DFX Intelligence

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SEC-registered adviser

I••••••• I••••••••• T••••••••• L••

Asset manager (funds and pooled vehicles)Mountain View, CaliforniaCRD 112328SEC 801-57817website IAPD

Latest filing Mar 31, 2026

First filing on the tape Mar 21, 2012 · 18 filings

SEC status approved since Jul 31, 2000

RAUM

$495M

reported, Item 5.F

Discretionary

3.3%

of RAUM

Private clients

3.3%

$16.4M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$495M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

18 filings and snapshots on the tape

RAUM$495M as of Mar 31, 2026

Mar 21, 2012$396M then

HNW client RAUM$16.4M as of Mar 31, 2026

Mar 16, 2022$7.5M then

State-registered IARs (5.B.3)1 as of Mar 31, 2026

Mar 21, 20120 then

Employees (5.A)2 as of Mar 31, 2026

Mar 26, 20131 then

Private funds: no history

RAUM -7.5% over the last fiscal year-15% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 31, 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: $495MderivedRAUM 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: $19.8MderivedRAUM over accounts (5.F.2.f)
Discretionary: 3.3%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -7.5%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, fixed feesreportedItem 5.E
Advisory activities: portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Investment companies$472M95%
High-net-worth individuals$16.4M3.3%
Banks and thrifts$6.3M1.3%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 25reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: private_client_share=0.03 fund_share=0.95 institutional_share=0.0 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
G••• N•• I•••••••	Mountain View, Ca	Apr 1, 2002	33 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

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B••••• J••• G•••••• L•••••• · Trusteecontrol
since 11/2008 · owns 75% or more
I•••••••• G•••• N•• · Managing Member/Chief Compliance Officercontrol
since 04/1998 · owns 50% to 75%
R••••• G••••••• A•••••• · Shareholdercontrol
since 03/1998 · owns 75% or more of F••••••• V••••••• L••
R••••• G••••••• A•••••• · Shareholder
since 02/2005 · owns 5% to 10%

Entity owners

F••••••• V••••••• L•• · Shareholder
direct · owns less than 5%
T•• B•••• R•••••••• T•••• · Shareholder
direct · owns 10% to 25%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Employees · 1 to 2
Mar 30, 2025 to Mar 31, 2026
Discretionary RAUM · $16.6M to $16.4M
Mar 30, 2025 to Mar 31, 2026
HNW RAUM · $16.6M to $16.4M
Mar 30, 2025 to Mar 31, 2026
Non-discretionary RAUM · $518M to $478M
Mar 30, 2025 to Mar 31, 2026
RAUM · $535M to $495M
Mar 30, 2025 to Mar 31, 2026
Accounts · 29 to 25
Sep 17, 2024 to Mar 30, 2025
Financial planning clients · unset to
Sep 17, 2024 to Mar 30, 2025
Discretionary RAUM · $11.9M to $16.6M
Sep 17, 2024 to Mar 30, 2025
HNW RAUM · $11.9M to $16.6M
Sep 17, 2024 to Mar 30, 2025
Non-discretionary RAUM · $589M to $518M
Sep 17, 2024 to Mar 30, 2025
RAUM · $601M to $535M
Sep 17, 2024 to Mar 30, 2025
Accounts · 42 to 29
Mar 31, 2023 to Mar 30, 2024
Discretionary RAUM · $6.8M to $11.9M
Mar 31, 2023 to Mar 30, 2024
HNW RAUM · $5.2M to $11.9M
Mar 31, 2023 to Mar 30, 2024
Non-discretionary RAUM · $786M to $589M
Mar 31, 2023 to Mar 30, 2024
Pension RAUM · 1564336.0 to unset
Mar 31, 2023 to Mar 30, 2024
RAUM · $793M to $601M
Mar 31, 2023 to Mar 30, 2024
Accounts · 52 to 42
Apr 23, 2022 to Mar 31, 2023
Discretionary RAUM · $9.6M to $6.8M
Apr 23, 2022 to Mar 31, 2023
HNW RAUM · $7.5M to $5.2M
Apr 23, 2022 to Mar 31, 2023
Non-discretionary RAUM · $1.1B to $786M
Apr 23, 2022 to Mar 31, 2023
Pension RAUM · $2.1M to $1.6M
Apr 23, 2022 to Mar 31, 2023
RAUM · $1.1B to $793M
Apr 23, 2022 to Mar 31, 2023
Accounts · 55 to 52
Apr 8, 2021 to Mar 16, 2022
Discretionary RAUM · $1.3M to $9.6M
Apr 8, 2021 to Mar 16, 2022
HNW RAUM · unset to 7481363.0
Apr 8, 2021 to Mar 16, 2022
Non-discretionary RAUM · $1.1B to $1.1B
Apr 8, 2021 to Mar 16, 2022
Pension RAUM · $1.3M to $2.1M
Apr 8, 2021 to Mar 16, 2022
RAUM · $1.1B to $1.1B
Apr 8, 2021 to Mar 16, 2022
Related adviser · true to false
Apr 8, 2021 to Mar 16, 2022
Accounts · 64 to 55
Mar 28, 2020 to Mar 31, 2021
Employees · 2 to 1
Mar 28, 2020 to Mar 31, 2021
Discretionary RAUM · $928,108 to $1.3M
Mar 28, 2020 to Mar 31, 2021
Non-discretionary RAUM · $985M to $1.1B
Mar 28, 2020 to Mar 31, 2021
Pension RAUM · $928,108 to $1.3M
Mar 28, 2020 to Mar 31, 2021
RAUM · $986M to $1.1B
Mar 28, 2020 to Mar 31, 2021
Accounts · 53 to 64
Mar 30, 2019 to Mar 28, 2020
Discretionary RAUM · $430,273 to $928,108
Mar 30, 2019 to Mar 28, 2020
Non-discretionary RAUM · $868M to $985M
Mar 30, 2019 to Mar 28, 2020
Pension RAUM · $430,273 to $928,108
Mar 30, 2019 to Mar 28, 2020

Signals

1 dated events

I••••••• I••••••••• T••••••••• L•• reported RAUM $792.6M, down 26% from $1.1B (2022-04-23 to 2023-03-31)
Mar 31, 2023 · RAUM change · derived

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

Website: I•••••••.COMreportedpublic record, Form ADV, Mar 31, 2026
Principal office phone: 650-961-5176reportedpublic record, Form ADV, Mar 31, 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: Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
RAUM per advisor: $495Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026