DFX Intelligence

G••••••• F•••••••• A•••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

G••••••• F•••••••• A•••••••

G••••••• F•••••••• A•••••••, INC., CRD 144875

OAKLAND, CA

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Search this name across graphsid dfx:ria:9ed2ce23-350f-34b1-43f6-cb9f0ca8a4d8

Data as of Mar 28, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 4
On other graphs: 0
Observed: Mar 15, 2012 to Mar 28, 2022
15 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: $269M••• Locked
Discretionary RAUM: $213M
Private client RAUM: $269Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••••• L••••• P•••••	PRESIDENT, CHIEF COMPLIANCE OFFICER	E	yes	08/2007	Mar 15, 2012	Mar 28, 2022

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$269M	$241M	11.7%	$188M	12.6%	7	6	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
W••••• E••••••••• A••••••• S•••••••• L••	3	Dec 31, 2022	Dec 7, 2022	OAKLAND, CA	Firm absorbed	RIA to ibd	100.0%

Relationships

Controls (1)

← G•••••••• L••••• P•••••OwnerPRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 15, 2012 to presentfactForm ADV

Registered with (3)

← J••••• N•••• H•••••••Advisorregistration: previous registration
Mar 10, 2020 to Dec 31, 2022factForm ADV
← J••• A••••• B••••••Advisorregistration: previous registration
May 31, 2018 to Dec 31, 2022factForm ADV
← L•••• P••••• G•••••••

Dated events

Occurred
Dec 31, 2022
Firm absorbed
••• Locked
Form ADVobserved 7 days ago
3 advisors
Occurred
Dec 31, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 31, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 31, 2022
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9ed2ce23-350f-34b1-43f6-cb9f0ca8a4d8
First observed: Mar 15, 2012
Last observed: Mar 28, 2022 54 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.