DFX Intelligence

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SEC-registered adviser

G••••• G••• P••••••• F•••••••• P•••••••

Independent wealth managerSan Francisco, CaliforniaCRD 132264SEC 801-123546website IAPD

Latest filing Feb 11, 2026

First filing on the tape Feb 25, 2022 · 6 filings

SEC status approved since Mar 28, 2022

RAUM

$196M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$196M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$196M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

6 filings and snapshots on the tape

RAUM$196M as of Feb 11, 2026

Feb 6, 2023$107M then

HNW client RAUM$193M as of Feb 11, 2026

Feb 6, 2023$81.2M then

State-registered IARs (5.B.3)1 as of Feb 11, 2026

Feb 6, 20231 then

Employees (5.A)1 as of Feb 11, 2026

Feb 6, 20231 then

Private funds: no history

RAUM +22% over the last fiscal year+22% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Feb 11, 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: $196MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $5.8MderivedHNW RAUM over HNW clients
Average account: $1.1MderivedRAUM 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: +22%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: 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

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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$193M98%
Individuals$3.2M1.6%

Individual clients: n/areported
HNW clients: 33reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 175reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: fixedreported
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
S••• L••• E•••••••Certified Financial Planner	San Francisco, Ca	Jan 1, 2026	22 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

E•••••••• S•••• L••• · Principal, Chief Compliance Officercontrol
since 06/2004 · 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 · 176 to 175
Jan 20, 2025 to Feb 11, 2026
HNW clients · 32 to 33
Jan 20, 2025 to Feb 11, 2026
Individual clients · 5.0 to unset
Jan 20, 2025 to Feb 11, 2026
Financial planning clients · 26-50 to 1-10
Jan 20, 2025 to Feb 11, 2026
Discretionary RAUM · $161M to $196M
Jan 20, 2025 to Feb 11, 2026
HNW RAUM · $157M to $193M
Jan 20, 2025 to Feb 11, 2026
Individual RAUM · $3.8M to $3.2M
Jan 20, 2025 to Feb 11, 2026
RAUM · $161M to $196M
Jan 20, 2025 to Feb 11, 2026
Accounts · 156 to 176
Jan 28, 2024 to Jan 20, 2025
HNW clients · 31 to 32
Jan 28, 2024 to Jan 20, 2025
Individual clients · unset to 5.0
Jan 28, 2024 to Jan 20, 2025
Financial planning clients · 26-50 to 26-50
Jan 28, 2024 to Jan 20, 2025
Discretionary RAUM · $139M to $161M
Jan 28, 2024 to Jan 20, 2025
HNW RAUM · $135M to $157M
Jan 28, 2024 to Jan 20, 2025
Individual RAUM · $3.5M to $3.8M
Jan 28, 2024 to Jan 20, 2025
RAUM · $139M to $161M
Jan 28, 2024 to Jan 20, 2025
Accounts · 146 to 156
Feb 6, 2023 to Jan 28, 2024
HNW clients · 16 to 31
Feb 6, 2023 to Jan 28, 2024
Individual clients · 17.0 to unset
Feb 6, 2023 to Jan 28, 2024
Discretionary RAUM · $107M to $139M
Feb 6, 2023 to Jan 28, 2024
HNW RAUM · $81.2M to $135M
Feb 6, 2023 to Jan 28, 2024
Individual RAUM · $26.3M to $3.5M
Feb 6, 2023 to Jan 28, 2024
RAUM · $107M to $139M
Feb 6, 2023 to Jan 28, 2024
Accounts · 159 to 146
Feb 25, 2022 to Feb 6, 2023
HNW clients · 31 to 16
Feb 25, 2022 to Feb 6, 2023
Individual clients · 4 to 17
Feb 25, 2022 to Feb 6, 2023
Discretionary RAUM · $115M to $107M
Feb 25, 2022 to Feb 6, 2023
HNW RAUM · $111M to $81.2M
Feb 25, 2022 to Feb 6, 2023
Individual RAUM · $4.4M to $26.3M
Feb 25, 2022 to Feb 6, 2023
RAUM · $115M to $107M
Feb 25, 2022 to Feb 6, 2023

Signals

1 dated events

G••••• G••• P••••••• F•••••••• P••••••• filed its initial SEC registration (Form ADV)
Feb 25, 2022 · 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: i•••@g••••.comreportedpublished by the firm, firm site, Sep 17, 2026
Business phone: 415-344-0549reportedpublished by the firm, firm site, Sep 17, 2026
Website: w••.g••••.comreportedpublic record, Form ADV, Feb 11, 2026
Principal office phone: 415-344-0549reportedpublic record, Form ADV, Feb 11, 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: $196Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026