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••••• D•••••• C•••••• M••••••••• L•
Latest filing Jul 1, 2026
First filing on the tape Jun 28, 2019 · 19 filings
SEC status approved since Jul 30, 2019
RAUM
$1.7B
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
61
22 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
13
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.7B as of Jul 1, 2026
Mar 30, 2020$295M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 1, 2026
Mar 30, 20200 then
Employees (5.A)61 as of Jul 1, 2026
Mar 30, 202034 then
Private funds13 as of Jul 1, 2026
Mar 30, 20203 then
RAUM -30% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 1, 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
- $66.3MderivedRAUM 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
- -30%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
- Custody
- $1.6B, 23 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.2B71%
- Corporations and businesses$427M25%
- Investment companies$81.0M4.7%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 26reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.6B for 23 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.75 institutional_share=0.0 related_bd=true related_bank=true bd_reps=5.0derived
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
26 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G••••• E•• V• F••• L• | Venture Capital Fund | $506M | 2 | Jul 11, 2023 |
| G••••• E•• V• F••• L• | Venture Capital Fund | $442M | 2 | Mar 29, 2019 |
| G••••• I••••••••• F••• I• L• | Venture Capital Fund | $143M | 119 | Mar 31, 2022 |
| G••••• L••••• C••••• F••• L• | Hedge Fund | $57.0M | 9 | Mar 31, 2023 |
| G•• V•••••• F•• I• L• | Other Private Fund | $35.7M | 85 | Jul 11, 2023 |
| G••••• I••••••••• F••• I•• L• | Venture Capital Fund | $33.8M | 38 | Jul 11, 2023 |
| G•• M••••••••• F•• L• | Hedge Fund | $33.1M | 71 | Mar 31, 2022 |
| G•• V•••••• F•• I• L• | Other Private Fund | $29.4M | 67 | Jul 11, 2023 |
| G•• V•••••• F•• I• L• | Other Private Fund | $26.7M | 67 | Mar 31, 2022 |
| G••••• I••••••••• F••• I•• L• | Venture Capital Fund | $25.5M | 46 | Mar 31, 2023 |
| G••••• L••••• C••••• F••• L••• | Hedge Fund | $24.0M | 2 | Jul 11, 2023 |
| G•• M••••• N•••••• F•• L• | Other Private Fund | $19.8M | 17 | Mar 31, 2022 |
| G•• M••••• N•••••• F•• L• | Other Private Fund | $19.8M | 17 | Jul 11, 2023 |
| G•• V•••••• F•• I• L•no longer reported | Other Private Fund | $18.7M | 83 | Mar 31, 2023 |
| G•• V•••••• F•• I• L• | Other Private Fund | $18.7M | 83 | May 2, 2023 |
| G••••• I••••••••• S••••• M••••• F•••• L•no longer reported | Other Private Fund | $16.7M | 2 | Mar 31, 2022 |
| G••••• L••••• A•••• F••• L••• | Hedge Fund | $16.1M | 1 | Mar 31, 2023 |
| G•• M••••••••• F•• L• | Hedge Fund | $9.8M | 59 | Jul 11, 2023 |
| G••••• B•••••••• C••••• I•••• M••••• F•••• L•••no longer reported | Private Equity Fund | $8.4M | 16 | Mar 29, 2019 |
| G••••• I••••••••• S•• I• L• | Venture Capital Fund | $3.7M | 6 | Mar 31, 2022 |
| G••••• I••••••••• S•• I•• L• | Venture Capital Fund | $3.5M | 5 | Mar 31, 2023 |
| G••••• D••• I•••• F••• | Hedge Fund | $321,500 | 9 | Jul 11, 2023 |
| G••••• D••• I•••• F••• | Hedge Fund | $321,500 | 9 | Mar 31, 2022 |
| G••••• D••• I•••• F•••• L•• | Hedge Fund | $287,576 | 5 | Jul 11, 2023 |
| G••••• D••• I•••• F•••• L•• | Hedge Fund | $287,576 | 5 | Mar 31, 2022 |
| G••••• C• I• L•no longer reported | Liquidity Fund | $0 | 0 | Mar 23, 2018 |
Owners and control persons
Schedule A and B, latest filing
- F••••••• C••••••••• · Presidentcontrolsince 06/2019 · owns less than 5%
- I••••• A••••••••• M• · Chief Financial Officercontrolsince 04/2021 · owns less than 5%
- K•••• S••••••• J•••• · Head, Asset Management Div•••••, And Authorized Personcontrolsince 01/2018 · owns less than 5%
