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D••••• S••••• L•••

Asset manager (funds and pooled vehicles)SEC-registered· New York, New York

Asset manager (funds and pooled vehicles), based in New York, New York, reporting $256M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$256M
Form ADV
Advisors
0
IAPD
Net advisor flow, 12 months
Not established
RAUM change, last fiscal year
+19%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 285701 · SEC 801-108718 · 15 filingsShow
CRD 285701SEC 801-108718First filing on the tape Nov 16, 2016, latest Mar 19, 2026SEC status approved since Nov 21, 2016IAPD
RAUM
$256M
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
11
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$256M as of Mar 19, 2026
Mar 10, 2017$392M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Mar 10, 20170 then
Employees (5.A)11 as of Mar 19, 2026
Mar 10, 201710 then
Private funds: no history
RAUM +19% over the last fiscal year+33% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 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
$128MderivedRAUM 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
+19%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
Custody
$440M, 4 clientsreportedItem 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
  • 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$256M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$440M for 4 clientsreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••••• R••••••• L••••••• · Principal, G•••Ral Partner, Co-Ciocontrol
        since 12/2009 · owns 25% to 50%
      • H••••••• J••• E••••• · Principal, Co-Cio, Director Of Researchcontrol
        since 12/2009 · owns 10% to 25%
      • S•••• K•••• · Principal, Macro Analyst & Tradercontrol
        since 12/2009 · owns 25% to 50%
      • C••••••••• A••• E•••••••• · Chief Compliance Officer & Chief Operating Officer
        since 01/2013 · owns 5% to 10%
      • P•••• J••• J•••••• · Director Of Client Relations & Business Development
        since 01/2015 · owns 5% to 10%
      • P•••••••• J•••• D•••• · Research Analyst
        since 01/2014 · owns 5% to 10%
      • P•••••• J••••••• E•••• · Research Analyst
        since 08/2017 · owns 5% to 10%
      Entity owners
      • D••••• S••••• L•• · G•••Ral Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list D••••• S••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 5 to 6
        Mar 24, 2025 to Mar 19, 2026
      • Assets in custody · $340M to $440M
        Mar 24, 2025 to Mar 19, 2026
      • Employees · 10 to 11
        Mar 24, 2025 to Mar 19, 2026
      • Discretionary RAUM · $215M to $256M
        Mar 24, 2025 to Mar 19, 2026
      • Pooled vehicle RAUM · $215M to $256M
        Mar 24, 2025 to Mar 19, 2026
      • RAUM · $215M to $256M
        Mar 24, 2025 to Mar 19, 2026
      • Employees · 9 to 10
        Mar 19, 2024 to Mar 24, 2025
      • Financial planning clients · unset to
        Mar 19, 2024 to Mar 24, 2025
      • Discretionary RAUM · $189M to $215M
        Mar 19, 2024 to Mar 24, 2025
      • Pooled vehicle RAUM · $189M to $215M
        Mar 19, 2024 to Mar 24, 2025
      • RAUM · $189M to $215M
        Mar 19, 2024 to Mar 24, 2025
      • Assets in custody · $300M to $340M
        Mar 19, 2024 to Mar 24, 2025
      • Assets in custody · $194M to $300M
        Mar 22, 2023 to Mar 19, 2024
      • Discretionary RAUM · $108M to $189M
        Mar 22, 2023 to Mar 19, 2024
      • Pooled vehicle RAUM · $108M to $189M
        Mar 22, 2023 to Mar 19, 2024
      • RAUM · $108M to $189M
        Mar 22, 2023 to Mar 19, 2024
      • Assets in custody · $312M to $194M
        Mar 10, 2022 to Mar 22, 2023
      • Discretionary RAUM · $227M to $108M
        Mar 10, 2022 to Mar 22, 2023
      • Pooled vehicle RAUM · $227M to $108M
        Mar 10, 2022 to Mar 22, 2023
      • RAUM · $227M to $108M
        Mar 10, 2022 to Mar 22, 2023
      • Assets in custody · $361M to $312M
        Mar 29, 2021 to Mar 10, 2022
      • Discretionary RAUM · $345M to $227M
        Mar 29, 2021 to Mar 10, 2022
      • Pooled vehicle RAUM · $345M to $227M
        Mar 29, 2021 to Mar 10, 2022
      • RAUM · $345M to $227M
        Mar 29, 2021 to Mar 10, 2022
      • Assets in custody · $348M to $361M
        Sep 17, 2020 to Mar 29, 2021
      • Discretionary RAUM · $348M to $345M
        Sep 17, 2020 to Mar 29, 2021
      • Pooled vehicle RAUM · $348M to $345M
        Sep 17, 2020 to Mar 29, 2021
      • RAUM · $348M to $345M
        Sep 17, 2020 to Mar 29, 2021
      • Accounts · 3 to 2
        Mar 12, 2020 to Sep 17, 2020
      • Pooled vehicle clients · 3 to 2
        Mar 12, 2020 to Sep 17, 2020
      • Assets in custody · $406M to $348M
        Mar 12, 2020 to Sep 17, 2020
      • Discretionary RAUM · $406M to $348M
        Mar 12, 2020 to Sep 17, 2020
      • Pooled vehicle RAUM · $406M to $348M
        Mar 12, 2020 to Sep 17, 2020
      • RAUM · $406M to $348M
        Mar 12, 2020 to Sep 17, 2020
      • Assets in custody · $411M to $406M
        Nov 14, 2019 to Mar 12, 2020
      • Discretionary RAUM · $411M to $406M
        Nov 14, 2019 to Mar 12, 2020
      • Pooled vehicle RAUM · $411M to $406M
        Nov 14, 2019 to Mar 12, 2020
      • RAUM · $411M to $406M
        Nov 14, 2019 to Mar 12, 2020
      • Advisory employees · 6 to 5
        Mar 22, 2019 to Nov 14, 2019
      • Assets in custody · $333M to $411M
        Mar 22, 2019 to Nov 14, 2019
      Signals
      4 dated events
      • ••• Locked
        Mar 22, 2023 · RAUM change · derived
      • ••• Locked
        Mar 10, 2022 · RAUM change · derived
      • ••• Locked
        Nov 14, 2019 · Control person left · inference
      • ••• Locked
        Nov 16, 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
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 19, 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