DFX Intelligence
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H••••••• G••••• S•••••••••
Independent wealth manager, based in Palo Alto, California, reporting $147M of regulatory assets across 1 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
- $147M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- -8.1%
- Private clients
- 100% of RAUM, $147M
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
- Contact points 4
Every filed figure, and the identifiersCRD 127059 · SEC 801-62751 · 18 filingsShowHide
CRD 127059SEC 801-62751Legal name G••••• W••••• S••••••••• L••First filing on the tape Mar 22, 2012, latest Apr 6, 2026SEC status approved since Feb 3, 2004IAPD
RAUM
$147M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$147M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$147M
derived; firm RAUM over IAPD count
Employees
1
1 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$147M as of Apr 6, 2026
Mar 22, 2012$106M then
HNW client RAUM$142M as of Apr 6, 2026
Mar 26, 2018$52.0M then
State-registered IARs (5.B.3)0 as of Apr 6, 2026
Mar 22, 20120 then
Employees (5.A)1 as of Apr 6, 2026
Mar 22, 20131 then
Private funds: no history
RAUM -8.1% over the last fiscal year+3.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 6, 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
- $147MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.7MderivedHNW RAUM over HNW clients
- Average account
- $4.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- 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
- High-net-worth individuals$142M97%
- Individuals$5.0M3.4%
- Individual clients
- 10reported
- HNW clients
- 25reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 35reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• L•••••••• H••••••• | Foster City, Ca | Dec 15, 2025 | 32 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
- H•••••••• R••••••• L•••••••• · President, Chief Compliance Officercontrolsince 05/2003 · owns 75% or more
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
- Discretionary RAUM · $160M to $147MMar 20, 2025 to Apr 6, 2026
- HNW RAUM · $155M to $142MMar 20, 2025 to Apr 6, 2026
- RAUM · $160M to $147MMar 20, 2025 to Apr 6, 2026
- Financial planning clients · 1-10 to 1-10Mar 27, 2024 to Mar 20, 2025
- Discretionary RAUM · $143M to $160MMar 27, 2024 to Mar 20, 2025
- HNW RAUM · $138M to $155MMar 27, 2024 to Mar 20, 2025
- RAUM · $143M to $160MMar 27, 2024 to Mar 20, 2025
- Discretionary RAUM · $132M to $143MMar 16, 2023 to Mar 27, 2024
- HNW RAUM · $127M to $138MMar 16, 2023 to Mar 27, 2024
- RAUM · $132M to $143MMar 16, 2023 to Mar 27, 2024
- Discretionary RAUM · $160M to $132MMar 22, 2022 to Mar 16, 2023
- HNW RAUM · $150M to $127MMar 22, 2022 to Mar 16, 2023
- Individual RAUM · $10.0M to $5.0MMar 22, 2022 to Mar 16, 2023
- RAUM · $160M to $132MMar 22, 2022 to Mar 16, 2023
- Accounts · 70 to 35Jun 24, 2020 to Mar 11, 2021
- Discretionary RAUM · $134M to $160MJun 24, 2020 to Mar 11, 2021
- HNW RAUM · $126M to $150MJun 24, 2020 to Mar 11, 2021
- Individual RAUM · $8.0M to $10.0MJun 24, 2020 to Mar 11, 2021
- RAUM · $134M to $160MJun 24, 2020 to Mar 11, 2021
- Discretionary RAUM · $115M to $134MMar 18, 2019 to Mar 20, 2020
- HNW RAUM · $107M to $126MMar 18, 2019 to Mar 20, 2020
- RAUM · $115M to $134MMar 18, 2019 to Mar 20, 2020
- Accounts · 80 to 70Mar 26, 2018 to Mar 18, 2019
- HNW clients · 15 to 25Mar 26, 2018 to Mar 18, 2019
- Individual clients · 20 to 10Mar 26, 2018 to Mar 18, 2019
- Discretionary RAUM · $122M to $115MMar 26, 2018 to Mar 18, 2019
- HNW RAUM · $52.0M to $107MMar 26, 2018 to Mar 18, 2019
- Individual RAUM · $70.0M to $8.0MMar 26, 2018 to Mar 18, 2019
- RAUM · $122M to $115MMar 26, 2018 to Mar 18, 2019
- HNW clients · unset to 15.0Mar 24, 2017 to Mar 26, 2018
- Individual clients · unset to 20.0Mar 24, 2017 to Mar 26, 2018
- Other offices · unset to 0.0Mar 24, 2017 to Mar 26, 2018
- Discretionary RAUM · $110M to $122MMar 24, 2017 to Mar 26, 2018
- HNW RAUM · unset to 52000000.0Mar 24, 2017 to Mar 26, 2018
- Individual RAUM · unset to 70000000.0Mar 24, 2017 to Mar 26, 2018
- RAUM · $110M to $122MMar 24, 2017 to Mar 26, 2018
- Discretionary RAUM · $126M to $110MMar 29, 2016 to Mar 24, 2017
- RAUM · $126M to $110MMar 29, 2016 to Mar 24, 2017
- Accounts · 90 to 80Mar 24, 2015 to Mar 29, 2016
- Discretionary RAUM · $130M to $126MMar 24, 2015 to Mar 29, 2016
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
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Apr 6, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Apr 6, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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
- $147Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026