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

T•• G••••••• G••••• L••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 112143SEC 801-56353IAPD
Latest filing Mar 10, 2016
First filing on the tape Mar 7, 2012 · 12 filings
RAUM
$339M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$339M as of Mar 3, 2016
Mar 7, 2012$262M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 3, 2016
Mar 7, 20120 then
Employees (5.A)10 as of Mar 3, 2016
Mar 25, 201310 then
Private funds: no history
RAUM -0.4% over the last fiscal year+6.0% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 10, 2016; every figure names its basis
RAUM per advisor
$84.6MderivedRAUM 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
$831,902derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-0.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
Custody
$454,000, 3 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
407reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$454,000 for 3 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • G•••••••• M••••••• V•••••• · Managing Member & Chief Compliance Officercontrol
    since 12/1997 · owns 75% or more
Related persons
Schedule D 7.A
  • M•••••• V• G•••••••• C••
    insurancey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 370 to 407
    Feb 12, 2015 to Mar 3, 2016
  • Assets in custody · $340,000 to $454,000
    Feb 12, 2015 to Mar 3, 2016
  • Discretionary RAUM · $340M to $339M
    Feb 12, 2015 to Mar 3, 2016
  • RAUM · $340M to $339M
    Feb 12, 2015 to Mar 3, 2016
  • Accounts · 348 to 370
    Dec 8, 2014 to Feb 9, 2015
  • Discretionary RAUM · $315M to $340M
    Dec 8, 2014 to Feb 9, 2015
  • RAUM · $315M to $340M
    Dec 8, 2014 to Feb 9, 2015
  • Accounts · 346 to 348
    Mar 25, 2013 to Feb 12, 2014
  • Assets in custody · unset to 340000.0
    Mar 25, 2013 to Feb 12, 2014
  • Custody of client assets · false to true
    Mar 25, 2013 to Feb 12, 2014
  • State-registered IARs · 3 to 4
    Mar 25, 2013 to Feb 12, 2014
  • Discretionary RAUM · $284M to $315M
    Mar 25, 2013 to Feb 12, 2014
  • RAUM · $284M to $315M
    Mar 25, 2013 to Feb 12, 2014
  • Accounts · 310 to 346
    Jan 14, 2013 to Mar 25, 2013
  • Discretionary RAUM · $262M to $284M
    Jan 14, 2013 to Mar 25, 2013
  • RAUM · $262M to $284M
    Jan 14, 2013 to Mar 25, 2013
  • Advisory employees · unset to 6.0
    Sep 7, 2012 to Jan 14, 2013
  • Employees · unset to 10.0
    Sep 7, 2012 to Jan 14, 2013
  • State-registered IARs · 0 to 3
    Sep 7, 2012 to Jan 14, 2013
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.
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