DFX Intelligence
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G•••••• F•••••••• S••••••••• I•••
Independent wealth managerSEC-registered· San Gabriel, California
Independent wealth manager, based in San Gabriel, California, reporting $353M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $353M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +11%
- Private clients
- 100% of RAUM, $353M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- HNW RAUM per HNW client 8367703.03571429Peer median 2402919.60486111
- Contact points 1
Every filed figure, and the identifiersCRD 108449 · SEC 801-55656 · 18 filingsShowHide
CRD 108449SEC 801-55656First filing on the tape Mar 21, 2012, latest Jan 7, 2026SEC status approved since Jun 19, 1998IAPD
RAUM
$353M
reported, Item 5.F
Discretionary
45%
of RAUM
Private clients
100%
$353M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$176M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$353M as of Jan 7, 2026
Mar 21, 2012$109M then
HNW client RAUM$234M as of Jan 7, 2026
Jan 31, 2018$113M then
State-registered IARs (5.B.3)0 as of Jan 7, 2026
Mar 21, 20120 then
Employees (5.A)3 as of Jan 7, 2026
Mar 5, 20133 then
Private funds: no history
RAUM +11% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 7, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $176MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 157derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.4MderivedHNW RAUM over HNW clients
- Average account
- $632,226derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 45%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.6%derived
- Compensation
- percentage of assets, hourly, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $78.9M, 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$234M66%
- Individuals$118M34%
- Individual clients
- 285reported
- HNW clients
- 28reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 558reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $78.9M for 4 clientsreported
- Compensation
- % of AUM, hourly, commissionsreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••••• M•••• G•••••• | San Gabriel, Ca | Jan 26, 2017 | 43 y | 0 |
| D••••• V•••••• G•••••• | San Gabriel, Ca | Aug 5, 2019 | 27 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• C••••• M•••••• · Excutive V.P.controlsince 10/2004 · owns 25% to 50%
- G••••••• D•••••• V•••••• · Chief Compliance Officercontrolsince 01/2005 · owns 10% to 25%
- G••••••• G•••••••• M•••• · Presidentcontrolsince 06/1989 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| San Gabriel, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Jan 7, 2026HNW RAUM per HNW client of $8,367,703 against a peer median of $2,402,920 (4942 comparable advisers, 99.0th percentile, 4.0 robust deviations)peers: independent wealth managers, $100M to $500M (4,942) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 605 to 558Oct 7, 2025 to Jan 7, 2026
- HNW clients · 32 to 28Oct 7, 2025 to Jan 7, 2026
- Individual clients · 303 to 285Oct 7, 2025 to Jan 7, 2026
- Assets in custody · $67.0M to $78.9MOct 7, 2025 to Jan 7, 2026
- Discretionary RAUM · $150M to $158MOct 7, 2025 to Jan 7, 2026
- HNW RAUM · $205M to $234MOct 7, 2025 to Jan 7, 2026
- Individual RAUM · $112M to $118MOct 7, 2025 to Jan 7, 2026
- Non-discretionary RAUM · $167M to $195MOct 7, 2025 to Jan 7, 2026
- RAUM · $317M to $353MOct 7, 2025 to Jan 7, 2026
- Assets in custody · $66.6M to $67.0MJan 6, 2025 to Oct 7, 2025
- Accounts · 348 to 605Jan 8, 2024 to Jan 6, 2025
- HNW clients · 27 to 32Jan 8, 2024 to Jan 6, 2025
- Individual clients · 348 to 303Jan 8, 2024 to Jan 6, 2025
- Assets in custody · $57.8M to $66.6MJan 8, 2024 to Jan 6, 2025
- Financial planning clients · 251-500 to 251-500Jan 8, 2024 to Jan 6, 2025
- Discretionary RAUM · $133M to $150MJan 8, 2024 to Jan 6, 2025
- HNW RAUM · $175M to $205MJan 8, 2024 to Jan 6, 2025
- Individual RAUM · $103M to $112MJan 8, 2024 to Jan 6, 2025
- Non-discretionary RAUM · $145M to $167MJan 8, 2024 to Jan 6, 2025
- RAUM · $278M to $317MJan 8, 2024 to Jan 6, 2025
- Accounts · 664 to 348Jan 16, 2023 to Jan 8, 2024
- HNW clients · 24 to 27Jan 16, 2023 to Jan 8, 2024
- Individual clients · 336 to 348Jan 16, 2023 to Jan 8, 2024
- Assets in custody · $59.0M to $57.8MJan 16, 2023 to Jan 8, 2024
- Discretionary RAUM · $131M to $133MJan 16, 2023 to Jan 8, 2024
- HNW RAUM · $160M to $175MJan 16, 2023 to Jan 8, 2024
- Individual RAUM · $96.3M to $103MJan 16, 2023 to Jan 8, 2024
- Non-discretionary RAUM · $126M to $145MJan 16, 2023 to Jan 8, 2024
- RAUM · $257M to $278MJan 16, 2023 to Jan 8, 2024
- Accounts · 719 to 664Jan 10, 2022 to Jan 16, 2023
- HNW clients · 28 to 24Jan 10, 2022 to Jan 16, 2023
- Individual clients · 342 to 336Jan 10, 2022 to Jan 16, 2023
- Assets in custody · $46.5M to $59.0MJan 10, 2022 to Jan 16, 2023
- Discretionary RAUM · $319M to $131MJan 10, 2022 to Jan 16, 2023
- HNW RAUM · $161M to $160MJan 10, 2022 to Jan 16, 2023
- Individual RAUM · $168M to $96.3MJan 10, 2022 to Jan 16, 2023
- Non-discretionary RAUM · $9.8M to $126MJan 10, 2022 to Jan 16, 2023
- RAUM · $329M to $257MJan 10, 2022 to Jan 16, 2023
- Accounts · 879 to 719Oct 11, 2021 to Jan 10, 2022
- HNW clients · 39 to 28Oct 11, 2021 to Jan 10, 2022
Signals
No event on the tape.
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
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jan 7, 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
- $176Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026