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•••••• S•••• A•••• M••••••••• C••• L•••
Latest filing May 22, 2026
First filing on the tape Mar 30, 2016 · 41 filings
SEC status approved since Apr 21, 2016
RAUM
$72B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$34.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
163
86 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$72B as of May 22, 2026
Mar 31, 2017$48B then
HNW client RAUM$34.3M as of May 22, 2026
Mar 27, 2020$0 then
State-registered IARs (5.B.3)0 as of May 22, 2026
Mar 31, 20170 then
Employees (5.A)163 as of May 22, 2026
Mar 31, 2017144 then
Private funds: no history
RAUM +6.3% over the last fiscal year+26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 22, 2026; every figure names its basis
Archetypes, each a printed rule
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- 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
- $8.6MderivedHNW RAUM over HNW clients
- Average account
- $237MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 30%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
- +6.3%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, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, educational seminarsreportedItem 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
- 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$50B70%
- Insurance companies$10B14%
- Pension and profit-sharing plans$8.9B12%
- State and municipal entities$2.7B3.7%
- Corporations and businesses$234M0.3%
- High-net-worth individuals$34.3M0.0%
- Charitable organizations$4450.0%
- Individual clients
- 0reported
- HNW clients
- 4reported
- Pension plan clients
- 40reported
- Charitable clients
- 1reported
- Accounts
- 303reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.7 institutional_share=0.3 related_bd=true 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• G•••••• W•••••• · Directorcontrolsince 01/2016 · owns less than 5%
- K•••••• T•••••• · Directorcontrolsince 12/2024 · owns less than 5%
- T•••••••• K•••• · Representative Director And Presidentcontrolsince 01/2024 · owns less than 5%
- S••••••••• J•••••• L••• · Chief Compliance Officer - US Matterssince 02/2016 · owns less than 5%
Entity owners
- G•••••• S•••• A•••• M••••••••• I••••••••• H••••••• L••••• · Shareholderdirect · owns 75% or more
- G•••••• S•••• A•••• M••••••••• L••• · Shareholderindirect · owns 75% or more of G•••••• S•••• A•••• M••••••••• I••••••••• H••••••• L•••••
- G•••••• S•••• G•••• I••• · Memberindirect · owns 75% or more of G••• H••••••• L•• · public reporting company
- G••• H••••••• L•• · General Partnerindirect · owns 75% or more of G•••••• S•••• A•••• M••••••••• L•••
- G••• H••••••• L•• · Memberindirect · owns 25% to 50% of G•••••• S•••• A•••• M••••••••• I••••••••• H••••••• L•••••
Related persons
Schedule D 7.A
- A• R•• A•••••••• L•••••pooled vehicle sponsorn
- A••••••• I••••••••• M••••••••• L•investment adviserbankpooled vehicle sponsorLP sponsornRAUM $6.1B
- A••••••• P••••••• F••• G• L••pooled vehicle sponsorn
- A•••• R••••••••• C••••••• L••••••real estaten
- A•• A••••• A••••••• L••pooled vehicle sponsorn
- B•••••• V••••••• O••••••••• A••••• O••••••• L•pooled vehicle sponsorn
- B•••• S••••• L••• P••••••• I• U•••••••• A•••••••• S•• R•••pooled vehicle sponsorn
- B•••• S••••• P••••••• L•• G•• S•• R•••pooled vehicle sponsorn
- B•••• S••••• S••••• C••••• P••••••• A••••••• L•••••pooled vehicle sponsorn
- B•••• S••••• S••••• C••••• P••••••• I• A••••••• L•••••pooled vehicle sponsorn
- B•••• S••••• S••••• C••••• P••••••• O••••••• A••••••• L•••pooled vehicle sponsorn
- C••• A••••••• L••pooled vehicle sponsorn
- C•••••••• A••••••••• G• L••pooled vehicle sponsorn
- D•• O••••••••• I• A••••• L••pooled vehicle sponsorn
- F•••• I••••••••• I•••broker-dealern
- G•••••• S•••• ••••• F••••••broker-dealern
- G•••••• S•••• ••••• L•••••broker-dealerinvestment adviserpooled vehicle sponsorn
- G•••••• S•••• ••••• S••••••••• L••••••broker-dealerinvestment adviserpooled vehicle sponsorn
- G•••••• S•••• •••••• L•••••investment adviserpooled vehicle sponsorn
- G•••••• S•••• •••••• C•••••• M•••••• P•••••• L••••••broker-dealern
- G•••••• S•••• •••••• S••••••••• P•••••• L••••••broker-dealerinvestment advisern
- G•••••• S•••• ••••••••• P•••broker-dealerinvestment adviserpooled vehicle sponsorn
- G•••••• S•••• • C•• L••broker-dealerinvestment adviserbanktrust companynRAUM $134B
- G•••••• S•••• A••••• F•••• G•• L••pooled vehicle sponsorn
- G•••••• S•••• A••••••••• A••••• S•• R••pooled vehicle sponsorn
- G•••••• S•••• A•••• M••••••••• •••• K•••• L••••••investment advisernRAUM $21B
