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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Former SEC-registered adviser
G••••• I••••••••• M••••••••• L••
Latest filing Feb 25, 2025
First filing on the tape Feb 17, 2012 · 30 filings
SEC status approved since May 11, 2000
RAUM
$1.4B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
98%
$1.3B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.4B as of Feb 25, 2025
Feb 17, 2012$431M then
HNW client RAUM$1.1B as of Feb 25, 2025
Feb 15, 2018$319M then
State-registered IARs (5.B.3)2 as of Feb 25, 2025
Mar 22, 20132 then
Employees (5.A)5 as of Feb 25, 2025
Mar 22, 20136 then
Private funds: no history
RAUM +23% over the last fiscal year+5.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 25, 2025; every figure names its basis
- RAUM per advisor
- $680MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 81derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $39.5MderivedHNW RAUM over HNW clients
- Average account
- $3.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.6%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$1.1B81%
- Individuals$229M17%
- Corporations and businesses$14.3M1.1%
- Pension and profit-sharing plans$5.8M0.4%
- Insurance companies$3.8M0.3%
- Charitable organizations$1.4M0.1%
- Individual clients
- 133reported
- HNW clients
- 28reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 408reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- H••••• K•••••• C•••••••• to C••••••• P•••••••Sep 11, 2025 · RIA to RIA
- P•••• E••••• G••••• to C••••••• P•••••••Sep 11, 2025 · RIA to RIA
- L••• A••• F•••••• to L••••• W••••• A•••••••• L••Jun 11, 2012 · Other
Joined, latest
- H••••• K•••••• C•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 14, 2024 · Wirehouse to independent RIA
- L••• A••• F•••••• from B••••Oct 7, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C••••••• P•••••••Sep 11, 2025 · Santa Clara, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• P••••• E••••• · Chief Compliance Officercontrolsince 04/2024 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Santa Clara, Ca · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 406 to 408Nov 20, 2024 to Feb 25, 2025
- HNW clients · 26 to 28Nov 20, 2024 to Feb 25, 2025
- Individual clients · 141 to 133Nov 20, 2024 to Feb 25, 2025
- Financial planning clients · unset to Nov 20, 2024 to Feb 25, 2025
- Discretionary RAUM · $1.1B to $1.3BNov 20, 2024 to Feb 25, 2025
- HNW RAUM · $867M to $1.1BNov 20, 2024 to Feb 25, 2025
- Individual RAUM · $212M to $229MNov 20, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $45.0M to $42.6MNov 20, 2024 to Feb 25, 2025
- Pension RAUM · $4.7M to $5.8MNov 20, 2024 to Feb 25, 2025
- RAUM · $1.1B to $1.4BNov 20, 2024 to Feb 25, 2025
- Accounts · 415 to 406Mar 2, 2023 to Feb 20, 2024
- Charity clients · unset to 1.0Mar 2, 2023 to Feb 20, 2024
- Corporate clients · 5 to 4Mar 2, 2023 to Feb 20, 2024
- HNW clients · 16 to 26Mar 2, 2023 to Feb 20, 2024
- Individual clients · 159 to 141Mar 2, 2023 to Feb 20, 2024
- Pension plan clients · unset to 2.0Mar 2, 2023 to Feb 20, 2024
- Financial planning clients · 0 to unsetMar 2, 2023 to Feb 20, 2024
- Discretionary RAUM · $869M to $1.1BMar 2, 2023 to Feb 20, 2024
- HNW RAUM · $221M to $867MMar 2, 2023 to Feb 20, 2024
- Individual RAUM · $234M to $212MMar 2, 2023 to Feb 20, 2024
- Non-discretionary RAUM · $58.6M to $45.0MMar 2, 2023 to Feb 20, 2024
- Pension RAUM · $3.6M to $4.7MMar 2, 2023 to Feb 20, 2024
- RAUM · $928M to $1.1BMar 2, 2023 to Feb 20, 2024
- Accounts · 413 to 415Mar 11, 2022 to Mar 2, 2023
- Individual clients · 153 to 159Mar 11, 2022 to Mar 2, 2023
- Pension plan clients · 5.0 to unsetMar 11, 2022 to Mar 2, 2023
- Discretionary RAUM · $1.1B to $869MMar 11, 2022 to Mar 2, 2023
- HNW RAUM · $261M to $221MMar 11, 2022 to Mar 2, 2023
- Individual RAUM · $308M to $234MMar 11, 2022 to Mar 2, 2023
- Non-discretionary RAUM · $84.0M to $58.6MMar 11, 2022 to Mar 2, 2023
- Pension RAUM · $13.1M to $3.6MMar 11, 2022 to Mar 2, 2023
- RAUM · $1.1B to $928MMar 11, 2022 to Mar 2, 2023
- Accounts · 410 to 413Aug 13, 2021 to Mar 11, 2022
- Charity clients · 1.0 to unsetAug 13, 2021 to Mar 11, 2022
- Corporate clients · 4 to 5Aug 13, 2021 to Mar 11, 2022
- HNW clients · 15 to 16Aug 13, 2021 to Mar 11, 2022
- Individual clients · 148 to 153Aug 13, 2021 to Mar 11, 2022
- Pooled vehicle clients · 0.0 to unsetAug 13, 2021 to Mar 11, 2022
- Financial planning clients · unset to 0Aug 13, 2021 to Mar 11, 2022
- Discretionary RAUM · $853M to $1.1BAug 13, 2021 to Mar 11, 2022
Signals
5 dated events
- G••••• I••••••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $1.4B)Dec 20, 2025 · Left the SEC roster · derived
- H••••• K•••••• C•••••••• left G••••• I••••••••• M••••••••• L•• for C••••••• P••••••• (registered 2025-08-29)Sep 11, 2025 · Advisor changed firm · fact
- P•••• E••••• G••••• left G••••• I••••••••• M••••••••• L•• for C••••••• P••••••• (registered 2025-08-29)Sep 11, 2025 · Advisor changed firm · fact
- 2 advisors left G••••• I••••••••• M••••••••• L•• (Santa Clara, CA) for C••••••• P••••••• on the same daySep 11, 2025 · Team lift-out · derived
- Ted Peter G••••• (Managing Member/Chief Compliance Officer) no longer on Schedule A of G••••• I••••••••• M••••••••• L•• (listed 2024-02-20, absent 2024-11-13)Nov 13, 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026