- S•••••• A•••••• N••• · General Counsel And Authorized Personcontrolsince 12/2018 · owns less than 5%
- S••••••••• L•••• · Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
- N••••••••• M••••••• E••••• · Membercontrolsince 12/2015 · owns 50% to 75% of G••••• G•••• I••••••••• L••
Entity owners
- G••••• D•••••• C•••••• M••••••••• G• L•• · General Partnerdirect · owns less than 5%
- G••••• D•••••• L• · Limited Partnerdirect · owns 75% or more
- G••••• D•••••• G• L•• · General Partnerindirect · owns F of G••••• D•••••• L•
- G••••• D•••••• H••••••• G• L•• · General Partnerindirect · owns F of G••••• D•••••• H••••••• L•
- G••••• D•••••• H••••••• L• · Sole Memberindirect · owns 75% or more of G••••• D•••••• G• L••
- G••••• D•••••• H••••••• L• · Limited Partnerindirect · owns 75% or more of G••••• D•••••• L•
- G••••• D•••••• H••••••• L••• · Sole Memberindirect · owns 25% to 50% of G•• I••••••••• L•• · public reporting company
- G••••• D•••••• L• · Sole Memberindirect · owns 75% or more of G••••• D•••••• C•••••• M••••••••• G• L••
- G••••• G•••• I••••••••• L•• · Sole Memberindirect · owns 75% or more of G••••• D•••••• H••••••• G• L••
- G••••• G•••• I••••••••• L•• · Limited Partnerindirect · owns 50% to 75% of G••••• D•••••• H••••••• L•
- G•• I••••••••• L•• · Limited Partnerindirect · owns 25% to 50% of G••••• D•••••• H••••••• L•
Related persons
Schedule D 7.A
- G••••• C••••• I•••• F••• G•• L••pooled vehicle sponsorn
- G••••• D•• L••bankn
- G••••• D•••••• P••••••• L••broker-dealern
- G••••• E•• V• F••• G• L••pooled vehicle sponsorn
- G••••• I••••••••• F••• I• G• L••pooled vehicle sponsorn
- G••••• I••••••••• F••• I• G• L••pooled vehicle sponsorn
- G••••• L••••• C••••• F••• G• L••pooled vehicle sponsorn
- G••••• V••••• H••• A••••••• L••pooled vehicle sponsorn
- G•• O••••••• M••••••••• F•• G• L••pooled vehicle sponsorn
- G•• O••••••• V•••••• F•• I• G• L••pooled vehicle sponsorn
- G•• V•••••• F•• I• G• L••pooled 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
- RAUM down 25 %Change between filings · filing Apr 29, 2026RAUM (Item 5.F) moved from $2,452,058,739 to $1,722,962,538 (-30.0%) between the annual amendments of 2025-04-03 and 2026-04-29; the peer median change was +11.0% (1368 comparable advisers, 3.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 3.2% percentile
What changed
consecutive filings, newest first
- Accounts · 24 to 26Sep 24, 2025 to Mar 31, 2026
- Advisory employees · 29 to 22Sep 24, 2025 to Mar 31, 2026
- BD registered reps · 7 to 5Sep 24, 2025 to Mar 31, 2026
- Corporate clients · 2 to 1Sep 24, 2025 to Mar 31, 2026
- Pooled vehicle clients · 19 to 22Sep 24, 2025 to Mar 31, 2026
- Assets in custody · $1.8B to $1.6BSep 24, 2025 to Mar 31, 2026
- Employees · 69 to 61Sep 24, 2025 to Mar 31, 2026
- Private funds · 11 to 13Sep 24, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.5B to $1.7BSep 24, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.4B to $1.2BSep 24, 2025 to Mar 31, 2026
- RAUM · $2.5B to $1.7BSep 24, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Jul 7, 2025 to Sep 24, 2025
- Accounts · 18 to 24May 8, 2024 to Apr 3, 2025
- Advisory employees · 28 to 29May 8, 2024 to Apr 3, 2025
- Advisory activities · 3 to 4May 8, 2024 to Apr 3, 2025
- BD registered reps · 8 to 7May 8, 2024 to Apr 3, 2025
- Pooled vehicle clients · 16 to 19May 8, 2024 to Apr 3, 2025
- Assets in custody · $2.6B to $1.8BMay 8, 2024 to Apr 3, 2025
- Employees · 62 to 69May 8, 2024 to Apr 3, 2025
- Private funds · 10 to 11May 8, 2024 to Apr 3, 2025
- Discretionary RAUM · $3.6B to $2.5BMay 8, 2024 to Apr 3, 2025
- Pooled vehicle RAUM · $1.2B to $1.4BMay 8, 2024 to Apr 3, 2025
- RAUM · $3.6B to $2.5BMay 8, 2024 to Apr 3, 2025
- Accounts · 20 to 18Jul 11, 2023 to Mar 29, 2024
