DFX Intelligence
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G•••••• C•••••• A••••••• 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 $36.5M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $36.5M
- Advisors
- 0
- RAUM change, last fiscal year
- +46%
- Private clients
- 0.0% of RAUM
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What matters now
- 2 changesownership and control
1 control person joined and 1 left Schedule A in the last 12 months.
A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.
- +46.5%RAUM, one year
RAUM $24.9M to $36.5M (+46.5%) on the Form ADV filed 31 Mar 2026.
The one filed measure of whether clients are staying.
Every filed figure, and the identifiersCRD 329386 · SEC 801-130200 · 6 filingsShowHide
CRD 329386SEC 801-130200First filing on the tape Apr 3, 2024, latest Mar 31, 2026SEC status approved since May 15, 2024IAPD
RAUM
$36.5M
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
Not computed
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$36.5M as of Mar 31, 2026
Feb 21, 2025$24.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Feb 21, 20250 then
Employees (5.A)1 as of Mar 31, 2026
Feb 21, 20251 then
Private funds: no history
RAUM +46% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
The rule behind each archetype, and every derived figureShowHide
- 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
- $18.3MderivedRAUM 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
- +46%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 investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$36.5M100%
- 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=true bd_reps=0.0derived
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Advisors registered through the firm
0 on IAPD today; the 10 longest tenured
No representative is registered through this CRD on IAPD.
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• A••••• A•••• · Presidentcontrolsince 11/2023 · owns less than 5%
- B••••••••• Y•••• N•• · Chief Financial Officercontrolsince 11/2023 · owns less than 5%
- N••••••••• P••••••• T•••••• · Chief Compliance Officercontrolsince 11/2023 · owns less than 5%
- B••••••••• A•••••• S••••••• · Majority Ownercontrolsince 11/2023 · owns 50% to 75% of G•••••• G•••• L••••••
Entity owners
- G•••••• H••••••• L•••••• · Sole Ownerdirect · owns 75% or more
- G•••••• G•••• L•••••• · Sole Ownerindirect · owns 75% or more of G•••••• M•••• L••••••
- G•••••• M•••• L•••••• · Sole Ownerindirect · owns 75% or more of G•••••• H••••••• L••••••
Related persons
Schedule D 7.A
- G•••••• C•••••• M••••••••• L••••••investment adviserbankn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $24.9M to $36.5MFeb 2, 2026 to Mar 31, 2026
- RAUM · $24.9M to $36.5MFeb 2, 2026 to Mar 31, 2026
- Accounts · 0 to 2Sep 12, 2024 to Feb 21, 2025
- Pooled vehicle clients · unset to 1.0Sep 12, 2024 to Feb 21, 2025
- Financial planning clients · unset to Sep 12, 2024 to Feb 21, 2025
Full history · 8 changesShow fewer
- Discretionary RAUM · $0 to $24.9MSep 12, 2024 to Feb 21, 2025
- Pooled vehicle RAUM · unset to 0.0Sep 12, 2024 to Feb 21, 2025
- RAUM · $0 to $24.9MSep 12, 2024 to Feb 21, 2025
Signals
8 dated events
- ••• LockedMar 31, 2026 · ria indirect owner change · fact
- ••• LockedMar 31, 2026 · ria majority owner change · derived
- ••• LockedMar 31, 2026 · ria principal change · fact
- ••• LockedMar 31, 2026 · ria majority owner change · fact
- ••• LockedMar 31, 2026 · ria principal change · derived
Full timeline · 8 eventsShow fewer
- ••• LockedMar 31, 2026 · Control person joined · fact
- ••• LockedMar 31, 2026 · Control person left · inference
- ••• LockedApr 3, 2024 · 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 31, 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
- Not computedderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Not yet on record: net advisor flow, 12 months.