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•••••• S•••• • A••••••••• ••• I•••

Former SEC-registered adviserEnglewood Cliffs, New JerseyCRD 284818SEC 801-108267IAPD
Latest filing Mar 30, 2020
First filing on the tape Aug 9, 2016 · 11 filings
RAUM
$344M
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
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$1.1B gross assets
History
11 filings and snapshots on the tape
RAUM$344M as of Mar 30, 2020
Sep 28, 2017$2.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Sep 28, 20170 then
Employees (5.A)1 as of Mar 30, 2020
Sep 28, 20171 then
Private funds1 as of Mar 30, 2020
Sep 28, 20173 then
RAUM -74% over the last fiscal yearIARs 0 to 0offices 2 to 1
Practice profile
derived from the filing of Mar 30, 2020; 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
$43.0MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-74%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$344M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
n/areported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B•••• F••••••• G••••• C••••• F•••Hedge Fund$1.1B755Aug 9, 2016
      G••• T•• M••••• F•••no longer reportedHedge Fund$251M736Sep 28, 2017
      G••• E••••••• P•••••••• S•••• F•••Hedge Fund$95.1M396Aug 9, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• A••• J••• · Chief Compliance Officercontrol
        since 07/2016 · owns less than 5%
      • L••••• T•••••• S••••• · Managing Directorcontrol
        since 07/2016 · owns less than 5%
      • M••••• J••••••• W•••••• · President And Directorcontrol
        since 09/2017 · owns less than 5%
      • S•••••••• G•••••• W•••••• · S••••Holdercontrol
        since 06/2019 · owns 75% or more of O••• C•••••••••
      Entity owners
      • G•••••• S•••• • A••••••••• I•• · P•••••
        direct · owns 75% or more
      • O••• C••••••••• · S••••Holder
        indirect · owns 75% or more of G•••••• S•••• • A••••••••• I••
      Related persons
      Schedule D 7.A
      • B•••• F••••••• M••••••••• I•••
        pooled vehicle sponsorn
      • O••• Canada Asset Management Inc.
        investment adviserbankyRAUM $2.2B
      • G•••••• S•••• F•••••••• S••••••• I•••
        real estaten
      • G••• E••••••• B••• G• ••••••••• L••
        pooled vehicle sponsory
      • G••• I••••••••• G• ••••••••• L••
        pooled vehicle sponsory
      • G••• P•••••• G• ••••••••• L••
        pooled vehicle sponsory
      • G••• P•••••• G• I•••
        pooled vehicle sponsorn
      • G••• T•• G• ••••••••• L••
        pooled vehicle sponsory
      • G••• T•• M••••• G• ••••••• L•
        pooled vehicle sponsorn
      • G••• U• E••••• G• ••••••••• L••
        pooled vehicle sponsory
      • I•••••• I••••••• I•••
        pooled vehicle sponsorn
      • O••• C••••• P•••••••• L••
        investment adviserbanknRAUM $30B
      • O••• P••••••• M•••••• L•
        investment adviserbanknRAUM $22B
      • P••••• G• I•••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Toronto, Ontario, Canada138 employees
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 8
        Sep 30, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 5 to 8
        Sep 30, 2019 to Mar 30, 2020
      • Other offices · 2 to 1
        Sep 30, 2019 to Mar 30, 2020
      • Discretionary RAUM · $396M to $344M
        Sep 30, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $396M to $344M
        Sep 30, 2019 to Mar 30, 2020
      • RAUM · $396M to $344M
        Sep 30, 2019 to Mar 30, 2020
      • Accounts · 7 to 5
        Jun 18, 2019 to Sep 30, 2019
      • Pooled vehicle clients · 7 to 5
        Jun 18, 2019 to Sep 30, 2019
      • HQ city · NEW YORK to ENGLEWOOD CLIFFS
        Jun 18, 2019 to Sep 30, 2019
      • HQ state · NY to NJ
        Jun 18, 2019 to Sep 30, 2019
      • Private funds · 2 to 1
        Jun 18, 2019 to Sep 30, 2019
      • Discretionary RAUM · $1.3B to $396M
        Jun 18, 2019 to Sep 30, 2019
      • Pooled vehicle RAUM · $1.3B to $396M
        Jun 18, 2019 to Sep 30, 2019
      • RAUM · $1.3B to $396M
        Jun 18, 2019 to Sep 30, 2019
      • Pooled vehicle clients · unset to 7.0
        Jan 24, 2018 to Sep 28, 2018
      • HQ city · GREENWICH to NEW YORK
        Jan 24, 2018 to Sep 28, 2018
      • HQ state · CT to NY
        Jan 24, 2018 to Sep 28, 2018
      • Discretionary RAUM · $2.9B to $1.3B
        Jan 24, 2018 to Sep 28, 2018
      • Pooled vehicle RAUM · unset to 1329916000.0
        Jan 24, 2018 to Sep 28, 2018
      • RAUM · $2.9B to $1.3B
        Jan 24, 2018 to Sep 28, 2018
      • Assets in custody · unset to 0.0
        Dec 22, 2017 to Jan 24, 2018
      • Custody of client assets · false to true
        Dec 22, 2017 to Jan 24, 2018
      • Other offices · unset to 2.0
        Sep 28, 2017 to Dec 22, 2017
      • Private funds · 3 to 2
        Sep 28, 2017 to Dec 22, 2017
      • Private funds · 2 to 3
        Dec 22, 2016 to Sep 28, 2017
      • Discretionary RAUM · $3.2B to $2.9B
        Dec 22, 2016 to Sep 28, 2017
      • RAUM · $3.2B to $2.9B
        Dec 22, 2016 to Sep 28, 2017
      • Accounts · 0 to 7
        Sep 7, 2016 to Dec 22, 2016
      • Discretionary RAUM · $0 to $3.2B
        Sep 7, 2016 to Dec 22, 2016
      • RAUM · $0 to $3.2B
        Sep 7, 2016 to Dec 22, 2016
      • HQ city · HARTFORD to GREENWICH
        Aug 12, 2016 to Sep 7, 2016
      Signals
      6 dated events
      • Roy David Morris (Treasurer And Vice President) no longer on Schedule A of G•••••• S•••• • A••••••••• ••• I••• (listed 2019-09-30, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • G•••••• S•••• • A••••••••• ••• I••• reported RAUM $396.0M, down 70% from $1.3B (2019-06-18 to 2019-09-30)
        Sep 30, 2019 · RAUM change · derived
      • Wilfred Gerald Schwartz (Shareholder) appeared on Schedule A of G•••••• S•••• • A••••••••• ••• I•••
        Sep 30, 2019 · Control person joined · fact
      • L•••••• Q•••• (Assistant Secretary) no longer on Schedule A of G•••••• S•••• • A••••••••• ••• I••• (listed 2019-06-18, absent 2019-09-30)
        Sep 30, 2019 · Control person left · inference
      • G•••••• S•••• • A••••••••• ••• I••• reported RAUM $1.3B, down 54% from $2.9B (2018-01-24 to 2018-09-28)
        Sep 28, 2018 · RAUM change · derived
      • G•••••• S•••• • A••••••••• ••• I••• filed its initial SEC registration (Form ADV)
        Aug 9, 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.
      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