- Advisory employees · 22 to 28Jul 11, 2023 to Mar 29, 2024
- Advisory activities · 2 to 3Jul 11, 2023 to Mar 29, 2024
- BD registered reps · 11 to 8Jul 11, 2023 to Mar 29, 2024
- Corporate clients · 0 to 2Jul 11, 2023 to Mar 29, 2024
- Pooled vehicle clients · 20 to 16Jul 11, 2023 to Mar 29, 2024
- Assets in custody · $1.2B to $2.6BJul 11, 2023 to Mar 29, 2024
- Employees · 67 to 62Jul 11, 2023 to Mar 29, 2024
- Private funds · 13 to 10Jul 11, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.2B to $3.6BJul 11, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $1.2B to $1.2BJul 11, 2023 to Mar 29, 2024
- RAUM · $1.2B to $3.6BJul 11, 2023 to Mar 29, 2024
- Accounts · 15 to 20Mar 31, 2022 to Mar 31, 2023
- Advisory employees · 18 to 22Mar 31, 2022 to Mar 31, 2023
- BD registered reps · 16 to 11Mar 31, 2022 to Mar 31, 2023
- Pooled vehicle clients · 15 to 20Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $1.3B to $1.2BMar 31, 2022 to Mar 31, 2023
Signals
15 dated events
- G••••• D•••••• C•••••• M••••••••• L• reported RAUM $1.7B, down 30% from $2.5B (2025-09-24 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- G••••• D•••••• C•••••• M••••••••• L• reported RAUM $2.5B, down 33% from $3.6B (2024-05-08 to 2025-04-03)Apr 3, 2025 · RAUM change · derived
- G••••• D•••••• C•••••• M••••••••• L• reported RAUM $3.6B, up 193% from $1.2B (2023-07-11 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- L•••• S••••••••• (Chief Compliance Officer) appeared on Schedule A of G••••• D•••••• C•••••• M••••••••• L•Mar 31, 2023 · Control person joined · fact
- R•••••• P••• D••••• V••••••••• (Co-President) no longer on Schedule A of G••••• D•••••• C•••••• M••••••••• L• (listed 2022-03-31, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- G••••• D•••••• C•••••• M••••••••• L• reported RAUM $1.3B, up 310% from $312.1M (2022-01-25 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- K•••• A••••• P••••••••• (Chief Financial Officer) no longer on Schedule A of G••••• D•••••• C•••••• M••••••••• L• (listed 2021-03-31, absent 2021-06-30)Jun 30, 2021 · Control person left · inference
- M Alexander Ioffe (Chief Financial Officer) appeared on Schedule A of G••••• D•••••• C•••••• M••••••••• L•Jun 30, 2021 · Control person joined · fact
- R•••••• P••• D••••• V••••••••• (Co-President) appeared on Schedule A of G••••• D•••••• C•••••• M••••••••• L•Mar 31, 2021 · Control person joined · fact
- G••••• D•••••• C•••••• M••••••••• L• reported RAUM $295.2M, down 28% from $408.9M (2019-06-28 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- D•••• M•••• (Chief Financial Officer And Authorized Person) no longer on Schedule A of G••••• D•••••• C•••••• M••••••••• L• (listed 2019-06-28, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Ann Julie Coin (Chief Operating Officer And Authorized Person) no longer on Schedule A of G••••• D•••••• C•••••• M••••••••• L• (listed 2019-06-28, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- K•••• A••••• P••••••••• (Chief Financial Officer) appeared on Schedule A of G••••• D•••••• C•••••• M••••••••• L•Mar 30, 2020 · Control person joined · fact
- C••••••••• F•••••• (President) appeared on Schedule A of G••••• D•••••• C•••••• M••••••••• L•Mar 30, 2020 · Control person joined · fact
- G••••• D•••••• 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••••• D•••••• C•••••• M••••••••• L• · Private Equityshared crd · organization
- G••••• D•••••• C•••••• M••••••••• L• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/galaxyinteractivereportedpublic record, Form ADV, Sep 18, 2026
- Website
- galaxy.com/asset-managementreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-499-0081reportedpublic record, Form ADV, Jul 1, 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