DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

B••••••• • A••••••••• I•••

Former SEC-registered adviserFormer SEC adviser· Portola Valley, California

Former SEC-registered adviser, based in Portola Valley, California, reporting $246M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2022-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $246M
RAUM change, 1 year: +12%
Private clients: 100%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2022-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 30 Mar 2022, RAUM $219M to $246M (+12.4%) on the Form ADV filed 30 Mar 2022.

Every filed figure, and the identifiersCRD 105102 · SEC 801-35762 · 18 filingsShow

CRD 105102SEC 801-35762First filing on the tape Mar 28, 2012, latest Mar 30, 2022IAPD

RAUM

$246M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$246M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

18 filings and snapshots on the tape

RAUM +11% a year over three years · the tape starts Mar 28, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$246M as of Mar 30, 2022

Mar 28, 2012$243M then

HNW client RAUM$233M as of Mar 30, 2022

Mar 29, 2018$161M then

State-registered IARs (5.B.3)0 as of Mar 30, 2022

Mar 28, 20120 then

Employees (5.A)5 as of Mar 30, 2022

Mar 28, 20134 then

Private funds: no history

RAUM +12% over the last fiscal year+11% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 30, 2022; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.4MderivedHNW RAUM over HNW clients
Average account: $1.9MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year: +12%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +3.0%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Custody: $53.1M, 43 clientsreportedItem 9.A
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)
has custody of client cash or bank accounts (9.A.1.a)

Where the RAUM sits

Form ADV Item 5.D, latest filing

95% high-net-worth individuals, 5.2% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$233M95%
Individuals$12.7M5.2%

Individual clients: 43reported
HNW clients: 96reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 132reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: $53.1M for 43 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Where they went: the top destinations among the 1 most recent departures on the tape

B••••• P••••• A•••••••• L••1 advisor

Left, latest

M•••••• S••• D••• to B••••• P••••• A•••••••• L••
Jan 30, 2023 · RIA to RIA

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B•••••••• G••••••• L•• · Presidentcontrol
since 11/2014 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 125 to 132
Mar 29, 2021 to Mar 30, 2022
Advisory employees · 1 to 2
Mar 29, 2021 to Mar 30, 2022
HNW clients · 95 to 96
Mar 29, 2021 to Mar 30, 2022
Individual clients · 40 to 43
Mar 29, 2021 to Mar 30, 2022
Assets in custody · $42.6M to $53.1M
Mar 29, 2021 to Mar 30, 2022

