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•••• C•••••• M••••••••• L•
Latest filing Mar 31, 2026
First filing on the tape Aug 10, 2016 · 19 filings
SEC status approved since Aug 16, 2016
RAUM
$1.3B
reported, Item 5.F
Discretionary
98%
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
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.3B as of Mar 31, 2026
Mar 30, 2017$183M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20170 then
Employees (5.A)7 as of Mar 31, 2026
Mar 30, 20174 then
Private funds6 as of Mar 31, 2026
Mar 30, 20171 then
RAUM +22% over the last fiscal year+37% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $133MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%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
- +22%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
- has discretionary authority over which securities are bought or sold (8.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.3B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•••••• S•••• C•••••• M••••• F••• I•• L••• | Private Equity Fund | $47.1M | 26 | Mar 29, 2019 |
| G•••••• S•••• S••••• L••• F•••••• 2•••••• L•• | Securitized Asset Fund | $21.5M | 1 | Mar 31, 2023 |
| G•••••• S•••• C•••••• M••••• F•••• L••• | Private Equity Fund | $21.0M | 14 | Jan 31, 2017 |
| G•••••• S•••• S••••• L••• F•••••• 2•••••• L•• | Securitized Asset Fund | $19.6M | 1 | Mar 28, 2024 |
| G•••••• S•••• S••••• L••• F•••••• 2•••••• L•• | Securitized Asset Fund | $0 | 0 | Mar 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- M•••••••• W••••••• P•••••• · Chief Compliance Officer And Chief Financial Officercontrolsince 11/2016 · owns less than 5%
- S••••••••• D••••• G••••• · Limited Partner And Presidentcontrolsince 10/2016 · owns 25% to 50%
- S••••••••• S••••• T•••• · Limited Partnercontrolsince 10/2016 · owns 25% to 50%
- G•••••• J••••••• H••••• · Managing Membercontrolsince 11/2016 · owns 75% or more of C••••• R••• C•••••• L••
- S••••••••• D••••• G••••• · Membercontrolsince 07/2016 · owns 50% to 75% of G•••••• S•••• C•••••• M••••••••• L••
- S••••••••• S••••• T•••• · Membercontrolsince 07/2016 · owns 50% to 75% of G•••••• S•••• C•••••• M••••••••• L••
Entity owners
- C•• G••• L•• · Limited Partnerdirect · owns 25% to 50%
- G•••••• S•••• C•••••• M••••••••• L•• · General Partnerdirect · owns less than 5%
- C••••• R••• C•••••• L•• · Managing Memberindirect · owns 75% or more of C•• G••• L••
Related persons
Schedule D 7.A
- G•••••• O••••••• G•• L••pooled vehicle sponsorn
- G•••••• S•••• C•••••• G• I•• L••pooled vehicle sponsorn
- G•••••• S•••• C•••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 9 to 10Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 9 to 10Mar 31, 2025 to Mar 31, 2026
- Private funds · 5 to 6Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.1B to $1.3BMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $0 to $29.7MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.1B to $1.3BMar 31, 2025 to Mar 31, 2026
- RAUM · $1.1B to $1.3BMar 31, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $878M to $1.1BMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $878M to $1.1BMar 28, 2024 to Mar 31, 2025
- RAUM · $878M to $1.1BMar 28, 2024 to Mar 31, 2025
- Accounts · 7 to 9Mar 31, 2023 to Mar 28, 2024
- Pooled vehicle clients · 7 to 9Mar 31, 2023 to Mar 28, 2024
- Private funds · 3 to 5Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $514M to $878MMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $514M to $878MMar 31, 2023 to Mar 28, 2024
- RAUM · $514M to $878MMar 31, 2023 to Mar 28, 2024
- Accounts · 6 to 7Oct 14, 2022 to Mar 31, 2023
- Advisory employees · 5 to 6Oct 14, 2022 to Mar 31, 2023
- Pooled vehicle clients · 6 to 7Oct 14, 2022 to Mar 31, 2023
- Employees · 6 to 7Oct 14, 2022 to Mar 31, 2023
- Private funds · 2 to 3Oct 14, 2022 to Mar 31, 2023
- Discretionary RAUM · $573M to $514MOct 14, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $573M to $514MOct 14, 2022 to Mar 31, 2023
- RAUM · $573M to $514MOct 14, 2022 to Mar 31, 2023
- Discretionary RAUM · $505M to $573MMar 31, 2022 to May 6, 2022
- Pooled vehicle RAUM · $505M to $573MMar 31, 2022 to May 6, 2022
- RAUM · $505M to $573MMar 31, 2022 to May 6, 2022
- Employees · 7 to 6Mar 31, 2021 to Mar 31, 2022
- Discretionary RAUM · $827M to $505MMar 31, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $827M to $505MMar 31, 2021 to Mar 31, 2022
- RAUM · $827M to $505MMar 31, 2021 to Mar 31, 2022
- Advisory employees · 4 to 5Mar 30, 2020 to Mar 31, 2021
- Employees · 6 to 7Mar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $619M to $827MMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $619M to $827MMar 30, 2020 to Mar 31, 2021
- RAUM · $619M to $827MMar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $618M to $619MJul 31, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $618M to $619MJul 31, 2019 to Mar 30, 2020
- RAUM · $618M to $619MJul 31, 2019 to Mar 30, 2020
Signals
7 dated events
- G•••••• S•••• C•••••• M••••••••• L• reported RAUM $877.8M, up 71% from $514.0M (2023-03-31 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- G•••••• S•••• C•••••• M••••••••• L• reported RAUM $504.8M, down 39% from $826.8M (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- G•••••• S•••• C•••••• M••••••••• L• reported RAUM $826.8M, up 34% from $618.8M (2020-03-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- G•••••• S•••• C•••••• M••••••••• L• reported RAUM $617.6M, up 25% from $493.7M (2019-03-29 to 2019-07-31)Jul 31, 2019 · RAUM change · derived
- G•••••• S•••• C•••••• M••••••••• L• reported RAUM $493.7M, up 96% from $252.3M (2018-03-30 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- G•••••• S•••• C•••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Nov 1, 2016 · Succession (Item 4) · fact
- G•••••• S•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 10, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- G•••••• S•••• C•••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
- G•••••• S•••• C•••••• M••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- G••••••STATECAP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-688-3231reportedpublic record, Form ADV, Mar 31, 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