••••• F•••• M••••••••• L•• · Family Officesshared crd · office
- G••••••• F•••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- G••••••• F•••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/G•••••••-FUNDS-MANAGEMENTreportedpublic record, Form ADV, Sep 18, 2026
- Website
- G•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-552-1900reportedpublic 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