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

S•••••••• C•••••• G•••• L•••••

Former SEC-registered adviserGig Harbor, WashingtonCRD 133381SEC 801-63673IAPD
Latest filing Oct 16, 2014
First filing on the tape Mar 29, 2012 · 13 filings
RAUM
$482M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$482M as of Apr 1, 2014
Mar 29, 2012$536M then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Apr 1, 2014
Apr 1, 201312 then
Employees (5.A)11 as of Apr 1, 2014
Apr 1, 201317 then
Private funds: no history
RAUM -5.6% over the last fiscal yearIARs 12 to 7
Practice profile
derived from the filing of Oct 16, 2014; every figure names its basis
RAUM per advisor
$68.9MderivedRAUM 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
$337,522derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
2.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
-5.6%derivedbetween the last two annual amendments
Advisor growth, one year
-42%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 individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
Custody
$106,149, 1 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
1,428reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$106,149 for 1 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • P••••• N•••••• G••• · Managing Member / Chief Executive Officercontrol
    since 11/2004 · owns 50% to 75%
  • R••••••••• R•••••• J•• · Member / Presidentcontrol
    since 11/2004 · owns 50% to 75%
  • L•••••• B••••••• T••••• · Chief Compliance Officer
    since 09/2012 · owns less than 5%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Aliso Viejo, CA
  • Woodside, CA
What changed
consecutive filings, newest first
  • Accounts · 1,663 to 1,428
    Jan 23, 2014 to Apr 1, 2014
  • Advisory employees · 14 to 9
    Jan 23, 2014 to Apr 1, 2014
  • BD registered reps · 9 to 6
    Jan 23, 2014 to Apr 1, 2014
  • Assets in custody · $300 to $106,149
    Jan 23, 2014 to Apr 1, 2014
  • Employees · 17 to 11
    Jan 23, 2014 to Apr 1, 2014
  • Insurance-licensed employees · 0 to 1
    Jan 23, 2014 to Apr 1, 2014
  • State-registered IARs · 12 to 7
    Jan 23, 2014 to Apr 1, 2014
  • Discretionary RAUM · $510M to $482M
    Jan 23, 2014 to Apr 1, 2014
  • RAUM · $510M to $482M
    Jan 23, 2014 to Apr 1, 2014
  • Assets in custody · $0 to $300
    Apr 1, 2013 to Apr 8, 2013
  • Custody of client assets · false to true
    Apr 1, 2013 to Apr 8, 2013
  • Accounts · 1,772 to 1,663
    Sep 27, 2012 to Apr 1, 2013
  • Advisory employees · unset to 14.0
    Sep 27, 2012 to Apr 1, 2013
  • BD registered reps · unset to 9.0
    Sep 27, 2012 to Apr 1, 2013
  • Assets in custody · unset to 0.0
    Sep 27, 2012 to Apr 1, 2013
  • Employees · unset to 17.0
    Sep 27, 2012 to Apr 1, 2013
  • State-registered IARs · unset to 12.0
    Sep 27, 2012 to Apr 1, 2013
  • Discretionary RAUM · $536M to $510M
    Sep 27, 2012 to Apr 1, 2013
  • RAUM · $536M to $510M
    Sep 27, 2012 to Apr 1, 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.
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
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026