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RIA Intelligence

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B•••••••• F••••••••• I•••

No RAUM reportedSEC-registered· San Ramon, Californiawebsite

No RAUM reported, based in San Ramon, California.

Composed from this adviser's Form ADV classification, location and filed figures.

Advisors
2
Net advisor flow, 12 months
0
0 joined, 0 left
See where advisers wentSee teams that moved
More
Advisors (2)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 130279 · SEC 801-108193 · 23 filingsShow
CRD 130279SEC 801-108193First filing on the tape Jul 21, 2016, latest Mar 23, 2026SEC status approved since Jul 25, 2016IAPD
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape

Filed figures over time · the tape starts Jul 21, 2016

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$0 as of Mar 23, 2026
Mar 6, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 23, 2026
Mar 2, 20172 then
Employees (5.A)2 as of Mar 23, 2026
Mar 2, 20172 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
$0derivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 office incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourly, fixed fees, otherreportedItem 5.E
Advisory activities
pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow
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
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, hourlyreported
Class basis
RAUM: 0% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
0 left over 36 months
0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      2 on IAPD today; the longest tenured first
      NameBranchHere sinceIn industryPrior firms
      G•••• L•••• R•••••••••Nov 7, 199741 y0
      N••••••• R••• Z••••San Ramon, CaAug 8, 200725 y0
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • R••••••••• G••••• L•••• · President & Chief Compliance Officercontrol
        since 12/1987 · 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
      • Accounts · unset to 0.0
        Oct 24, 2024 to Mar 6, 2025
      • Advisory employees · 3 to 2
        Oct 24, 2024 to Mar 6, 2025
      • Employees · 3 to 2
        Oct 24, 2024 to Mar 6, 2025
      • Financial planning clients · 0 to 0
        Oct 24, 2024 to Mar 6, 2025
      • State-registered IARs · 3 to 2
        Oct 24, 2024 to Mar 6, 2025
      Full history · 27 changes
      • Discretionary RAUM · unset to 0.0
        Oct 24, 2024 to Mar 6, 2025
      • Non-discretionary RAUM · unset to 0.0
        Oct 24, 2024 to Mar 6, 2025
      • RAUM · unset to 0.0
        Oct 24, 2024 to Mar 6, 2025
      • Corporate clients · 17.0 to unset
        Apr 1, 2024 to Oct 24, 2024
      • Pension plan clients · 21.0 to unset
        Apr 1, 2024 to Oct 24, 2024
      • Corporate clients · unset to 16.0
        Feb 22, 2024 to Apr 1, 2024
      • Pension plan clients · unset to 17.0
        Feb 22, 2024 to Apr 1, 2024
      • Corporate clients · 16 to 17
        Apr 1, 2024 to Apr 1, 2024
      • Pension plan clients · 17 to 21
        Apr 1, 2024 to Apr 1, 2024
      • HNW clients · 0.0 to unset
        Sep 4, 2019 to Mar 16, 2020
      • Individual clients · 0.0 to unset
        Sep 4, 2019 to Mar 16, 2020
      • Pooled vehicle clients · 0.0 to unset
        Sep 4, 2019 to Mar 16, 2020
      • Other offices · 1 to 0
        Sep 4, 2019 to Mar 16, 2020
      • HNW clients · unset to 0.0
        Sep 25, 2017 to Mar 27, 2018
      • Individual clients · unset to 0.0
        Sep 25, 2017 to Mar 27, 2018
      • Pooled vehicle clients · unset to 0.0
        Sep 25, 2017 to Mar 27, 2018
      • Insurance-licensed employees · 3 to 0
        Sep 25, 2017 to Mar 27, 2018
      • Other offices · unset to 1.0
        Sep 25, 2017 to Mar 27, 2018
      • Advisory employees · 2 to 3
        Mar 2, 2017 to Sep 25, 2017
      • Employees · 2 to 3
        Mar 2, 2017 to Sep 25, 2017
      • Insurance-licensed employees · 2 to 3
        Mar 2, 2017 to Sep 25, 2017
      • State-registered IARs · 2 to 3
        Mar 2, 2017 to Sep 25, 2017
      Signals
      3 dated events
      • ••• Locked
        Oct 3, 2022 · Control person left · inference
      • ••• Locked
        Jan 26, 2022 · Control person joined · fact
      • ••• Locked
        Jul 21, 2016 · First SEC registration · fact
      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 email
      ••• Lockedreportedpublished by the firm, firm site, Sep 24, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 23, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 23, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      No RAUM reportedderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: regulatory AUM, RAUM change, 1 year, private clients.