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•••••••• A•••• M••••••••• A••• P••• L•••
Latest filing Mar 25, 2026
First filing on the tape Mar 30, 2018 · 15 filings
SEC status approved since Apr 27, 2018
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
18
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$1.5B as of Mar 25, 2026
Mar 28, 2019$8.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 28, 20190 then
Employees (5.A)18 as of Mar 25, 2026
Mar 28, 201991 then
Private funds1 as of Mar 25, 2026
Mar 27, 20241 then
RAUM +126% over the last fiscal year-18% 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
- $308MderivedRAUM 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
- +126%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 pooled vehiclesreportedItem 5.G
- Custody
- $95.4M, 3 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$194M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $95.4M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.13 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••••• A•••• J•••• · Director, And Chief Investment Officer Of The Registrant And Its Affiliatescontrolsince 01/2015 · owns less than 5%
- M•• B•••••••• Y•• L•••• · Chief Compliance Officer Of Registrant And Relying Adviserscontrolsince 07/2023 · owns less than 5%
- L•••••••• A•••• J•••• · Sole Shareholdercontrolsince 01/2014 · owns 75% or more of G•••••••• A•••• M••••••••• A••• G•••••• P•••••• ••••••• L•••
Entity owners
- G•••••••• A•••• M••••••••• A••• L••• · Sole Shareholder Of Registrantdirect · owns 75% or more
- A•• 2••• S••• T•••• · Sole Memberindirect · owns 75% or more of A•• H••••••• I• L••
- A•• H••••••• I• L•• · L•••••• Partnerindirect · owns 50% to 75% of G•••••••• A•••• M••••••••• A••• L•••
- C••• B••• A•• T•••• C•••••• ••••••• L•••••• · Trusteeindirect · owns F of A•• 2••• S••• T••••
- G•••••••• A•••• M••••••••• A••• G•••••• P•••••• ••••••• L••• · G•••••• Partnerindirect · owns F of G•••••••• A•••• M••••••••• A••• L•••
Related persons
Schedule D 7.A
- G•••••••• A••• M•••• A••••••• L••investment adviserbankpooled vehicle sponsornRAUM $1.5B
- G•••••••• A••• M•••• G• L••pooled vehicle sponsorn
- G•••••••• M•••••• F••• C• G• L••pooled vehicle sponsorn
Advisers that list G•••••••• A•••• M••••••••• A••• P••• L••• as a related person
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 25, 2026RAUM (Item 5.F) moved from $682,253,584 to $1,539,110,173 (+126.0%) between the annual amendments of 2025-03-26 and 2026-03-25; the peer median change was +11.0% (231 comparable advisers, 93.0th percentile of changes)peers: other advisers, $1B to $5B (231) · 93% percentile
What changed
consecutive filings, newest first
- Accounts · 3 to 5Mar 26, 2025 to Mar 25, 2026
- Advisory employees · 9 to 10Mar 26, 2025 to Mar 25, 2026
- Pooled vehicle clients · 2 to 4Mar 26, 2025 to Mar 25, 2026
- Assets in custody · $31.3M to $95.4MMar 26, 2025 to Mar 25, 2026
- Employees · 16 to 18Mar 26, 2025 to Mar 25, 2026
- Private funds · unset to 1Mar 26, 2025 to Mar 25, 2026
- Discretionary RAUM · $682M to $1.5BMar 26, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $31.3M to $194MMar 26, 2025 to Mar 25, 2026
- RAUM · $682M to $1.5BMar 26, 2025 to Mar 25, 2026
- Accounts · 2 to 3May 15, 2024 to Mar 26, 2025
- Advisory employees · 3 to 9May 15, 2024 to Mar 26, 2025
- Pooled vehicle clients · 3 to 2May 15, 2024 to Mar 26, 2025
- Assets in custody · $271M to $31.3MMay 15, 2024 to Mar 26, 2025
