DFX Intelligence
RIA Intelligence
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SEC-registered adviser
G•••••• L••••••••• I•••
Latest filing Apr 29, 2026
First filing on the tape Jun 27, 2013 · 28 filings
SEC status approved since Jul 10, 2013
RAUM
$361M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
93%
$334M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$120M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$361M as of Apr 29, 2026
Jan 10, 2014$143M then
HNW client RAUM$219M as of Apr 29, 2026
Mar 23, 2018$109M then
State-registered IARs (5.B.3)3 as of Apr 29, 2026
Jan 10, 20143 then
Employees (5.A)5 as of Apr 29, 2026
Jan 10, 20143 then
Private funds: no history
RAUM +12% over the last fiscal year+13% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 29, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $120MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 127derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $479,432derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $17.5MreportedItem 5.I
- 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$219M65%
- Individuals$114M34%
- Pension and profit-sharing plans$2.2M0.7%
- Individual clients
- 296reported
- HNW clients
- 84reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 752reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• A•••••• M••••• | Long Beach, Ca | Feb 10, 2022 | 19 y | 1 |
| G•••• R••••• G•••••• | Long Beach, Ca | Feb 10, 2022 | 33 y | 1 |
| B•••••• R••••• L••••••••Certified Financial Planner | Long Beach, Ca | Feb 10, 2022 | 32 y | 1 |
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• G••••• R••••• · President & Chief Compliance Officercontrolsince 02/1994 · owns 50% to 75%
- L••••••••• B••••••• R••••• · Vice Presidentcontrolsince 02/1994 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Long Beach, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 743 to 752Mar 18, 2025 to Mar 17, 2026
- Individual clients · 298 to 296Mar 18, 2025 to Mar 17, 2026
- Pension plan clients · 13 to 2Mar 18, 2025 to Mar 17, 2026
- Discretionary RAUM · $296M to $336MMar 18, 2025 to Mar 17, 2026
- HNW RAUM · $199M to $219MMar 18, 2025 to Mar 17, 2026
- Individual RAUM · $95.2M to $114MMar 18, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $24.9M to $24.5MMar 18, 2025 to Mar 17, 2026
- Pension RAUM · $26.8M to $2.2MMar 18, 2025 to Mar 17, 2026
- RAUM · $321M to $361MMar 18, 2025 to Mar 17, 2026
- Wrap assets (manager) · $16.3M to $0Mar 18, 2025 to Mar 17, 2026
- Wrap assets (sponsor) · $16.3M to $0Mar 18, 2025 to Mar 17, 2026
- Accounts · 412 to 743Mar 29, 2024 to Mar 18, 2025
- Individual clients · 315 to 298Mar 29, 2024 to Mar 18, 2025
- Financial planning clients · 1-10 to 1-10Mar 29, 2024 to Mar 18, 2025
- Discretionary RAUM · $273M to $296MMar 29, 2024 to Mar 18, 2025
- HNW RAUM · $188M to $199MMar 29, 2024 to Mar 18, 2025
- Individual RAUM · $83.9M to $95.2MMar 29, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $25.2M to $24.9MMar 29, 2024 to Mar 18, 2025
- Pension RAUM · $26.8M to $26.8MMar 29, 2024 to Mar 18, 2025
- RAUM · $298M to $321MMar 29, 2024 to Mar 18, 2025
- Wrap assets (manager) · $15.4M to $16.3MMar 29, 2024 to Mar 18, 2025
- Wrap assets (sponsor) · $15.4M to $16.3MMar 29, 2024 to Mar 18, 2025
- Accounts · 385 to 412Mar 28, 2023 to Mar 28, 2024
- HNW clients · 64 to 84Mar 28, 2023 to Mar 28, 2024
- Individual clients · 307 to 315Mar 28, 2023 to Mar 28, 2024
- Pension plan clients · 3 to 13Mar 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $229M to $273MMar 28, 2023 to Mar 28, 2024
- HNW RAUM · $135M to $188MMar 28, 2023 to Mar 28, 2024
- Individual RAUM · $91.7M to $83.9MMar 28, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $21.7M to $25.2MMar 28, 2023 to Mar 28, 2024
- Pension RAUM · $1.8M to $26.8MMar 28, 2023 to Mar 28, 2024
- RAUM · $251M to $298MMar 28, 2023 to Mar 28, 2024
- Accounts · 700 to 385Sep 20, 2022 to Mar 28, 2023
- Charity clients · 1.0 to unsetSep 20, 2022 to Mar 28, 2023
- Corporate clients · 1.0 to unsetSep 20, 2022 to Mar 28, 2023
- HNW clients · 183 to 64Sep 20, 2022 to Mar 28, 2023
- Individual clients · 235 to 307Sep 20, 2022 to Mar 28, 2023
- Pension plan clients · 22 to 3Sep 20, 2022 to Mar 28, 2023
- Discretionary RAUM · $242M to $229MSep 20, 2022 to Mar 28, 2023
- HNW RAUM · $174M to $135MSep 20, 2022 to Mar 28, 2023
Signals
1 dated events
- G•••••• L••••••••• I••• filed its initial SEC registration (Form ADV)Jun 27, 2013 · 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 15, 2026
- Business email
- b•••@g•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- c••••@g•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- m••••••@g•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 562-432-0234reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 562-432-0221reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- g•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 562-432-0234reportedpublic record, Form ADV, Apr 29, 2026
- Contact form
- g•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- g•••••••••.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
- $120Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026