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•••••• C•••••• M••••••••• L•
Latest filing Mar 25, 2026
First filing on the tape Jun 28, 2019 · 11 filings
SEC status approved since Aug 12, 2019
RAUM
$258M
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$258M as of Mar 25, 2026
Mar 27, 2020$176M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 27, 20200 then
Employees (5.A)4 as of Mar 25, 2026
Mar 27, 20201 then
Private funds2 as of Mar 25, 2026
Mar 27, 20201 then
RAUM +4.0% over the last fiscal year-5.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 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
- $129MderivedRAUM 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
- +4.0%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)
- 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$258M100%
- 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
- 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•••••• I••••••••• F••• I• L• | Private Equity Fund | $170M | 16 | Oct 3, 2017 |
| G•••••• I••••••••• F••• I•• L• | Private Equity Fund | $82.4M | 7 | Mar 30, 2022 |
Owners and control persons
Schedule A and B, latest filing
- A••••• M••••••• R••••• · Managing Member Of The General Partner/Ceo/Ciocontrolsince 04/2017 · owns 75% or more
- A••••• M••••••• R••••• · Managing Membercontrolsince 04/2017 · owns 75% or more of G•••••• C•••••• M••••••••• G•• L••
- S•••• N•••••••• S••••••• A••••• · Cco/Fund Controllersince 03/2024 · owns less than 5%
Entity owners
- G•••••• C•••••• M••••••••• G•• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- G•••••• I••••••••• F••• I• G•• L••bankpooled vehicle sponsorn
- G•••••• I••••••••• F••• I• G•• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 25, 2026bank affiliate (Item 7.A.6): yes on the filing of 2025-03-24, no on the filing of 2026-03-25peers: asset managers, $100M to $500M (1,567)
What changed
consecutive filings, newest first
- Employees · 5 to 4Mar 24, 2025 to Mar 25, 2026
- Discretionary RAUM · $248M to $258MMar 24, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $248M to $258MMar 24, 2025 to Mar 25, 2026
- RAUM · $248M to $258MMar 24, 2025 to Mar 25, 2026
- Related bank · true to falseMar 24, 2025 to Mar 25, 2026
- Financial planning clients · unset to Aug 22, 2024 to Mar 24, 2025
- Discretionary RAUM · $308M to $248MAug 22, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $308M to $248MAug 22, 2024 to Mar 24, 2025
- RAUM · $308M to $248MAug 22, 2024 to Mar 24, 2025
- Advisory employees · 2 to 3Mar 28, 2023 to Mar 28, 2024
- Employees · 4 to 5Mar 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $305M to $308MMar 28, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $305M to $308MMar 28, 2023 to Mar 28, 2024
- RAUM · $305M to $308MMar 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $206M to $305MSep 22, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $206M to $305MSep 22, 2022 to Mar 28, 2023
- RAUM · $206M to $305MSep 22, 2022 to Mar 28, 2023
- Accounts · 1 to 2Mar 29, 2021 to Mar 30, 2022
- Pooled vehicle clients · 1 to 2Mar 29, 2021 to Mar 30, 2022
- Employees · 3 to 4Mar 29, 2021 to Mar 30, 2022
- Private funds · 1 to 2Mar 29, 2021 to Mar 30, 2022
- Discretionary RAUM · $183M to $206MMar 29, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $183M to $206MMar 29, 2021 to Mar 30, 2022
- RAUM · $183M to $206MMar 29, 2021 to Mar 30, 2022
- Advisory employees · 1 to 2Mar 27, 2020 to Mar 29, 2021
- Employees · 1 to 3Mar 27, 2020 to Mar 29, 2021
- Discretionary RAUM · $176M to $183MMar 27, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $176M to $183MMar 27, 2020 to Mar 29, 2021
- RAUM · $176M to $183MMar 27, 2020 to Mar 29, 2021
- Employees · 2 to 1Aug 2, 2019 to Mar 27, 2020
- Other offices · 1 to 0Aug 2, 2019 to Mar 27, 2020
- Discretionary RAUM · $167M to $176MAug 2, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $167M to $176MAug 2, 2019 to Mar 27, 2020
- RAUM · $167M to $176MAug 2, 2019 to Mar 27, 2020
- Private funds · 2 to 1Jun 28, 2019 to Aug 2, 2019
Signals
2 dated events
- Lynn Danielle Siciliano (Chief Compliance Officer) no longer on Schedule A of G•••••• C•••••• M••••••••• L• (listed 2019-08-02, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- G•••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)Jun 28, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- G•••••• C•••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
- G•••••• C•••••• M••••••••• L• · Private Equityshared crd · organization
- G•••••• C•••••• M••••••••• L• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/genrock-capital-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- g••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-301-0770reportedpublic record, Form ADV, Mar 25, 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