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•••• I••••••••• M••••••••• I•••
Latest filing Mar 26, 2026
First filing on the tape Mar 29, 2012 · 23 filings
SEC status approved since Sep 28, 1999
RAUM
$185M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$184M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$92.6M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$185M as of Mar 26, 2026
Mar 29, 2012$155M then
HNW client RAUM$175M as of Mar 26, 2026
Mar 27, 2018$130M then
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 28, 20130 then
Employees (5.A)4 as of Mar 26, 2026
Mar 28, 20136 then
Private funds2 as of Mar 13, 2019
Mar 29, 20122 then
RAUM +22% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 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
- $92.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $877,661derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.8%derived
- Compensation
- percentage of assets, subscriptionreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, publicationsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$175M95%
- Individuals$8.9M4.8%
- Charitable organizations$761,5180.4%
- Pension and profit-sharing plans$145,7230.1%
- Individual clients
- 28reported
- HNW clients
- 60reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 211reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••••• N•• G•••••••• | Westlake Village, Ca | May 1, 2006 | 48 y | 0 |
| A•••••• R••••••••• D•••••• | Westlake Village, Ca | May 1, 2006 | 36 y | 1 |
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•••••••• L•••no longer reported | Hedge Fund | $4.0M | 9 | Mar 29, 2012 |
| R•••••••• L•••no longer reported | Hedge Fund | $2.7M | 16 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• A••••••• R••••••••• · President, Chief Compliance Officercontrolsince 07/1994 · owns 50% to 75%
- G••••••••• M•••••••• N•• · Foundercontrolsince 01/1978 · owns 10% to 25%
- V•• A••••• B••••••• I•• G•••• · Vice Presidentcontrolsince 10/2019 · owns 25% to 50%
- V•• A••••• R••••••• R••••• · Executive Vice Presidentcontrolsince 02/2022 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Westlake Village, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 196 to 211Mar 24, 2025 to Mar 26, 2026
- Advisory activities · 5 to 4Mar 24, 2025 to Mar 26, 2026
- HNW clients · 53 to 60Mar 24, 2025 to Mar 26, 2026
- Individual clients · 31 to 28Mar 24, 2025 to Mar 26, 2026
- Pension plan clients · 5 to 1Mar 24, 2025 to Mar 26, 2026
- Discretionary RAUM · $152M to $185MMar 24, 2025 to Mar 26, 2026
- HNW RAUM · $139M to $175MMar 24, 2025 to Mar 26, 2026
- Individual RAUM · $9.2M to $8.9MMar 24, 2025 to Mar 26, 2026
- Pension RAUM · $3.3M to $145,723Mar 24, 2025 to Mar 26, 2026
- RAUM · $152M to $185MMar 24, 2025 to Mar 26, 2026
- Accounts · 198 to 196Dec 5, 2024 to Mar 24, 2025
- HNW clients · 52 to 53Dec 5, 2024 to Mar 24, 2025
- Pension plan clients · 6 to 5Dec 5, 2024 to Mar 24, 2025
- Financial planning clients · 1-10 to 1-10Dec 5, 2024 to Mar 24, 2025
- HQ city · LOS ANGELES to WESTLAKE VILLAGEDec 5, 2024 to Mar 24, 2025
- Discretionary RAUM · $157M to $152MDec 5, 2024 to Mar 24, 2025
- HNW RAUM · $143M to $139MDec 5, 2024 to Mar 24, 2025
- Individual RAUM · $9.5M to $9.2MDec 5, 2024 to Mar 24, 2025
- Pension RAUM · $3.8M to $3.3MDec 5, 2024 to Mar 24, 2025
- RAUM · $157M to $152MDec 5, 2024 to Mar 24, 2025
- Related adviser · false to trueDec 5, 2024 to Mar 24, 2025
- Accounts · 188 to 198Mar 26, 2024 to Dec 5, 2024
- HNW clients · 50 to 52Mar 26, 2024 to Dec 5, 2024
- Individual clients · 35 to 31Mar 26, 2024 to Dec 5, 2024
- Pension plan clients · 7 to 6Mar 26, 2024 to Dec 5, 2024
- Employees · 5 to 4Mar 26, 2024 to Dec 5, 2024
- Discretionary RAUM · $127M to $157MMar 26, 2024 to Dec 5, 2024
- HNW RAUM · $112M to $143MMar 26, 2024 to Dec 5, 2024
- Individual RAUM · $10.0M to $9.5MMar 26, 2024 to Dec 5, 2024
- Pension RAUM · $3.6M to $3.8MMar 26, 2024 to Dec 5, 2024
- RAUM · $127M to $157MMar 26, 2024 to Dec 5, 2024
- Accounts · 187 to 188Mar 27, 2023 to Mar 26, 2024
- HNW clients · 69 to 50Mar 27, 2023 to Mar 26, 2024
- Individual clients · 39 to 35Mar 27, 2023 to Mar 26, 2024
- Pension plan clients · 9 to 7Mar 27, 2023 to Mar 26, 2024
- Discretionary RAUM · $122M to $127MMar 27, 2023 to Mar 26, 2024
- HNW RAUM · $110M to $112MMar 27, 2023 to Mar 26, 2024
- Individual RAUM · $7.4M to $10.0MMar 27, 2023 to Mar 26, 2024
- Pension RAUM · $3.7M to $3.6MMar 27, 2023 to Mar 26, 2024
- RAUM · $122M to $127MMar 27, 2023 to Mar 26, 2024
Signals
3 dated events
- Ila G•••• B•••••• Von A•••• (Executive Vice President) appeared on Schedule A of G•••• I••••••••• M••••••••• I•••Jan 28, 2020 · Control person joined · fact
- R••••• R•••••• Von A•••• (Senior Research Analyst) appeared on Schedule A of G•••• I••••••••• M••••••••• I•••Jan 28, 2020 · Control person joined · fact
- Tadao Timmie Shirata (Executive Vice President) no longer on Schedule A of G•••• I••••••••• M••••••••• I••• (listed 2019-03-13, absent 2020-01-28)Jan 28, 2020 · 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
- Firm profile
- linkedin.com/company/guild-investment-managementreportedpublic record, Form ADV, Sep 19, 2026
- Website
- farther.com/advisor/anthony-danaherreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 310-826-8600reportedpublic record, Form ADV, Mar 26, 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
- $92.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026