- Employees · 10 to 16May 15, 2024 to Mar 26, 2025
- Financial planning clients · unset to May 15, 2024 to Mar 26, 2025
- HQ state · unset to May 15, 2024 to Mar 26, 2025
- Discretionary RAUM · $271M to $682MMay 15, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $271M to $31.3MMay 15, 2024 to Mar 26, 2025
- RAUM · $271M to $682MMay 15, 2024 to Mar 26, 2025
- Private funds · 1 to unsetMar 27, 2024 to May 15, 2024
- Accounts · 4 to 2Jul 13, 2023 to Mar 27, 2024
- Advisory employees · 12 to 3Jul 13, 2023 to Mar 27, 2024
- Pooled vehicle clients · 4 to 3Jul 13, 2023 to Mar 27, 2024
- Assets in custody · $1.9B to $271MJul 13, 2023 to Mar 27, 2024
- Employees · 49 to 10Jul 13, 2023 to Mar 27, 2024
- Private funds · unset to 1Jul 13, 2023 to Mar 27, 2024
- Discretionary RAUM · $2.8B to $271MJul 13, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $2.8B to $271MJul 13, 2023 to Mar 27, 2024
- RAUM · $2.8B to $271MJul 13, 2023 to Mar 27, 2024
- Advisory employees · 18 to 12Oct 13, 2022 to Mar 31, 2023
- Assets in custody · $2.2B to $1.9BOct 13, 2022 to Mar 31, 2023
- Employees · 55 to 49Oct 13, 2022 to Mar 31, 2023
- Discretionary RAUM · $3.3B to $2.8BOct 13, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $3.3B to $2.8BOct 13, 2022 to Mar 31, 2023
- RAUM · $3.3B to $2.8BOct 13, 2022 to Mar 31, 2023
- Accounts · 2 to 4Mar 30, 2021 to Mar 31, 2022
- Advisory employees · 17 to 18Mar 30, 2021 to Mar 31, 2022
- Pooled vehicle clients · 2 to 4Mar 30, 2021 to Mar 31, 2022
- Assets in custody · $1.9B to $2.2BMar 30, 2021 to Mar 31, 2022
- Employees · 58 to 55Mar 30, 2021 to Mar 31, 2022
Signals
9 dated events
- G•••••••• A•••• M••••••••• A••• P••• L••• reported RAUM $1.5B, up 126% from $682.3M (2025-03-26 to 2026-03-25)Mar 25, 2026 · RAUM change · derived
- G•••••••• A•••• M••••••••• A••• P••• L••• reported RAUM $682.3M, up 152% from $270.6M (2024-05-15 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- G•••••••• A•••• M••••••••• A••• P••• L••• reported RAUM $270.6M, down 90% from $2.8B (2023-07-13 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- Lewis David Zimmerman (General Counsel And Chief Compliance Officer Of Registrant And Its Affiliates) no longer on Schedule A of G•••••••• A•••• M••••••••• A••• P••• L••• (listed 2023-03-31, absent 2023-07-13)Jul 13, 2023 · Control person left · inference
- Oren Katz (Director, And President & Coo Of The Registrant And Its Affiliates) no longer on Schedule A of G•••••••• A•••• M••••••••• A••• P••• L••• (listed 2023-03-31, absent 2023-07-13)Jul 13, 2023 · Control person left · inference
- G•••••••• A•••• M••••••••• A••• P••• L••• reported RAUM $2.9B, down 49% from $5.6B (2020-03-30 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- G•••••••• A•••• M••••••••• A••• P••• L••• reported RAUM $5.6B, down 33% from $8.4B (2019-03-28 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- James Jonathan Candy (Director, And Chief Executive Officer Of The Registrant And Its Affiliates) no longer on Schedule A of G•••••••• A•••• M••••••••• A••• P••• L••• (listed 2019-03-28, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- G•••••••• A•••• M••••••••• A••• P••• L••• filed its initial SEC registration (Form ADV)Mar 30, 2018 · 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
- Website
- w••.g•••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 65-6671-2500reportedpublic 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
- 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