DFX Intelligence

G•• 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•• A•••••••

GBS FINANCIAL CORP., CRD 16906

SANTA ROSA, CA

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Search this name across graphsid dfx:ria:e62883dd-5522-3e38-6a6c-04ad809eb878

Data as of Aug 11, 2014 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 56
Dated events: 0
On other graphs: 0
Observed: Mar 23, 2012 to Aug 11, 2014
14 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: $811M••• Locked
Discretionary RAUM: $727M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 21
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••••• D••••• G•••••	CHIEF EXECUTIVE OFFICER	D	yes	11/2004	Mar 23, 2012	Aug 11, 2014
G•••••••• G••••• P•••	President	C	yes	03/2004	Mar 23, 2012	Aug 11, 2014

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
HUNTINGTON BEACH	CA	United States	n/a	no
MILL VALLEY	CA	United States	n/a	no
Oakland	CA	United States	n/a	no
Roseville	CA	United States	n/a	no
SANTA ROSA	CA	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Mar 31, 2014

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$811M	$166M	388.3%	n/a	n/a	21	58	n/a	n/a

Relationships

Owns (1)

← M••••••• L••• S••OwnerCHIEF COMPLIANCE OFFICER & REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL, ownership code NA, individual
Mar 23, 2012 to presentfactForm ADV

Controls (2)

← G•••••••• D••••• G•••••OwnerCHIEF EXECUTIVE OFFICER, ownership code D, individual
Mar 23, 2012 to presentfactForm ADV
← G•••••••• G••••• P•••OwnerPRESIDENT, ownership code C, individual
Mar 23, 2012 to presentfactForm ADV

Registered with (29)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e62883dd-5522-3e38-6a6c-04ad809eb878
First observed: Mar 23, 2012
Last observed: Aug 11, 2014 147 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.