DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

DAN GOLDIE FINANCIAL SERVICES LLC

CRD 149887

PALO ALTO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:07165e17-663d-bbcc-5bce-ef3e2afb800d

Data as of Jan 17, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Jan 17, 2019
10 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $858MItem 5.F on the latest filing (2019-01-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $858MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 3
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 1,360
Individual clients: 168
High net worth clients: 253
SEC number: 801-70030
CRD: 149887
Filings on the tape: 10
First filed: Mar 28, 2012
Latest filed: Jan 17, 2019
Organised: Limited Liability Company, California

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
GOLDIE, DANIEL, CLYDE	CHIEF COMPLIANCE OFFICER	E	yes	01/2009	Mar 28, 2012	Jan 17, 2019
GILLIARD, DIRK, GAVIN	Member	Na	no	11/2018	Jan 17, 2019	Jan 17, 2019

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Burlingame	CA	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Jan 17, 2019	$858M	$0	3	3	1	n/a	n/a
2017	Jan 19, 2018	$874M	$0	3	3	1	n/a	n/a
2016	Mar 6, 2017	$738M	$0	2	2	n/a	n/a	n/a
2015	Mar 15, 2016	$715M	$0	2	2	n/a	n/a	n/a
2014	Feb 5, 2015	$722M	$0	2	2	n/a	n/a	n/a
2013	Mar 12, 2014	$696M	$0	2	2	n/a	n/a	n/a
2012	Feb 25, 2013	$582M	$0	2	2	n/a	n/a	n/a
2011	Mar 28, 2012	$516M	$0	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$858M	$874M	-1.9%	$715M	6.3%	3	3	1	1

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
BUCKINGHAM STRATEGIC WEALTH, LLC	2	May 31, 2019	Jun 13, 2019	PALO ALTO, CA	Team lift out	RIA to ibd	66.7%

Relationships

Controls (1)

← GOLDIE, DANIEL, CLYDEOwnerCHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 28, 2012 to presentfactForm ADV

Owns (1)

← GILLIARD, DIRK, GAVINOwnerMEMBER, ownership code NA, individual
Jan 17, 2019 to presentfactForm ADV

Moved with (1)

→ BUCKINGHAM STRATEGIC WEALTH, LLCRegistered adviser2 advisors, team lift out, same day
May 31, 2019 to Jun 13, 2019factForm ADV

Registered with (3)

← DANIEL CLYDE GOLDIEAdvisorregistration: previous registration
Jun 17, 2009 to May 31, 2019factForm ADV
← DIRK GAVIN GILLIARDAdvisorregistration: previous registration
Jan 11, 2011 to May 31, 2019factForm ADV
← David MagnusonAdvisorregistration: previous registration
Dec 26, 2017 to May 31, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:07165e17-663d-bbcc-5bce-ef3e2afb800d
First observed: Mar 28, 2012
Last observed: Jan 17, 2019 93 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

DAN GOLDIE FINANCIAL SERVICES LLC

CRD 149887

PALO ALTO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:07165e17-663d-bbcc-5bce-ef3e2afb800d

Data as of Jan 17, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:14 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GOLDIE, DANIEL, CLYDE

CHIEF COMPLIANCE OFFICER

yes

01/2009

Mar 28, 2012

Jan 17, 2019

GILLIARD, DIRK, GAVIN

Member

11/2018

Jan 17, 2019

City

State

Country

Employees

Also broker-dealer

Burlingame

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Jan 17, 2019

$858M

n/a

2017

Jan 19, 2018

$874M

n/a

2016

Mar 6, 2017

$738M

n/a

2015

Mar 15, 2016

$715M

n/a

2014

Feb 5, 2015

$722M

n/a

2013

Mar 12, 2014

$696M

n/a

2012

Feb 25, 2013

$582M

n/a

2011

Mar 28, 2012

$516M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$858M

$874M

-1.9%

$715M

6.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

BUCKINGHAM STRATEGIC WEALTH, LLC

May 31, 2019

Jun 13, 2019

PALO ALTO, CA

Team lift out

RIA to ibd

66.7%