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.

Former SEC-registered adviser

Gps Capital Management, LLC

Former SEC-registered adviserBurlingame, CaliforniaCRD 136330SEC 801-64685IAPD
Latest filing Jul 13, 2020
First filing on the tape Mar 13, 2012 · 25 filings
RAUM
$68.8M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$68.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$68.8M as of May 14, 2020
Mar 13, 2012$192M then
HNW client RAUM$32.0M as of May 14, 2020
Mar 28, 2018$102M then
State-registered IARs (5.B.3)1 as of May 14, 2020
Jan 24, 20130 then
Employees (5.A)2 as of May 14, 2020
Jan 24, 20132 then
Private funds: no history
RAUM -43% over the last fiscal year-22% a year over threeIARs 3 to 1
Practice profile
derived from the filing of Jul 13, 2020; every figure names its basis
RAUM per advisor
$68.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
269derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$257,528derivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-43%derivedbetween the last two annual amendments
Advisor growth, one year
-67%derivedItem 5.B.3 between annual amendments
Client growth, one year
+35%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 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
  • Individuals$36.8M54%
  • High-net-worth individuals$32.0M46%
Individual clients
247reported
HNW clients
22reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
267reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Daniel Wu · Managing Member, Cio & Chief Compliance Officercontrol
    since 09/2005 · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory activities · 1 to 2
    Jun 18, 2020 to Jul 13, 2020
  • Related bank · false to true
    May 14, 2020 to Jun 18, 2020
  • Accounts · 200 to 267
    Mar 26, 2019 to May 14, 2020
  • HNW clients · 100 to 22
    Mar 26, 2019 to May 14, 2020
  • Individual clients · 100 to 247
    Mar 26, 2019 to May 14, 2020
  • Employees · 5 to 2
    Mar 26, 2019 to May 14, 2020
  • Insurance-licensed employees · 3 to 1
    Mar 26, 2019 to May 14, 2020
  • State-registered IARs · 3 to 1
    Mar 26, 2019 to May 14, 2020
  • Discretionary RAUM · $118M to $65.8M
    Mar 26, 2019 to May 14, 2020
  • HNW RAUM · $80.0M to $32.0M
    Mar 26, 2019 to May 14, 2020
  • Individual RAUM · $40.0M to $36.8M
    Mar 26, 2019 to May 14, 2020
  • Non-discretionary RAUM · $2.0M to $3.0M
    Mar 26, 2019 to May 14, 2020
  • RAUM · $120M to $68.8M
    Mar 26, 2019 to May 14, 2020
  • Accounts · 435 to 200
    Feb 25, 2019 to Mar 26, 2019
  • HNW clients · 43 to 100
    Feb 25, 2019 to Mar 26, 2019
  • Individual clients · 143 to 100
    Feb 25, 2019 to Mar 26, 2019
  • Pension plan clients · 2.0 to unset
    Feb 25, 2019 to Mar 26, 2019
  • HQ city · SAN RAMON to BURLINGAME
    Feb 25, 2019 to Mar 26, 2019
  • Discretionary RAUM · $138M to $118M
    Feb 25, 2019 to Mar 26, 2019
  • HNW RAUM · $102M to $80.0M
    Feb 25, 2019 to Mar 26, 2019
  • Individual RAUM · $49.6M to $40.0M
    Feb 25, 2019 to Mar 26, 2019
  • Non-discretionary RAUM · $13.6M to $2.0M
    Feb 25, 2019 to Mar 26, 2019
  • Pension RAUM · 96097.0 to unset
    Feb 25, 2019 to Mar 26, 2019
  • RAUM · $152M to $120M
    Feb 25, 2019 to Mar 26, 2019
  • Accounts · 203 to 435
    Mar 25, 2017 to Mar 28, 2018
  • HNW clients · unset to 43.0
    Mar 25, 2017 to Mar 28, 2018
  • Individual clients · unset to 143.0
    Mar 25, 2017 to Mar 28, 2018
  • Pension plan clients · unset to 2.0
    Mar 25, 2017 to Mar 28, 2018
  • Other offices · unset to 0.0
    Mar 25, 2017 to Mar 28, 2018
  • Discretionary RAUM · $140M to $138M
    Mar 25, 2017 to Mar 28, 2018
  • HNW RAUM · unset to 102304869.0
    Mar 25, 2017 to Mar 28, 2018
  • Individual RAUM · unset to 49603229.0
    Mar 25, 2017 to Mar 28, 2018
  • Non-discretionary RAUM · $3.0M to $13.6M
    Mar 25, 2017 to Mar 28, 2018
  • Pension RAUM · unset to 96097.0
    Mar 25, 2017 to Mar 28, 2018
  • RAUM · $143M to $152M
    Mar 25, 2017 to Mar 28, 2018
  • Accounts · 535 to 203
    Dec 1, 2016 to Mar 25, 2017
  • Employees · 4 to 5
    Dec 1, 2016 to Mar 25, 2017
  • Insurance-licensed employees · 0 to 3
    Dec 1, 2016 to Mar 25, 2017
  • State-registered IARs · 2 to 3
    Dec 1, 2016 to Mar 25, 2017
  • Discretionary RAUM · $208M to $140M
    Dec 1, 2016 to Mar 25, 2017
Signals
3 dated events
  • Daniel Wu left Gps Capital Management, Llc for Strait & Sound (registered 2022-05-03)
    Dec 14, 2022 · Advisor changed firm · fact
  • Li Ping Guay left Gps Capital Management, Llc for Strait & Sound (registered 2022-05-03)
    Aug 17, 2022 · Advisor changed firm · fact
  • Lin Dennis Chen (Ceo) no longer on Schedule A of Gps Capital Management, Llc (listed 2019-03-26, absent 2020-05-14)
    May 14, 2020 · Control person left · inference
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