Full history · 72 changes

Discretionary RAUM · $219M to $246M
Mar 29, 2021 to Mar 30, 2022
HNW RAUM · $207M to $233M
Mar 29, 2021 to Mar 30, 2022
Individual RAUM · $11.4M to $12.7M
Mar 29, 2021 to Mar 30, 2022
RAUM · $219M to $246M
Mar 29, 2021 to Mar 30, 2022
HNW clients · 91 to 95
Jul 27, 2020 to Mar 29, 2021
Individual clients · 41 to 40
Jul 27, 2020 to Mar 29, 2021
Assets in custody · $41.6M to $42.6M
Jul 27, 2020 to Mar 29, 2021
Employees · 4 to 5
Jul 27, 2020 to Mar 29, 2021
HQ city · WOODSIDE to PORTOLA VALLEY
Jul 27, 2020 to Mar 29, 2021
Discretionary RAUM · $212M to $219M
Jul 27, 2020 to Mar 29, 2021
HNW RAUM · $199M to $207M
Jul 27, 2020 to Mar 29, 2021
Individual RAUM · $12.9M to $11.4M
Jul 27, 2020 to Mar 29, 2021
RAUM · $212M to $219M
Jul 27, 2020 to Mar 29, 2021
Accounts · 123 to 125
Sep 13, 2019 to Mar 26, 2020
HNW clients · 51 to 91
Sep 13, 2019 to Mar 26, 2020
Individual clients · 79 to 41
Sep 13, 2019 to Mar 26, 2020
Assets in custody · $37.0M to $41.6M
Sep 13, 2019 to Mar 26, 2020
Discretionary RAUM · $179M to $212M
Sep 13, 2019 to Mar 26, 2020
HNW RAUM · $162M to $199M
Sep 13, 2019 to Mar 26, 2020
Individual RAUM · $16.9M to $12.9M
Sep 13, 2019 to Mar 26, 2020
RAUM · $179M to $212M
Sep 13, 2019 to Mar 26, 2020
Accounts · 124 to 123
Mar 29, 2018 to Mar 26, 2019
HNW clients · 71 to 51
Mar 29, 2018 to Mar 26, 2019
Individual clients · 57 to 79
Mar 29, 2018 to Mar 26, 2019
Assets in custody · $33.5M to $37.0M
Mar 29, 2018 to Mar 26, 2019
Discretionary RAUM · $182M to $179M
Mar 29, 2018 to Mar 26, 2019
HNW RAUM · $161M to $162M
Mar 29, 2018 to Mar 26, 2019
Individual RAUM · $21.4M to $16.9M
Mar 29, 2018 to Mar 26, 2019
RAUM · $182M to $179M
Mar 29, 2018 to Mar 26, 2019
Accounts · 120 to 124
Mar 29, 2017 to Mar 29, 2018
Charity clients · unset to 0.0
Mar 29, 2017 to Mar 29, 2018
Corporate clients · unset to 0.0
Mar 29, 2017 to Mar 29, 2018
HNW clients · unset to 71.0
Mar 29, 2017 to Mar 29, 2018
Individual clients · unset to 57.0
Mar 29, 2017 to Mar 29, 2018
Pension plan clients · unset to 0.0
Mar 29, 2017 to Mar 29, 2018
Pooled vehicle clients · unset to 0.0
Mar 29, 2017 to Mar 29, 2018
Assets in custody · unset to 33519519.0
Mar 29, 2017 to Mar 29, 2018
Custody of client assets · false to true
Mar 29, 2017 to Mar 29, 2018
Other offices · unset to 0.0
Mar 29, 2017 to Mar 29, 2018
Discretionary RAUM · $164M to $182M
Mar 29, 2017 to Mar 29, 2018
HNW RAUM · unset to 160660904.0
Mar 29, 2017 to Mar 29, 2018
Individual RAUM · unset to 21366980.0
Mar 29, 2017 to Mar 29, 2018
RAUM · $164M to $182M
Mar 29, 2017 to Mar 29, 2018
Accounts · 129 to 120
Mar 21, 2016 to Mar 29, 2017
Discretionary RAUM · $165M to $164M
Mar 21, 2016 to Mar 29, 2017
RAUM · $165M to $164M
Mar 21, 2016 to Mar 29, 2017
Accounts · 135 to 129
Mar 31, 2015 to Mar 21, 2016
Discretionary RAUM · $186M to $165M
Mar 31, 2015 to Mar 21, 2016
RAUM · $186M to $165M
Mar 31, 2015 to Mar 21, 2016
Accounts · 141 to 135
Dec 18, 2014 to Mar 31, 2015
Business name · B••••••• • A••••••••• to B••••••• • A••••••••• I•••
Dec 18, 2014 to Mar 31, 2015
Legal name · B••••••• G•••••• LEE to B••••••• • A••••••••• I•••
Dec 18, 2014 to Mar 31, 2015
Discretionary RAUM · $195M to $186M
Dec 18, 2014 to Mar 31, 2015
RAUM · $195M to $186M
Dec 18, 2014 to Mar 31, 2015
Succession · true to false
Dec 18, 2014 to Mar 31, 2015
Organization form · Sole Proprietorship to Corporation
Mar 27, 2014 to Dec 18, 2014
Succession · false to true
Mar 27, 2014 to Dec 18, 2014
Accounts · 165 to 141
Dec 10, 2013 to Mar 27, 2014
BD registered reps · 1 to 0
Dec 10, 2013 to Mar 27, 2014
Discretionary RAUM · $237M to $195M
Dec 10, 2013 to Mar 27, 2014
RAUM · $237M to $195M
Dec 10, 2013 to Mar 27, 2014
Accounts · 167 to 165
Sep 10, 2012 to Mar 28, 2013
Advisory employees · unset to 1.0
Sep 10, 2012 to Mar 28, 2013
BD registered reps · unset to 1.0
Sep 10, 2012 to Mar 28, 2013
Employees · unset to 4.0
Sep 10, 2012 to Mar 28, 2013
Discretionary RAUM · $243M to $237M
Sep 10, 2012 to Mar 28, 2013
RAUM · $243M to $237M
Sep 10, 2012 to Mar 28, 2013

Signals

2 dated events

••• Locked
Jan 30, 2023 · Advisor changed firm · fact
••• Locked
Dec 18, 2014 · Succession (Item 4) · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026