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
D•• C•••••• M••••••••• L•
Latest filing May 1, 2026
First filing on the tape Dec 5, 2011 · 29 filings
SEC status approved since Jan 3, 2012
RAUM
$4.8B
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
29
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$4.8B as of May 1, 2026
Mar 30, 2012$1.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 1, 2026
Apr 1, 20130 then
Employees (5.A)29 as of May 1, 2026
Apr 1, 20130 then
Private funds6 as of May 1, 2026
Mar 30, 20123 then
RAUM +31% over the last fiscal year+44% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 1, 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
- $600MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%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
- yesreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$4.6B97%
- Other investment advisers$158M3.3%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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=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
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G••••••••• C•••••• O••••••• M•••••• L••• | Hedge Fund | $2.3B | 2 | Dec 5, 2011 |
| G••• I••••••••• L• | Hedge Fund | $785M | 2 | Mar 31, 2021 |
| G••••••••• C•••••• L• | Hedge Fund | $647M | 170 | Dec 5, 2011 |
| G••••••••• C•••••• O••••••• L••• | Hedge Fund | $383M | 139 | Dec 5, 2011 |
| G••••••••• D••••••• H••••••• L• | Hedge Fund | $305M | 114 | Oct 31, 2023 |
| G••• O••••••• H••••••• L••• | Hedge Fund | $31.8M | 66 | Oct 31, 2023 |
| G••• O••••••• H••••••• L••• | Hedge Fund | $27.6M | 24 | Oct 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- B••••• B••••••• C••••••••• · Chief Financial Officercontrolsince 02/2019 · owns less than 5%
- E••••••• D••••• M•••••• · President; L•••••• Partnercontrolsince 05/2010 · owns 75% or more
- R••••••• D•••••• E• · Chief Operating Officercontrolsince 05/2010 · owns less than 5%
- R••••• S•••••• A••• · Chief Compliance Officercontrolsince 01/2019 · owns less than 5%
- E••••••• D••••• M•••••• · Senior Managercontrolsince 04/2004 · owns 75% or more of D•• A••••••• G•• L••
Entity owners
- D•• A••••••• G•• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- D•• A••••••• G•• L••y
- D•• A••••••• I•• L••bankpooled vehicle sponsorn
- D•• A•••••••• L••pooled vehicle sponsorn
- D•• A•••••••• L•investment adviserbanknRAUM $907M
- D•• M••••••••• G•• L••bankpooled vehicle sponsorn
- G••••••••• C•••••• H••••••• ••• L••••••investment advisern
- G••••••••• M•••••• G•• L••bankpooled vehicle sponsorn
- G••••••••• M••••••• L••investment adviserbanknRAUM $1.3B
Advisers that list D•• C•••••• M••••••••• L• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 9 to 8Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 10 to 11Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 8 to 7Mar 31, 2025 to Mar 31, 2026
- Employees · 28 to 29Mar 31, 2025 to Mar 31, 2026
- Private funds · 7 to 6Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $3.7B to $4.8BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $3.5B to $4.6BMar 31, 2025 to Mar 31, 2026
- RAUM · $3.7B to $4.8BMar 31, 2025 to Mar 31, 2026
- Advisory employees · 11 to 10Mar 29, 2024 to Mar 31, 2025
- Employees · 29 to 28Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $3.2B to $3.7BMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $3.0B to $3.5BMar 29, 2024 to Mar 31, 2025
- RAUM · $3.2B to $3.7BMar 29, 2024 to Mar 31, 2025
- Accounts · 5 to 9Oct 31, 2023 to Mar 29, 2024
- Advisory employees · 0 to 11Oct 31, 2023 to Mar 29, 2024
- Advisory activities · 1 to 2Oct 31, 2023 to Mar 29, 2024
- Pooled vehicle clients · 5 to 8Oct 31, 2023 to Mar 29, 2024
- Employees · 0 to 29Oct 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.6B to $3.2BOct 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $1.6B to $3.0BOct 31, 2023 to Mar 29, 2024
- RAUM · $1.6B to $3.2BOct 31, 2023 to Mar 29, 2024
- Private funds · 4 to 7Mar 31, 2023 to Oct 31, 2023
- Discretionary RAUM · $1.2B to $1.6BApr 11, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.2B to $1.6BApr 11, 2022 to Mar 31, 2023
- RAUM · $1.2B to $1.6BApr 11, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.0B to $1.2BSep 13, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $1.0B to $1.2BSep 13, 2021 to Mar 31, 2022
- RAUM · $1.0B to $1.2BSep 13, 2021 to Mar 31, 2022
- Accounts · 3 to 5Mar 30, 2020 to Mar 31, 2021
- Pooled vehicle clients · 3 to 5Mar 30, 2020 to Mar 31, 2021
- Private funds · 3 to 4Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $1.2B to $1.0BMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $1.2B to $1.0BMar 30, 2020 to Mar 31, 2021
- RAUM · $1.2B to $1.0BMar 30, 2020 to Mar 31, 2021
- Assets in custody · $1.3B to $0Mar 30, 2019 to Mar 30, 2020
- Other offices · 1 to 0Mar 30, 2019 to Mar 30, 2020
- Discretionary RAUM · $1.3B to $1.2BMar 30, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $1.3B to $1.2BMar 30, 2019 to Mar 30, 2020
- RAUM · $1.3B to $1.2BMar 30, 2019 to Mar 30, 2020
Signals
8 dated events
- D•• C•••••• M••••••••• L• reported RAUM $4.8B, up 31% from $3.7B (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- D•• C•••••• M••••••••• L• reported RAUM $3.2B, up 98% from $1.6B (2023-10-31 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- D•• C•••••• M••••••••• L• reported RAUM $1.6B, up 30% from $1.2B (2022-04-11 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Vinit Sethi (Vice President And Director Of Research) no longer on Schedule A of D•• C•••••• M••••••••• L• (listed 2021-03-31, absent 2021-09-13)Sep 13, 2021 · Control person left · inference
- D•• C•••••• M••••••••• L• reported RAUM $1.3B, down 66% from $3.9B (2019-01-02 to 2019-03-30)Mar 30, 2019 · RAUM change · derived
- Christopher Barrett Brown (Chief Financial Officer) appeared on Schedule A of D•• C•••••• M••••••••• L•Mar 30, 2019 · Control person joined · fact
- Joseph Harry Brandler (Chief Financial Officer) no longer on Schedule A of D•• C•••••• M••••••••• L• (listed 2019-01-02, absent 2019-03-30)Mar 30, 2019 · Control person left · inference
- Adam Steven Rosen (Chief Compliance Officer) appeared on Schedule A of D•• C•••••• M••••••••• L•Jan 2, 2019 · Control person joined · fact
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•••://WWW.G•••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-973-1900reportedpublic record, Form ADV, May 1, 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