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••••••• L••
Latest filing Apr 7, 2026
First filing on the tape Aug 30, 2019 · 11 filings
SEC status approved since Oct 2, 2019
RAUM
$2.3B
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
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$2.3B as of Apr 7, 2026
Jan 21, 2020$298M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 7, 2026
Jan 21, 20200 then
Employees (5.A)0 as of Apr 7, 2026
Jan 21, 20200 then
Private funds1 as of Mar 31, 2022
Mar 31, 20211 then
RAUM +49% over the last fiscal year+7.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 7, 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
- $2.3BderivedRAUM 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
- +49%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $2.3B, 1 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.3B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.3B for 1 clientsreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F•• I••••••••• F••• L••no longer reported | Hedge Fund | $194,321 | 0 | May 26, 2020 |
Owners and control persons
Schedule A and B, latest filing
- W••••••• K••••••• M••• · Managing Director & Chief Compliance Officercontrolsince 08/2019 · owns less than 5%
Entity owners
- G••••••••• G•••• L•• · Memberdirect · owns 75% or more
- G••••••••• H••••••• L•• · Memberindirect · owns 75% or more of G••••••••• G•••• L••
Related persons
Schedule D 7.A
- G••••••••• A••• L••••••broker-dealern
- G••••••••• A•••• M••••••••• L••investment advisernRAUM $593M
- G••••••••• C•••••• M•••••• E••••• L••broker-dealern
- G••••••••• C•••••• M•••••• L••broker-dealern
Advisers that list G••••••••• A••••••• L•• as a related person
- 307732 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $2.0B to $2.3BMar 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.6B to $2.3BMar 25, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.6B to $2.3BMar 25, 2025 to Mar 30, 2026
- RAUM · $1.6B to $2.3BMar 25, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 25, 2024 to Mar 25, 2025
- Discretionary RAUM · $2.0B to $1.6BMar 25, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $2.0B to $1.6BMar 25, 2024 to Mar 25, 2025
- RAUM · $2.0B to $1.6BMar 25, 2024 to Mar 25, 2025
- Assets in custody · $1.9B to $2.0BMar 29, 2023 to Mar 25, 2024
- Discretionary RAUM · $1.9B to $2.0BMar 29, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $1.9B to $2.0BMar 29, 2023 to Mar 25, 2024
- RAUM · $1.9B to $2.0BMar 29, 2023 to Mar 25, 2024
- Accounts · 2 to 1Mar 31, 2022 to Mar 29, 2023
- Pooled vehicle clients · 2 to 1Mar 31, 2022 to Mar 29, 2023
- Assets in custody · $2.0B to $1.9BMar 31, 2022 to Mar 29, 2023
- Private funds · 1 to unsetMar 31, 2022 to Mar 29, 2023
- Discretionary RAUM · $2.0B to $1.9BMar 31, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $2.0B to $1.9BMar 31, 2022 to Mar 29, 2023
- RAUM · $2.0B to $1.9BMar 31, 2022 to Mar 29, 2023
- Assets in custody · $1.4B to $2.0BApr 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $1.4B to $2.0BApr 30, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $1.4B to $2.0BApr 30, 2021 to Mar 31, 2022
- RAUM · $1.4B to $2.0BApr 30, 2021 to Mar 31, 2022
- Assets in custody · $298M to $1.4BMay 26, 2020 to Mar 31, 2021
- Discretionary RAUM · $298M to $1.4BMay 26, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $298M to $1.4BMay 26, 2020 to Mar 31, 2021
- RAUM · $298M to $1.4BMay 26, 2020 to Mar 31, 2021
- Related adviser · false to trueMay 26, 2020 to Mar 31, 2021
- Accounts · 1 to 2Jan 21, 2020 to May 26, 2020
- Pooled vehicle clients · 1 to 2Jan 21, 2020 to May 26, 2020
- Private funds · unset to 1Jan 21, 2020 to May 26, 2020
- Accounts · unset to 1.0Aug 30, 2019 to Jan 21, 2020
- Pooled vehicle clients · unset to 1.0Aug 30, 2019 to Jan 21, 2020
- Assets in custody · $0 to $298MAug 30, 2019 to Jan 21, 2020
- Discretionary RAUM · unset to 297636000.0Aug 30, 2019 to Jan 21, 2020
- Non-discretionary RAUM · unset to 0.0Aug 30, 2019 to Jan 21, 2020
- Pooled vehicle RAUM · unset to 297636000.0Aug 30, 2019 to Jan 21, 2020
- RAUM · unset to 297636000.0Aug 30, 2019 to Jan 21, 2020
Signals
5 dated events
- G••••••••• A••••••• L•• reported RAUM $2.3B, up 49% from $1.6B (2025-03-25 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Alan David Powar (Managing Director) no longer on Schedule A of G••••••••• A••••••• L•• (listed 2022-03-31, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- G••••••••• A••••••• L•• reported RAUM $2.0B, up 48% from $1.4B (2021-04-30 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- G••••••••• A••••••• L•• reported RAUM $1.4B, up 361% from $297.6M (2020-05-26 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- G••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Aug 30, 2019 · 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
- 212-792-5275reportedpublic record, Form ADV, Apr 7, 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