- G•••••• S•••• A•••• M••••••••• •••••• P•••••• L••••••investment adviserpooled vehicle sponsorn
- G•••••• S•••• A•••• M••••••••• ••••••••• P••• L•••broker-dealerinvestment adviserbankpooled vehicle sponsornRAUM $14B
- G•••••• S•••• A•••• M••••••••• A•••••••• P•• L••broker-dealerinvestment adviserpooled vehicle sponsorn
- G•••••• S•••• A•••• M••••••••• B•••investment adviserpooled vehicle sponsorn
Advisers that list G•••••• S•••• A•••• M••••••••• C••• L••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 292 to 303Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 47 to 86Mar 31, 2025 to Mar 31, 2026
- Individual clients · unset to 0.0Mar 31, 2025 to Mar 31, 2026
- Pension plan clients · 38 to 40Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 183 to 203Mar 31, 2025 to Mar 31, 2026
- Employees · 126 to 163Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $68B to $72BMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $28.7M to $34.3MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $7.8B to $8.9BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $46B to $50BMar 31, 2025 to Mar 31, 2026
- RAUM · $68B to $72BMar 31, 2025 to Mar 31, 2026
- Accounts · 277 to 292Dec 18, 2024 to Mar 31, 2025
- Advisory employees · 35 to 47Dec 18, 2024 to Mar 31, 2025
- Charity clients · 0 to 1Dec 18, 2024 to Mar 31, 2025
- Corporate clients · 4 to 9Dec 18, 2024 to Mar 31, 2025
- HNW clients · 3 to 4Dec 18, 2024 to Mar 31, 2025
- Individual clients · 0.0 to unsetDec 18, 2024 to Mar 31, 2025
- Pension plan clients · 31 to 38Dec 18, 2024 to Mar 31, 2025
- Pooled vehicle clients · 190 to 183Dec 18, 2024 to Mar 31, 2025
- Employees · 154 to 126Dec 18, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Dec 18, 2024 to Mar 31, 2025
- HQ state · unset to Dec 18, 2024 to Mar 31, 2025
- Discretionary RAUM · $56B to $68BDec 18, 2024 to Mar 31, 2025
- HNW RAUM · $20.8M to $28.7MDec 18, 2024 to Mar 31, 2025
- Pension RAUM · $7.9B to $7.8BDec 18, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $32B to $46BDec 18, 2024 to Mar 31, 2025
- RAUM · $56B to $68BDec 18, 2024 to Mar 31, 2025
- Accounts · 265 to 277Jan 30, 2024 to Mar 28, 2024
- HNW clients · 2 to 3Jan 30, 2024 to Mar 28, 2024
- Pension plan clients · 33 to 31Jan 30, 2024 to Mar 28, 2024
- Pooled vehicle clients · 166 to 190Jan 30, 2024 to Mar 28, 2024
- Employees · 144 to 154Jan 30, 2024 to Mar 28, 2024
- Discretionary RAUM · $36B to $56BJan 30, 2024 to Mar 28, 2024
- HNW RAUM · $15.2M to $20.8MJan 30, 2024 to Mar 28, 2024
- Pension RAUM · $5.8B to $7.9BJan 30, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $27B to $32BJan 30, 2024 to Mar 28, 2024
- RAUM · $36B to $56BJan 30, 2024 to Mar 28, 2024
- BD registered reps · 1 to 0Dec 14, 2022 to Mar 31, 2023
- Accounts · 112 to 265Dec 14, 2022 to Mar 31, 2023
- Advisory employees · 34 to 35Dec 14, 2022 to Mar 31, 2023
Signals
9 dated events
- Takashi Kuwano (Director) appeared on Schedule A of G•••••• S•••• A•••• M••••••••• C••• L•••Dec 18, 2024 · Control person joined · fact
- Hung Ke Lee (Director) no longer on Schedule A of G•••••• S•••• A•••• M••••••••• C••• L••• (listed 2024-10-29, absent 2024-12-18)Dec 18, 2024 · Control person left · inference
- G•••••• S•••• A•••• M••••••••• C••• L••• reported RAUM $55.8B, up 57% from $35.6B (2024-01-30 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Etsuko Kanayama (Representative Director And Chairperson) no longer on Schedule A of G•••••• S•••• A•••• M••••••••• C••• L••• (listed 2024-01-30, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- K•••• T••••••• (Representative Director And President) appeared on Schedule A of G•••••• S•••• A•••• M••••••••• C••• L•••Jan 30, 2024 · Control person joined · fact
- Nmn Shigeki Kiritani (Representative Director And Chairman) no longer on Schedule A of G•••••• S•••• A•••• M••••••••• C••• L••• (listed 2022-05-18, absent 2022-07-22)Jul 22, 2022 · Control person left · inference
- Ke Hung Lee (Director) appeared on Schedule A of G•••••• S•••• A•••• M••••••••• C••• L•••May 18, 2022 · Control person joined · fact
- Nmn Shunichi Yamada (Director) no longer on Schedule A of G•••••• S•••• A•••• M••••••••• C••• L••• (listed 2020-10-30, absent 2021-02-09)Feb 9, 2021 · Control person left · inference
- G•••••• S•••• A•••• M••••••••• C••• L••• filed its initial SEC registration (Form ADV)Mar 30, 2016 · First SEC registration · 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
- am.gs.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 81-3-4587-6000reportedpublic record, Form ADV, May 22, 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