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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SEC-registered adviser
G•••••• B••••• L••
Latest filing Jul 24, 2026
First filing on the tape Nov 6, 2019 · 19 filings
SEC status approved since Dec 10, 2019
RAUM
$356M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$348M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$88.9M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$356M as of Jul 24, 2026
Mar 12, 2020$124M then
HNW client RAUM$313M as of Jul 24, 2026
Mar 12, 2020$87.9M then
State-registered IARs (5.B.3)5 as of Jul 24, 2026
Mar 12, 20202 then
Employees (5.A)9 as of Jul 24, 2026
Mar 12, 20204 then
Private funds: no history
RAUM +31% over the last fiscal year+24% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Jul 24, 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
- $88.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $509,335derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$313M88%
- Individuals$35.4M10.0%
- Charitable organizations$3.9M1.1%
- Pension and profit-sharing plans$3.5M1.0%
- Individual clients
- 77reported
- HNW clients
- 94reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 698reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• B••••Certified Financial Planner | Redwood City, Ca | Jun 8, 2005 | 24 y | 0 |
| T••••••• F•••••••• P••••••••Certified Financial Planner | Redwood City, Ca | Jun 26, 2020 | 10 y | 1 |
| S••••••••• P•••••••••Certified Financial Planner | Redwood City, Ca | Sep 5, 2025 | 17 y | 2 |
| K••• S•••• | Redwood City, Ca | Feb 10, 2026 | 13 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount3 left over 36 months
Left, latest
- J•• H•• to T••••••••• W••••• A•••••••Oct 21, 2025 · RIA to a state-registered adviser
- H•••• S••••• R••• to P•••••••• W••••• M•••••••••Feb 5, 2025 · Other
- T•••••• W•••••• C••••••• to Y•••• B••• I•••Feb 20, 2024 · RIA to RIA
- S•••••• N••••• S•••• to P••••••• A•••••••• L••Mar 7, 2023 · RIA to RIA
- A•••• S•••• to A•••• P•••••••• L••Oct 31, 2019 · RIA to RIA
- J••••• C•••••• K•• to A•••••••• W••••• P•••••••• L••Apr 10, 2018 · Other
Joined, latest
- S••••••••• P••••••••• from J••• M••••• S••••••••• L••Sep 5, 2025 · Wirehouse to independent RIA
- H•••• S••••• R••• from S•••••• V••••• C•••••• P•••••••• L•••Aug 23, 2024 · RIA to RIA
- S•••••• N••••• S•••• from D•• I••••••••• C•••••• L••Mar 30, 2022 · RIA to RIA
- T••••••• F•••••••• P•••••••• from I••••• B• D••••• L••Jun 26, 2020 · Other
- A•••• S•••• from W••••• B•••••• C•••••• M••••••••• I••Apr 24, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J••• · Presidentcontrolsince 12/2001 · owns less than 5%
- G•••••• M••••• M•••• · Chief Compliance Officercontrolsince 01/2024 · owns less than 5%
- B••••• J••• · Trusteecontrolsince 03/1997 · owns 50% to 75% of C•••••• B•••• F••••• R•••••••• T••••
- C••••••• R•••••• G•••••• · Trusteecontrolsince 03/1997 · owns 50% to 75% of C•••••• B•••• F••••• R•••••••• T••••
Entity owners
- G•••••• B•••• H•••••••• I••• · Managing Memberdirect · owns 75% or more
- C•••••• B•••• F••••• R•••••••• T•••• · Ownerindirect · owns 75% or more of G•••••• B•••• H•••••••• I•••
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Redwood City, Ca · principal | 4 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 644 to 698Nov 5, 2025 to Mar 26, 2026
- Advisory employees · 4 to 5Nov 5, 2025 to Mar 26, 2026
- HNW clients · 84 to 94Nov 5, 2025 to Mar 26, 2026
- Individual clients · 79 to 77Nov 5, 2025 to Mar 26, 2026
- Pension plan clients · 5.0 to unsetNov 5, 2025 to Mar 26, 2026
