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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Former SEC-registered adviser

G••••••••• C••••••• I••

Former SEC-registered adviserNew York, New YorkCRD 157083SEC 801-72945IAPD
Latest filing Oct 31, 2023
First filing on the tape Dec 5, 2011 · 26 filings
RAUM
$1.4B
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
26
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$2.5B gross assets
History
26 filings and snapshots on the tape
RAUM$1.4B as of Mar 31, 2023
Mar 30, 2012$8.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Apr 1, 20130 then
Employees (5.A)26 as of Mar 31, 2023
Apr 1, 201328 then
Private funds4 as of Mar 31, 2023
Mar 30, 20125 then
RAUM +23% over the last fiscal year-4.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 31, 2023; 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
$355MderivedRAUM 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
+23%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
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$1.4B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
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
      Every departureEvery arrival
      Private funds
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G••••••••• C•••••• O••••••• P•••••••• L•••Hedge Fund$1.4B2Mar 31, 2021
      G••••••••• C•••••• O••••••• P•••••••no longer reportedHedge Fund$911M3Dec 5, 2011
      G••••••••• C•••••• Q••••••••• L•••no longer reportedHedge Fund$597M99Dec 5, 2011
      G••• I••••••••• L•Hedge Fund$579M2Mar 31, 2021
      G••••••••• C••••••• L•••Hedge Fund$363M90Dec 5, 2011
      G••••••••• C•••••• O••••••• L•••no longer reportedHedge Fund$167M70Dec 5, 2011
      G••••••••• C•••••• O••••••• Q••••••••• L•••Hedge Fund$98.2M29Dec 5, 2011
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• B••••••• C••••••••• · Chief Financial Officercontrol
        since 02/2019 · owns less than 5%
      • E••••••• D••••• M•••••• · President; Directorcontrol
        since 01/1996 · owns 75% or more
      • R••••••• D•••••• E• · Chief Operating Officercontrol
        since 01/2003 · owns less than 5%
      • R••••• S•••••• A••• · Chief Compliance Officercontrol
        since 01/2019 · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 12 to 11
        Apr 11, 2022 to Mar 31, 2023
      • Employees · 28 to 26
        Apr 11, 2022 to Mar 31, 2023
      • Discretionary RAUM · $1.2B to $1.4B
        Apr 11, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $1.2B to $1.4B
        Apr 11, 2022 to Mar 31, 2023
      • RAUM · $1.2B to $1.4B
        Apr 11, 2022 to Mar 31, 2023
      • Advisory employees · 13 to 12
        Sep 13, 2021 to Mar 31, 2022
      • Employees · 30 to 28
        Sep 13, 2021 to Mar 31, 2022
      • Discretionary RAUM · $1.1B to $1.2B
        Sep 13, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $1.1B to $1.2B
        Sep 13, 2021 to Mar 31, 2022
      • RAUM · $1.1B to $1.2B
        Sep 13, 2021 to Mar 31, 2022
      • Accounts · 5 to 4
        Mar 30, 2020 to Mar 31, 2021
      • Advisory employees · 12 to 13
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 5 to 4
        Mar 30, 2020 to Mar 31, 2021
      • Employees · 29 to 30
        Mar 30, 2020 to Mar 31, 2021
      • Private funds · 5 to 4
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $1.6B to $1.1B
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $1.6B to $1.1B
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $1.6B to $1.1B
        Mar 30, 2020 to Mar 31, 2021
      • Employees · 32 to 29
        Mar 30, 2019 to Mar 30, 2020
      • Advisory employees · 13 to 12
        Mar 30, 2019 to Mar 30, 2020
      • Assets in custody · $1.9B to $0
        Mar 30, 2019 to Mar 30, 2020
      • Other offices · 1 to 0
        Mar 30, 2019 to Mar 30, 2020
      • Discretionary RAUM · $1.9B to $1.6B
        Mar 30, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $1.9B to $1.6B
        Mar 30, 2019 to Mar 30, 2020
      • RAUM · $1.9B to $1.6B
        Mar 30, 2019 to Mar 30, 2020
      • Advisory employees · 14 to 13
        Jan 2, 2019 to Mar 30, 2019
      • Assets in custody · $6.3B to $1.9B
        Jan 2, 2019 to Mar 30, 2019
      • Employees · 34 to 32
        Jan 2, 2019 to Mar 30, 2019
      • Discretionary RAUM · $6.3B to $1.9B
        Jan 2, 2019 to Mar 30, 2019
      • Pooled vehicle RAUM · $6.3B to $1.9B
        Jan 2, 2019 to Mar 30, 2019
      • RAUM · $6.3B to $1.9B
        Jan 2, 2019 to Mar 30, 2019
      • Advisory employees · 15 to 14
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 5.0
        Mar 31, 2017 to Mar 30, 2018
      • Assets in custody · $8.7B to $6.3B
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $8.7B to $6.3B
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 6339369226.0
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $8.7B to $6.3B
        Mar 31, 2017 to Mar 30, 2018
      • Advisory employees · 14 to 15
        Aug 9, 2016 to Mar 31, 2017
      • Assets in custody · $9.3B to $8.7B
        Aug 9, 2016 to Mar 31, 2017
      Signals
      7 dated events
      • Vinit Sethi (Vice President And Director Of Research) no longer on Schedule A of G••••••••• C••••••• I•• (listed 2021-06-03, absent 2021-09-13)
        Sep 13, 2021 · Control person left · inference
      • G••••••••• C••••••• I•• reported RAUM $1.1B, down 33% from $1.6B (2020-03-30 to 2021-03-31)
        Mar 31, 2021 · RAUM change · derived
      • Joseph Harry Brandler (Chief Financial Officer) no longer on Schedule A of G••••••••• C••••••• I•• (listed 2019-01-02, absent 2019-03-30)
        Mar 30, 2019 · Control person left · inference
      • Christopher Barrett Brown (Chief Financial Officer) appeared on Schedule A of G••••••••• C••••••• I••
        Mar 30, 2019 · Control person joined · fact
      • G••••••••• C••••••• I•• reported RAUM $1.9B, down 71% from $6.3B (2019-01-02 to 2019-03-30)
        Mar 30, 2019 · RAUM change · derived
      • Adam Steven Rosen (Chief Compliance Officer) appeared on Schedule A of G••••••••• C••••••• I••
        Jan 2, 2019 · Control person joined · fact
      • G••••••••• C••••••• I•• reported RAUM $6.3B, down 27% from $8.7B (2017-03-31 to 2018-03-30)
        Mar 30, 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.
      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
      Former SEC-registered adviserderiveda 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