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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C•••••• T•••• A•••••••
Legal name G••••••• A•••••••• L••
Latest filing Apr 7, 2026
First filing on the tape Nov 14, 2011 · 33 filings
SEC status approved since Jul 13, 2021
RAUM
$403M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$403M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$134M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$403M as of Apr 7, 2026
Mar 22, 2022$291M then
HNW client RAUM$354M as of Apr 7, 2026
Mar 22, 2022$250M then
State-registered IARs (5.B.3)4 as of Apr 7, 2026
Mar 22, 20223 then
Employees (5.A)4 as of Apr 7, 2026
Mar 22, 20223 then
Private funds: 1
RAUM +13% over the last fiscal year+17% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Apr 7, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $134MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $783,268derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$354M88%
- Individuals$48.7M12%
- Individual clients
- 119reported
- HNW clients
- 112reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 514reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• J•••••• G•••••••Chartered Financial Analyst | Piedmont, Ca | Jun 14, 2017 | 27 y | 1 |
| S•••••• P••••• L•••••••• | Montgomery Street, Ca | Jun 14, 2017 | 34 y | 5 |
| J•••• J•••••• L••••••Certified Financial Planner | Gardnerville, Nv | Jan 21, 2026 | 34 y | 3 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- J•••• J•••••• L•••••• from L••••••• J• J••••••Jan 21, 2026 · Other
- S•••••• P••••• L•••••••• from A•••• C•••••• A•••••••• L••Jun 14, 2017 · Other
- J••• J•••••• G••••••• from N••••• C••••••• L••Jun 14, 2017 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G••••••• P•••••••• L•••no longer reported | Other Private Fund | $156,717 | 10 | Nov 17, 2011 |
Owners and control persons
Schedule A and B, latest filing
- G•••••••• J•••• J•••••• · Managing Member/Chief Compliance Officercontrolsince 01/2000 · owns 75% or more
- G•••••••• K••• P••••••• · Membersince 01/2000 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 587 to 514Dec 23, 2025 to Apr 7, 2026
- Advisory employees · 4 to 3Dec 23, 2025 to Apr 7, 2026
- HNW clients · 106 to 112Dec 23, 2025 to Apr 7, 2026
- Individual clients · 128 to 119Dec 23, 2025 to Apr 7, 2026
- State-registered IARs · 3 to 4Dec 23, 2025 to Apr 7, 2026
- Discretionary RAUM · $357M to $403MDec 23, 2025 to Apr 7, 2026
- HNW RAUM · $316M to $354MDec 23, 2025 to Apr 7, 2026
- Individual RAUM · $40.4M to $48.7MDec 23, 2025 to Apr 7, 2026
- RAUM · $357M to $403MDec 23, 2025 to Apr 7, 2026
- Accounts · 473 to 587Mar 30, 2024 to Mar 31, 2025
- Advisory employees · 3 to 4Mar 30, 2024 to Mar 31, 2025
- HNW clients · 87 to 106Mar 30, 2024 to Mar 31, 2025
- Individual clients · 47 to 128Mar 30, 2024 to Mar 31, 2025
- Financial planning clients · 51-100 to 101-250Mar 30, 2024 to Mar 31, 2025
- Discretionary RAUM · $330M to $357MMar 30, 2024 to Mar 31, 2025
- HNW RAUM · $289M to $316MMar 30, 2024 to Mar 31, 2025
- Individual RAUM · $41.3M to $40.4MMar 30, 2024 to Mar 31, 2025
- RAUM · $330M to $357MMar 30, 2024 to Mar 31, 2025
- Accounts · 464 to 473Jan 15, 2024 to Mar 30, 2024
- Advisory employees · 2 to 3Jan 15, 2024 to Mar 30, 2024
- HNW clients · 71 to 87Jan 15, 2024 to Mar 30, 2024
- Individual clients · 50 to 47Jan 15, 2024 to Mar 30, 2024
- Employees · 2 to 4Jan 15, 2024 to Mar 30, 2024
- State-registered IARs · 2 to 3Jan 15, 2024 to Mar 30, 2024
- Other offices · 1 to 2Jan 15, 2024 to Mar 30, 2024
- Discretionary RAUM · $252M to $330MJan 15, 2024 to Mar 30, 2024
- HNW RAUM · $221M to $289MJan 15, 2024 to Mar 30, 2024
- Individual RAUM · $30.3M to $41.3MJan 15, 2024 to Mar 30, 2024
- RAUM · $252M to $330MJan 15, 2024 to Mar 30, 2024
- Other offices · 2 to 1Apr 26, 2023 to Apr 26, 2023
- Accounts · 364 to 464Apr 12, 2023 to Apr 20, 2023
- Advisory employees · 3 to 2Apr 7, 2023 to Apr 11, 2023
- Employees · 3 to 2Apr 7, 2023 to Apr 11, 2023
- State-registered IARs · 3 to 2Apr 7, 2023 to Apr 11, 2023
- Other offices · 3 to 2Apr 7, 2023 to Apr 11, 2023
- Accounts · 524 to 364Sep 16, 2022 to Mar 31, 2023
- HNW clients · 66 to 71Sep 16, 2022 to Mar 31, 2023
- Individual clients · 44 to 50Sep 16, 2022 to Mar 31, 2023
- Pooled vehicle clients · 1.0 to unsetSep 16, 2022 to Mar 31, 2023
- Discretionary RAUM · $291M to $252MSep 16, 2022 to Mar 31, 2023
Signals
1 dated events
- C•••••• T•••• A••••••• filed its initial SEC registration (Form ADV)Mar 31, 2021 · 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
- h••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 415-399-9100reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (415) 399-9100reportedpublic record, Form ADV, Apr 7, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $134Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026