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••••••• F•••••••• M•••••••••

Former SEC-registered adviserBenicia, CaliforniaCRD 128566SEC 801-62980IAPD
Legal name G•••••••• L••••••• I•
Latest filing Feb 13, 2014
First filing on the tape Apr 11, 2012 · 6 filings
RAUM
$69.6M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$69.6M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$95.2M as of Mar 20, 2013
Apr 11, 2012$92.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 20, 2013
Apr 11, 20120 then
Employees (5.A): 4
Private funds: no history
RAUM -25% over the last fiscal yearIARs 0 to 1
Practice profile
derived from the filing of Feb 13, 2014; every figure names its basis
RAUM per advisor
$69.6MderivedRAUM 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
$915,789derivedRAUM over accounts (5.F.2.f)
Discretionary
98%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
+2.9%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
76reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
L••••••• I• G•••••••Certified Financial PlannerConcord, Ca Oct 16, 201434 y1
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G•••••••• L•••••••• I• · Owner, Chief Compliance Officercontrol
      since 10/1997 · 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
    • Employees · 2 to 1
      Dec 19, 2013 to Jan 10, 2014
    • Employees · 4 to 2
      Nov 5, 2013 to Dec 19, 2013
    • Accounts · 526 to 76
      Mar 20, 2013 to Nov 5, 2013
    • Advisory employees · 2 to 1
      Mar 20, 2013 to Nov 5, 2013
    • State-registered IARs · 2 to 1
      Mar 20, 2013 to Nov 5, 2013
    • Discretionary RAUM · $93.6M to $68.0M
      Mar 20, 2013 to Nov 5, 2013
    • Non-discretionary RAUM · $1.6M to $1.6M
      Mar 20, 2013 to Nov 5, 2013
    • RAUM · $95.2M to $69.6M
      Mar 20, 2013 to Nov 5, 2013
    • Accounts · 455 to 526
      Apr 11, 2012 to Mar 20, 2013
    • Advisory employees · unset to 2.0
      Apr 11, 2012 to Mar 20, 2013
    • Employees · unset to 4.0
      Apr 11, 2012 to Mar 20, 2013
    • Financial planning clients · 1-10 to 26-50
      Apr 11, 2012 to Mar 20, 2013
    • State-registered IARs · 0 to 2
      Apr 11, 2012 to Mar 20, 2013
    • Discretionary RAUM · $91.0M to $93.6M
      Apr 11, 2012 to Mar 20, 2013
    • Non-discretionary RAUM · $1.5M to $1.6M
      Apr 11, 2012 to Mar 20, 2013
    • RAUM · $92.5M to $95.2M
      Apr 11, 2012 to Mar 20, 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.
    How to reach
    public business contact points only, each with its source
    Website
    G•••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $69.6Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026