DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

G••••••• I••••••••• M•••••••••

G••••••• I••••••••• M•••••••••, LLC, CRD 104935

TIBURON, CA

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Search this name across graphsid dfx:ria:e2b92342-9d00-75ba-52c6-f1527d82ce1e

Data as of Mar 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Jan 20, 2012 to Mar 6, 2026
20 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: independent wealth managerderivedprivate_client_share=0.81 fund_share=0.0 institutional_share=0.19 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $310M••• Locked
Discretionary RAUM: $264M
Private client RAUM: $250Mderived••• Locked
Private client share: 81%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $310Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D••••• L••••• D••••	n/a	TIBURON, CA	0	25	1	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E•••••••• S••••••• A•••••	MEMBER, CHIEF COMPLIANCE OFFICER	C	yes	04/2013	May 3, 2013	Mar 29, 2024
T••••••••• R•••••• M••••••	PRESIDENT, MANAGING MEMBER	D	yes	04/2013	Jan 20, 2012	Mar 29, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	1	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$310M	$313M	-0.8%	$270M	4.8%	0	1	0	0

Relationships

Registered with (2)

← D••••• L••••• D••••Advisorregistration: current employment
Dec 22, 2025 to presentfactForm ADV
← S•••••• A• A••••• E•••••••Advisorregistration: previous registration
Aug 12, 2013 to Dec 31, 2018factForm ADV

Controls (2)

← E•••••••• S••••••• A•••••OwnerMEMBER, CHIEF COMPLIANCE OFFICER, ownership code C, individual
May 3, 2013 to Mar 29, 2024factForm ADV
← T••••••••• R•••••• M••••••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 6, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Mar 29, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago

Show 1 bookkeeping events

Occurred
Mar 6, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e2b92342-9d00-75ba-52c6-f1527d82ce1e
First observed: Jan 20, 2012
Last observed: Mar 6, 2026 6 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.