DFX Intelligence
RIA Intelligence
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SEC-registered adviser
G••••• C••••• M••••••••• L••
Latest filing Mar 29, 2026
First filing on the tape Mar 20, 2025 · 4 filings
SEC status approved since Mar 31, 2025
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
14
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$2.3B as of Mar 29, 2026
Mar 20, 2025$0 then
HNW client RAUM$0 as of Mar 29, 2026
Mar 20, 2025$0 then
State-registered IARs (5.B.3)0 as of Mar 29, 2026
Mar 20, 20250 then
Employees (5.A)14 as of Mar 29, 2026
Mar 20, 20253 then
Private funds5 as of Mar 29, 2026
Jun 13, 20251 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 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
- $460MderivedRAUM 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
- unknownderivedbetween 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
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.3B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- 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
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
- C•••••• Y•••••••• · Managercontrolsince 10/2024 · owns less than 5%
- S•••••••• R•••••• H••••• · Chief Executive Officercontrolsince 10/2024 · owns less than 5%
- C••••• N•••• P•••••• · Chief Compliance Officersince 06/2025 · owns less than 5%
- R•••• J•••• S••• · Chief Operating Officersince 01/2026 · owns less than 5%
Entity owners
- G••••• C••••• H••••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1 to 5Jul 17, 2025 to Mar 29, 2026
- Advisory employees · 6 to 10Jul 17, 2025 to Mar 29, 2026
- Pooled vehicle clients · 1 to 5Jul 17, 2025 to Mar 29, 2026
- Employees · 9 to 14Jul 17, 2025 to Mar 29, 2026
- Private funds · 1 to 5Jul 17, 2025 to Mar 29, 2026
- Discretionary RAUM · $552M to $2.3BJul 17, 2025 to Mar 29, 2026
- Pooled vehicle RAUM · $552M to $2.3BJul 17, 2025 to Mar 29, 2026
- RAUM · $552M to $2.3BJul 17, 2025 to Mar 29, 2026
- Financial planning clients · unset to Jun 13, 2025 to Jul 17, 2025
- Accounts · 0 to 1Mar 20, 2025 to Jun 13, 2025
- Advisory employees · 3 to 6Mar 20, 2025 to Jun 13, 2025
- Pooled vehicle clients · 0 to 1Mar 20, 2025 to Jun 13, 2025
- Employees · 3 to 9Mar 20, 2025 to Jun 13, 2025
- Private funds · unset to 1Mar 20, 2025 to Jun 13, 2025
- Discretionary RAUM · $0 to $552MMar 20, 2025 to Jun 13, 2025
- Pooled vehicle RAUM · $0 to $552MMar 20, 2025 to Jun 13, 2025
- RAUM · $0 to $552MMar 20, 2025 to Jun 13, 2025
Signals
1 dated events
- G••••• C••••• M••••••••• L•• reported RAUM $2.3B, up 317% from $552.4M (2025-07-17 to 2026-03-29)Mar 29, 2026 · RAUM change · derived
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 21, 2026
- Principal office phone
- 212-970-6601reportedpublic record, Form ADV, Mar 29, 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