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•• A••••••• I•••
Latest filing Mar 25, 2026
First filing on the tape Feb 14, 2012 · 20 filings
SEC status approved since Mar 30, 2012
RAUM
$213M
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
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$213M as of Mar 25, 2026
Mar 27, 2013$246M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 27, 20130 then
Employees (5.A)9 as of Mar 25, 2026
Mar 27, 20137 then
Private funds5 as of Mar 25, 2026
Mar 27, 20135 then
RAUM -30% over the last fiscal year-21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
- $42.5MderivedRAUM 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
- -30%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
- 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)
- 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
- Pooled investment vehicles$213M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••••• F••• V••• L• | Private Equity Fund | $391M | 18 | Mar 23, 2016 |
| S•••••••• F••• V•• L• | Private Equity Fund | $35.0M | 26 | Feb 14, 2012 |
| S•••••••• V•• C••••••••• F•••••• L••• | Private Equity Fund | $13.2M | 2 | Mar 31, 2017 |
| S•••••••• F••• V• L• | Private Equity Fund | $4.9M | 37 | Feb 14, 2012 |
| S•••••••• F••• I•• L•no longer reported | Private Equity Fund | $3.3M | 47 | Feb 14, 2012 |
| G•• F••••• L••no longer reported | Other Private Fund | $2.4M | 5 | Feb 14, 2012 |
| S•••••••• 2••• C••••••••• F•••• L•• | Private Equity Fund | $793,629 | 1 | Feb 14, 2012 |
| S•••••••• V• C••••••••• F•••• L• | Private Equity Fund | $313,232 | 2 | Feb 14, 2012 |
| S•••••••• V• 2••• C••••••••• F•••• L•• | Private Equity Fund | $129,405 | 1 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••• B•••••• D••••• · President, Chief Executive Officercontrolsince 02/1985 · owns 75% or more
- B•••••••• S••••••• E••••• · Consultant / Operating Partnersince 02/1985 · owns less than 5%
- B•••• J••••• E••••• C••••••• · Directorsince 02/2022 · owns less than 5%
- G•••••• J•••••• B•••• · Vice Presidentsince 12/2023 · owns less than 5%
- N•••••• D•••••• D••••• · Executive Vice Presidentsince 11/1996 · owns less than 5%
- Q••••••• J••• W••••• · Chief Compliance Officersince 08/2023 · owns less than 5%
Related persons
Schedule D 7.A
- G••••• P••••••• V•• L••pooled vehicle sponsorn
- G••••• P••••••• V••• L••pooled vehicle sponsorn
- G•• P•••••••• L••pooled vehicle sponsorn
- G•• C•• A•••••• P••••••• V•• L•pooled vehicle sponsorn
- G•• C•• A•••••• P••••••• V••• L••pooled vehicle sponsorn
- G•• C•• A•••••• P•••••••• L•pooled vehicle sponsorn
- G•••••• C•••••• C•••••••••n
- G•••••• C•••••• R••• A•••••••• I•••n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 25, 2026RAUM (Item 5.F) moved from $304,121,977 to $212,594,650 (-30.0%) between the annual amendments of 2025-03-26 and 2026-03-25; the peer median change was +4.0% (1148 comparable advisers, 8.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 8.3% percentile
What changed
consecutive filings, newest first
- Accounts · 7 to 5Mar 26, 2025 to Mar 25, 2026
- Pooled vehicle clients · 7 to 5Mar 26, 2025 to Mar 25, 2026
- Employees · 8 to 9Mar 26, 2025 to Mar 25, 2026
- Private funds · 7 to 5Mar 26, 2025 to Mar 25, 2026
- Discretionary RAUM · $304M to $213MMar 26, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $304M to $213MMar 26, 2025 to Mar 25, 2026
- RAUM · $304M to $213MMar 26, 2025 to Mar 25, 2026
- Employees · 9 to 8Jun 11, 2024 to Mar 26, 2025
- Financial planning clients · unset to Jun 11, 2024 to Mar 26, 2025
- Discretionary RAUM · $446M to $304MJun 11, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $446M to $304MJun 11, 2024 to Mar 26, 2025
- RAUM · $446M to $304MJun 11, 2024 to Mar 26, 2025
- Discretionary RAUM · $389M to $446MMar 25, 2024 to Jun 11, 2024
- Pooled vehicle RAUM · $389M to $446MMar 25, 2024 to Jun 11, 2024
- RAUM · $389M to $446MMar 25, 2024 to Jun 11, 2024
- Employees · 10 to 9Oct 24, 2023 to Mar 25, 2024
- Discretionary RAUM · $434M to $389MOct 24, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $434M to $389MOct 24, 2023 to Mar 25, 2024
- RAUM · $434M to $389MOct 24, 2023 to Mar 25, 2024
- Advisory employees · 7 to 5Mar 25, 2022 to Mar 31, 2023
- Employees · 14 to 10Mar 25, 2022 to Mar 31, 2023
- Discretionary RAUM · $410M to $434MMar 25, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $410M to $434MMar 25, 2022 to Mar 31, 2023
- RAUM · $410M to $434MMar 25, 2022 to Mar 31, 2023
- Discretionary RAUM · $338M to $410MMar 24, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $338M to $410MMar 24, 2021 to Mar 25, 2022
- RAUM · $338M to $410MMar 24, 2021 to Mar 25, 2022
- Discretionary RAUM · $355M to $338MMar 26, 2020 to Mar 24, 2021
- Pooled vehicle RAUM · $355M to $338MMar 26, 2020 to Mar 24, 2021
- RAUM · $355M to $338MMar 26, 2020 to Mar 24, 2021
- Discretionary RAUM · $444M to $355MMar 27, 2019 to Mar 26, 2020
- Pooled vehicle RAUM · $444M to $355MMar 27, 2019 to Mar 26, 2020
- RAUM · $444M to $355MMar 27, 2019 to Mar 26, 2020
- Discretionary RAUM · $405M to $444MMar 16, 2018 to Mar 27, 2019
- Pooled vehicle RAUM · $405M to $444MMar 16, 2018 to Mar 27, 2019
- RAUM · $405M to $444MMar 16, 2018 to Mar 27, 2019
- Pooled vehicle clients · unset to 7.0Mar 31, 2017 to Mar 16, 2018
- Other offices · unset to 0.0Mar 31, 2017 to Mar 16, 2018
- Discretionary RAUM · $412M to $405MMar 31, 2017 to Mar 16, 2018
- Pooled vehicle RAUM · unset to 405063000.0Mar 31, 2017 to Mar 16, 2018
Signals
1 dated events
- G•• C•• A••••••• I••• reported RAUM $304.1M, down 32% from $445.8M (2024-06-11 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- G•• C•• A••••••• I••• · Independent Sponsorsshared crd · capital_provider
- G•• C•• A••••••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/gen-cap-america-inc./mycompanyreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 615-256-0231reportedpublic record, Form ADV, Mar 25, 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