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.
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SEC-registered adviser
G•••••••• C•••••• L•
Latest filing Mar 24, 2026
First filing on the tape Mar 29, 2012 · 20 filings
SEC status approved since Mar 8, 1994
RAUM
$4.6B
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$4.6B
derived; firm RAUM over IAPD count
Employees
26
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$4.6B as of Mar 24, 2026
Mar 29, 2012$3.0B then
HNW client RAUM$0 as of Mar 24, 2026
Mar 30, 2018$1.2M then
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 29, 20120 then
Employees (5.A)26 as of Mar 24, 2026
Mar 25, 201322 then
Private funds4 as of Mar 24, 2026
Mar 29, 20123 then
RAUM +0.7% over the last fiscal year+6.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- solo s•••• team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $4.6BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $148MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 58%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 26.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $580M, 4 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$1.8B39%
- Pooled investment vehicles$1.5B32%
- Pension and profit-sharing plans$848M18%
- Other investment advisers$264M5.7%
- Corporations and businesses$198M4.3%
- Charitable organizations$15.9M0.3%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 5reported
- Charitable clients
- 1reported
- Accounts
- 31reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $580M for 4 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.38 institutional_share=0.58 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 |
|---|---|---|---|---|
| R••••• J•••• A••••• | San Diego, Ca | Apr 3, 2007 | 37 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•••••••• I••••••••• A•• C•• C••••••••• T•••• | Other Private Fund | $153M | 5 | Mar 29, 2012 |
| G•••••••• F••••••• A•• C••• L••• | Other Private Fund | $134M | 5 | Mar 29, 2019 |
| G•••••••• E••••••• M•••••• S•••• C••• L••• | Other Private Fund | $116M | 9 | Mar 29, 2012 |
| G•••••••• I••••••••• P••••••• •••• L•••no longer reported | Other Private Fund | $32.2M | 2 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• R•••••• J•••• · Cio, Co-Trustee Of The A••••• Family Trustcontrolsince 01/1994 · owns 10% to 25%
- M•••••••• M•••••• L•••••• · Ceo, Co-Trustee Of The A••••• Family Trustcontrolsince 01/1994 · owns 25% to 50%
- A•••••• R•••••• J•••• · Co-Trustee Of A••••• Family Trustcontrolsince 01/1994 · owns 25% to 50% of A••••• C••••••• I•••
- M•••••••• M•••••• L•••••• · Co-Trustee Of A••••• Family Trustcontrolsince 01/1994 · owns 50% to 75% of A••••• C••••••• I•••
- E••• J•••••••• A••••• · Chief Financial Officersince 10/2018 · owns less than 5%
- L•••• E•••••• D••••••••• · Limited Partnersince 03/1994 · owns less than 5%
- M•••••••• A•••••••• T••••• · Limited Partnersince 01/1994 · owns less than 5%
- M•••••• H••••• M••••• · Limited Partnersince 10/1996 · owns 5% to 10%
- P•••••••• P•••••• F•••••• · Chief Compliance Officersince 07/2013 · owns less than 5%
- P•••••••• J••••• D•••• · Deputy Ciosince 01/2020 · owns 5% to 10%
Entity owners
- A••••• C••••••• I••• · General Partnerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Boston, MA3 employees
What changed
consecutive filings, newest first
- Accounts · 30 to 31Mar 31, 2025 to Mar 24, 2026
- Pooled vehicle clients · 9 to 8Mar 31, 2025 to Mar 24, 2026
- Assets in custody · $529M to $580MMar 31, 2025 to Mar 24, 2026
- Discretionary RAUM · $4.6B to $4.4BMar 31, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $0 to $188MMar 31, 2025 to Mar 24, 2026
- Pension RAUM · $708M to $848MMar 31, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $1.5B to $1.5BMar 31, 2025 to Mar 24, 2026
- RAUM · $4.6B to $4.6BMar 31, 2025 to Mar 24, 2026
- Accounts · 31 to 30Mar 28, 2024 to Mar 31, 2025
- Pension plan clients · 6 to 5Mar 28, 2024 to Mar 31, 2025
- Pooled vehicle clients · 7 to 9Mar 28, 2024 to Mar 31, 2025
- Assets in custody · $403M to $529MMar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Private funds · 3 to 4Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $4.4B to $4.6BMar 28, 2024 to Mar 31, 2025
- Pension RAUM · $809M to $708MMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.2B to $1.5BMar 28, 2024 to Mar 31, 2025
- RAUM · $4.4B to $4.6BMar 28, 2024 to Mar 31, 2025
- Pension plan clients · 5 to 6Mar 30, 2023 to Mar 28, 2024
- Assets in custody · $373M to $403MMar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $3.8B to $4.4BMar 30, 2023 to Mar 28, 2024
- Pension RAUM · $683M to $809MMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.0B to $1.2BMar 30, 2023 to Mar 28, 2024
- RAUM · $3.8B to $4.4BMar 30, 2023 to Mar 28, 2024
- Accounts · 30 to 31Apr 13, 2022 to Mar 30, 2023
- Advisory employees · 11 to 10Apr 13, 2022 to Mar 30, 2023
- Assets in custody · $400M to $373MApr 13, 2022 to Mar 30, 2023
- Employees · 27 to 26Apr 13, 2022 to Mar 30, 2023
- Discretionary RAUM · $3.7B to $3.8BApr 13, 2022 to Mar 30, 2023
- Pension RAUM · $860M to $683MApr 13, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $1.2B to $1.0BApr 13, 2022 to Mar 30, 2023
- RAUM · $3.7B to $3.8BApr 13, 2022 to Mar 30, 2023
- Accounts · 31 to 30Mar 22, 2021 to Mar 31, 2022
- Advisory employees · 12 to 11Mar 22, 2021 to Mar 31, 2022
- Advisory activities · 4 to 2Mar 22, 2021 to Mar 31, 2022
- Pension plan clients · 6 to 5Mar 22, 2021 to Mar 31, 2022
- Pooled vehicle clients · 5 to 7Mar 22, 2021 to Mar 31, 2022
- Assets in custody · $343M to $400MMar 22, 2021 to Mar 31, 2022
- Employees · 29 to 27Mar 22, 2021 to Mar 31, 2022
- Discretionary RAUM · $3.3B to $3.7BMar 22, 2021 to Mar 31, 2022
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- G•••••••• C•••••• L• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/G••••••••-CAPITALreportedpublic record, Form ADV, Sep 18, 2026
- Website
- G••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 858-658-9060reportedpublic record, Form ADV, Mar 24, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $4.6Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026