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••••••• • R••••••••• A••••••••• L••
Latest filing May 4, 2026
First filing on the tape May 19, 2016 · 18 filings
SEC status approved since May 23, 2016
RAUM
$1.5B
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
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$1.5B as of May 4, 2026
Mar 31, 2017$5.9M then
HNW client RAUM$1.8M as of Mar 11, 2025
Mar 21, 2018$2.3M then
State-registered IARs (5.B.3)0 as of May 4, 2026
Mar 31, 20170 then
Employees (5.A)6 as of May 4, 2026
Mar 31, 20172 then
Private funds3 as of May 4, 2026
Mar 31, 20221 then
RAUM +109% over the last fiscal year+62% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 4, 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
- $117MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 12%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
- +109%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, 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)
- 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
- Investment companies$764M71%
- Sovereign wealth funds$161M15%
- Corporations and businesses$127M12%
- Pension and profit-sharing plans$13.8M1.3%
- Pooled investment vehicles$5.3M0.5%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 13reported
- 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=0.51 institutional_share=0.12 related_bd=false related_bank=false bd_reps=2.0derived
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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•• A•••• F•••• L• | Venture Capital Fund | $5.0M | 8 | Mar 31, 2022 |
| G•• B•••••• M•••• F••• B••• L• | Other Private Fund | $4.3M | 3 | Jan 23, 2024 |
| G•• B••••• M•••• F•••• L• | Other Private Fund | $1.0M | 1 | Jan 23, 2024 |
Owners and control persons
Schedule A and B, latest filing
- G•••••••• L••••• R•••••• · Managing Membercontrolsince 12/2015 · owns 50% to 75%
- O•••••• K••••• J••• · Chief Compliance Officercontrolsince 01/2022 · owns less than 5%
- R••••••••• A•••• A•••••••• · Managing Membercontrolsince 12/2015 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 18, 2026RAUM (Item 5.F) moved from $726,184,621 to $1,514,632,680 (+109.0%) between the annual amendments of 2025-03-11 and 2026-03-18; the peer median change was +11.0% (231 comparable advisers, 90.0th percentile of changes)peers: other advisers, $1B to $5B (231) · 90% percentile
What changed
consecutive filings, newest first
- Accounts · 14 to 13Mar 11, 2025 to Mar 18, 2026
- Advisory activities · 4 to 5Mar 11, 2025 to Mar 18, 2026
- Pooled vehicle clients · 4 to 3Mar 11, 2025 to Mar 18, 2026
- Discretionary RAUM · $726M to $1.5BMar 11, 2025 to Mar 18, 2026
- HNW RAUM · 1802679.0 to unsetMar 11, 2025 to Mar 18, 2026
- Pension RAUM · $8.6M to $13.8MMar 11, 2025 to Mar 18, 2026
- Pooled vehicle RAUM · $27.5M to $5.3MMar 11, 2025 to Mar 18, 2026
- RAUM · $726M to $1.5BMar 11, 2025 to Mar 18, 2026
- Accounts · 13 to 14Jan 23, 2024 to Mar 11, 2025
- Pooled vehicle clients · 3 to 4Jan 23, 2024 to Mar 11, 2025
- Financial planning clients · unset to Jan 23, 2024 to Mar 11, 2025
- Discretionary RAUM · $544M to $726MJan 23, 2024 to Mar 11, 2025
- HNW RAUM · $2.4M to $1.8MJan 23, 2024 to Mar 11, 2025
- Pension RAUM · $8.6M to $8.6MJan 23, 2024 to Mar 11, 2025
- Pooled vehicle RAUM · $29.3M to $27.5MJan 23, 2024 to Mar 11, 2025
- RAUM · $544M to $726MJan 23, 2024 to Mar 11, 2025
- Accounts · 11 to 13Mar 23, 2023 to Jan 23, 2024
- Pooled vehicle clients · 2 to 3Mar 23, 2023 to Jan 23, 2024
- Private funds · 1 to 3Mar 23, 2023 to Jan 23, 2024
- Discretionary RAUM · $356M to $544MMar 23, 2023 to Jan 23, 2024
- HNW RAUM · $2.1M to $2.4MMar 23, 2023 to Jan 23, 2024
- Pension RAUM · $7.4M to $8.6MMar 23, 2023 to Jan 23, 2024
- Pooled vehicle RAUM · $18.7M to $29.3MMar 23, 2023 to Jan 23, 2024
- RAUM · $356M to $544MMar 23, 2023 to Jan 23, 2024
- Corporate clients · 3.0 to unsetDec 9, 2022 to Mar 23, 2023
- HNW clients · 2.0 to unsetDec 9, 2022 to Mar 23, 2023
- Pension plan clients · 1.0 to unsetDec 9, 2022 to Mar 23, 2023
- Assets in custody · 5000250.0 to unsetDec 9, 2022 to Mar 23, 2023
- Custody of client assets · true to falseDec 9, 2022 to Mar 23, 2023
- Employees · 5 to 6Dec 9, 2022 to Mar 23, 2023
- Discretionary RAUM · $244M to $356MDec 9, 2022 to Mar 23, 2023
- HNW RAUM · $2.5M to $2.1MDec 9, 2022 to Mar 23, 2023
- Pension RAUM · $6.3M to $7.4MDec 9, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $15.8M to $18.7MDec 9, 2022 to Mar 23, 2023
- RAUM · $244M to $356MDec 9, 2022 to Mar 23, 2023
- Accounts · 8 to 11Mar 25, 2021 to Mar 31, 2022
- Advisory activities · 3 to 4Mar 25, 2021 to Mar 31, 2022
- Pooled vehicle clients · 1 to 2Mar 25, 2021 to Mar 31, 2022
- Assets in custody · unset to 5000250.0Mar 25, 2021 to Mar 31, 2022
- Custody of client assets · false to trueMar 25, 2021 to Mar 31, 2022
Signals
8 dated events
- G••••••• • R••••••••• A••••••••• L•• reported RAUM $1.5B, up 109% from $726.2M (2025-03-11 to 2026-03-18)Mar 18, 2026 · RAUM change · derived
- G••••••• • R••••••••• A••••••••• L•• reported RAUM $726.2M, up 34% from $543.8M (2024-01-23 to 2025-03-11)Mar 11, 2025 · RAUM change · derived
- G••••••• • R••••••••• A••••••••• L•• reported RAUM $543.8M, up 53% from $355.6M (2023-03-23 to 2024-01-23)Jan 23, 2024 · RAUM change · derived
- G••••••• • R••••••••• A••••••••• L•• reported RAUM $355.6M, up 46% from $243.5M (2022-12-09 to 2023-03-23)Mar 23, 2023 · RAUM change · derived
- G••••••• • R••••••••• A••••••••• L•• reported RAUM $243.5M, up 239% from $71.9M (2021-03-25 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Kevin Joseph Herlihy (Chief Compliance Officer) no longer on Schedule A of G••••••• • R••••••••• A••••••••• L•• (listed 2021-03-25, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- John Kevin Ofriel (Chief Compliance Officer) appeared on Schedule A of G••••••• • R••••••••• A••••••••• L••Mar 31, 2022 · Control person joined · fact
- G••••••• • R••••••••• A••••••••• L•• filed its initial SEC registration (Form ADV)May 19, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- G••••••• • R••••••••• A••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/goehring-&-rozencwajg-associates-llcreportedpublic record, Form ADV, Sep 19, 2026
- Website
- gr-funds.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 646-216-9777reportedpublic record, Form ADV, May 4, 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
- Other 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