DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
G••••••• I••••••••• M•••••••••
Legal name G••••••• I••••••••• M••••••••• L••
Latest filing Mar 6, 2026
First filing on the tape Jan 20, 2012 · 20 filings
SEC status approved since Jan 22, 1976
RAUM
$310M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
81%
$250M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$310M
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$310M as of Mar 6, 2026
Jan 20, 2012$147M then
HNW client RAUM$246M as of Mar 6, 2026
Apr 2, 2018$240M then
State-registered IARs (5.B.3)0 as of Mar 6, 2026
Jan 20, 20120 then
Employees (5.A)0 as of Mar 6, 2026
Jan 25, 20131 then
Private funds: no history
RAUM -0.8% over the last fiscal year+4.8% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Mar 6, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $310MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.7MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$246M79%
- Charitable organizations$41.9M14%
- Pension and profit-sharing plans$18.1M5.8%
- Individuals$4.5M1.4%
- Individual clients
- 10reported
- HNW clients
- 43reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 127reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.19 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• L••••• D•••• | Tiburon, Ca | Dec 22, 2025 | 25 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- S•••••• A• A••••• E••••••• to M••••• S••••••Dec 31, 2018 · RIA to wirehouse
Joined, latest
- D••••• L••••• D•••• from C••••• S••••• S••••••••• •••• L••Dec 22, 2025 · Other
- S•••••• A• A••••• E••••••• from S•••••• • P••••• C• L••Aug 12, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••••••• S••••••• A••••• · Member, Chief Compliance Officercontrolsince 04/2013 · owns 25% to 50%
- T••••••••• R•••••• M•••••• · President, Managing Membercontrolsince 04/2013 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 6, 2026financial planning (Item 5.G.1): yes on the filing of 2025-03-07, no on the filing of 2026-03-06peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 184 to 127Mar 7, 2025 to Mar 6, 2026
- Advisory employees · 1 to 0Mar 7, 2025 to Mar 6, 2026
- Advisory activities · 3 to 2Mar 7, 2025 to Mar 6, 2026
- Charity clients · 4.0 to unsetMar 7, 2025 to Mar 6, 2026
- HNW clients · 45 to 43Mar 7, 2025 to Mar 6, 2026
- Individual clients · 6 to 10Mar 7, 2025 to Mar 6, 2026
- Pension plan clients · 6.0 to unsetMar 7, 2025 to Mar 6, 2026
- Employees · 1 to 0Mar 7, 2025 to Mar 6, 2026
- Financial planning clients · 1-10 to 0Mar 7, 2025 to Mar 6, 2026
- State-registered IARs · 1 to 0Mar 7, 2025 to Mar 6, 2026
- Discretionary RAUM · $272M to $264MMar 7, 2025 to Mar 6, 2026
- HNW RAUM · $236M to $246MMar 7, 2025 to Mar 6, 2026
- Individual RAUM · $2.1M to $4.5MMar 7, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $41.1M to $46.6MMar 7, 2025 to Mar 6, 2026
- Pension RAUM · $26.9M to $18.1MMar 7, 2025 to Mar 6, 2026
- RAUM · $313M to $310MMar 7, 2025 to Mar 6, 2026
- Accounts · 179 to 184Mar 29, 2024 to Mar 7, 2025
- Advisory employees · 2 to 1Mar 29, 2024 to Mar 7, 2025
- Corporate clients · 0.0 to unsetMar 29, 2024 to Mar 7, 2025
- HNW clients · 159 to 45Mar 29, 2024 to Mar 7, 2025
- Individual clients · 7 to 6Mar 29, 2024 to Mar 7, 2025
- Pension plan clients · 9 to 6Mar 29, 2024 to Mar 7, 2025
- Pooled vehicle clients · 0.0 to unsetMar 29, 2024 to Mar 7, 2025
- Employees · 3 to 1Mar 29, 2024 to Mar 7, 2025
- Financial planning clients · 1-10 to 1-10Mar 29, 2024 to Mar 7, 2025
- State-registered IARs · 2 to 1Mar 29, 2024 to Mar 7, 2025
- Other offices · 1 to 0Mar 29, 2024 to Mar 7, 2025
- Discretionary RAUM · $267M to $272MMar 29, 2024 to Mar 7, 2025
- HNW RAUM · $247M to $236MMar 29, 2024 to Mar 7, 2025
- Individual RAUM · $7.0M to $2.1MMar 29, 2024 to Mar 7, 2025
- Non-discretionary RAUM · $37.5M to $41.1MMar 29, 2024 to Mar 7, 2025
- Pension RAUM · $13.6M to $26.9MMar 29, 2024 to Mar 7, 2025
- RAUM · $304M to $313MMar 29, 2024 to Mar 7, 2025
- Accounts · 174 to 179Mar 30, 2023 to Mar 29, 2024
- Charity clients · 2 to 4Mar 30, 2023 to Mar 29, 2024
- HNW clients · 54 to 159Mar 30, 2023 to Mar 29, 2024
- Individual clients · 13 to 7Mar 30, 2023 to Mar 29, 2024
- Pension plan clients · 6 to 9Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $231M to $267MMar 30, 2023 to Mar 29, 2024
- HNW RAUM · $228M to $247MMar 30, 2023 to Mar 29, 2024
Signals
1 dated events
- Louis Donald Hansen (Member, Senior Portfolio Manager) no longer on Schedule A of G••••••• I••••••••• M••••••••• (listed 2023-03-30, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
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
- Business phone
- 415-765-6860reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-765-6860reportedpublic record, Form ADV, Mar 6, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $310Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026