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•••••• C••••••
Legal name G•••••• C•••••• M••••••••• L••
Latest filing Apr 1, 2026
First filing on the tape Jun 27, 2024 · 5 filings
SEC status approved since Aug 14, 2024
RAUM
$315M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$308M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$157M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$315M as of Apr 1, 2026
Mar 31, 2025$238M then
HNW client RAUM$303M as of Apr 1, 2026
Mar 31, 2025$228M then
State-registered IARs (5.B.3)1 as of Apr 1, 2026
Mar 31, 20251 then
Employees (5.A)2 as of Apr 1, 2026
Mar 31, 20252 then
Private funds: no history
RAUM +32% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $157MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.9MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%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 individualsreportedItem 5.G
- Custody
- $45.5M, 11 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$303M96%
- Individuals$4.6M1.5%
- Corporations and businesses$4.2M1.3%
- Pension and profit-sharing plans$2.3M0.7%
- Individual clients
- 14reported
- HNW clients
- 62reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 275reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $45.5M for 11 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• B•••• F•••• | Oakland, Ca | Jan 18, 2007 | 27 y | 0 |
| J••• K••••••• S•••• | Oakland, Ca | Jan 18, 2007 | 27 y | 0 |
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
- H••••• H••••• C•••• to C••••••••• A•••• A••••••• I•••Dec 15, 2015 · RIA to a state-registered adviser
Joined, latest
- H••••• H••••• C•••• from U••••• E••••• S••••••••• L••Sep 9, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• J•••••• B•••• · Ccocontrolsince 05/2000 · owns 50% to 75%
- S••••• J•••• K••••••• · Managing Membercontrolsince 05/2000 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Oakland, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 257 to 275Mar 31, 2025 to Apr 1, 2026
- Individual clients · 15 to 14Mar 31, 2025 to Apr 1, 2026
- Assets in custody · $37.4M to $45.5MMar 31, 2025 to Apr 1, 2026
- Discretionary RAUM · $236M to $312MMar 31, 2025 to Apr 1, 2026
- HNW RAUM · $228M to $303MMar 31, 2025 to Apr 1, 2026
- Individual RAUM · $3.5M to $4.6MMar 31, 2025 to Apr 1, 2026
- Non-discretionary RAUM · $2.2M to $2.3MMar 31, 2025 to Apr 1, 2026
- Pension RAUM · $2.2M to $2.3MMar 31, 2025 to Apr 1, 2026
- RAUM · $238M to $315MMar 31, 2025 to Apr 1, 2026
- Accounts · 236 to 257Aug 6, 2024 to Mar 31, 2025
- Individual clients · 13 to 15Aug 6, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Aug 6, 2024 to Mar 31, 2025
- Discretionary RAUM · $213M to $236MAug 6, 2024 to Mar 31, 2025
- HNW RAUM · $205M to $228MAug 6, 2024 to Mar 31, 2025
- Individual RAUM · $4.1M to $3.5MAug 6, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $2.1M to $2.2MAug 6, 2024 to Mar 31, 2025
- Pension RAUM · $2.1M to $2.2MAug 6, 2024 to Mar 31, 2025
- RAUM · $215M to $238MAug 6, 2024 to Mar 31, 2025
Signals
1 dated events
- G•••••• C•••••• filed its initial SEC registration (Form ADV)Jun 27, 2024 · 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 phone
- 510-336-9120reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- G••••••CAPITALLLC.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 510-336-9120reportedpublic record, Form ADV, Apr 1, 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
- $157Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026