- State-registered IARs · 4 to 5Nov 5, 2025 to Mar 26, 2026
- Discretionary RAUM · $271M to $356MNov 5, 2025 to Mar 26, 2026
- HNW RAUM · $232M to $313MNov 5, 2025 to Mar 26, 2026
- Individual RAUM · $32.8M to $35.4MNov 5, 2025 to Mar 26, 2026
- Pension RAUM · $2.9M to $3.5MNov 5, 2025 to Mar 26, 2026
- RAUM · $271M to $356MNov 5, 2025 to Mar 26, 2026
- Accounts · 613 to 644Oct 16, 2024 to Mar 27, 2025
- Advisory employees · 3 to 4Oct 16, 2024 to Mar 27, 2025
- HNW clients · 75 to 84Oct 16, 2024 to Mar 27, 2025
- Individual clients · 84 to 79Oct 16, 2024 to Mar 27, 2025
- Employees · 8 to 9Oct 16, 2024 to Mar 27, 2025
- Financial planning clients · 101-250 to 101-250Oct 16, 2024 to Mar 27, 2025
- State-registered IARs · 3 to 4Oct 16, 2024 to Mar 27, 2025
- Discretionary RAUM · $220M to $271MOct 16, 2024 to Mar 27, 2025
- HNW RAUM · $180M to $232MOct 16, 2024 to Mar 27, 2025
- Individual RAUM · $32.9M to $32.8MOct 16, 2024 to Mar 27, 2025
- Pension RAUM · $3.7M to $2.9MOct 16, 2024 to Mar 27, 2025
- RAUM · $220M to $271MOct 16, 2024 to Mar 27, 2025
- Business name · G•••••• B••••• I••• to G•••••• B••••• L••Oct 11, 2024 to Oct 16, 2024
- Legal name · G•••••• B••••• I••• to G•••••• B••••• L••Oct 11, 2024 to Oct 16, 2024
- Organization form · Corporation to Limited Liability CompanyMar 27, 2024 to Oct 11, 2024
- Accounts · 582 to 613Mar 27, 2023 to Mar 26, 2024
- Advisory employees · 4 to 3Mar 27, 2023 to Mar 26, 2024
- HNW clients · 70 to 75Mar 27, 2023 to Mar 26, 2024
- Individual clients · 91 to 84Mar 27, 2023 to Mar 26, 2024
- Pension plan clients · 6 to 5Mar 27, 2023 to Mar 26, 2024
- Employees · 7 to 8Mar 27, 2023 to Mar 26, 2024
- State-registered IARs · 4 to 3Mar 27, 2023 to Mar 26, 2024
- Other offices · 1 to 2Mar 27, 2023 to Mar 26, 2024
- Discretionary RAUM · $187M to $220MMar 27, 2023 to Mar 26, 2024
- HNW RAUM · $151M to $180MMar 27, 2023 to Mar 26, 2024
- Individual RAUM · $31.0M to $32.9MMar 27, 2023 to Mar 26, 2024
- Pension RAUM · $1.5M to $3.7MMar 27, 2023 to Mar 26, 2024
- RAUM · $187M to $220MMar 27, 2023 to Mar 26, 2024
- Accounts · 526 to 582Oct 12, 2022 to Mar 25, 2023
Signals
6 dated events
- J•• H•• left G•••••• B••••• L•• for T••••••••• W••••• A••••••• (registered 2026-01-22)Oct 21, 2025 · Advisor changed firm · fact
- H•••• S••••• R••• left G•••••• B••••• L•• for P•••••••• W••••• M••••••••• (registered 2025-08-15)Feb 5, 2025 · Advisor changed firm · fact
- Marie Manju George (Chief Compliance Officer) appeared on Schedule A of G•••••• B••••• L••Mar 26, 2024 · Control person joined · fact
- T•••••• W•••••• C••••••• left G•••••• B••••• L•• for Y•••• B••• I••• (registered 2024-12-17)Feb 20, 2024 · Advisor changed firm · fact
- S•••••• N••••• S•••• left G•••••• B••••• L•• for P••••••• A•••••••• L•• (registered 2025-01-01)Mar 7, 2023 · Advisor changed firm · fact
- G•••••• B••••• I••• filed its initial SEC registration (Form ADV)Nov 6, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- G•••••• B••••• I••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 650-368-5785reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 650-989-6766reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- G••••••B••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (650) 368-5785reportedpublic record, Form ADV, Jul 24, 2026
- Contact form
- griffinblack.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- griffinblack.com/meet-the-teamreportedpublished 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
- $88.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026