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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Former SEC-registered adviser

G••••••• F•••••••• A•••••••

Former SEC-registered adviserOakland, CaliforniaCRD 144875SEC 801-68289IAPD
Legal name G••••••• F•••••••• A•••••••• I•••
Latest filing Mar 28, 2022
First filing on the tape Mar 15, 2012 · 15 filings
RAUM
$269M
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
100%
$269M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$269M as of Mar 28, 2022
Mar 15, 2012$162M then
HNW client RAUM$237M as of Mar 28, 2022
Mar 28, 2018$167M then
State-registered IARs (5.B.3)3 as of Mar 28, 2022
Mar 15, 20120 then
Employees (5.A)7 as of Mar 28, 2022
Feb 21, 20136 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 Mar 28, 2022; every figure names its basis
RAUM per advisor
$89.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
48derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.9MderivedHNW RAUM over HNW clients
Average account
$434,642derivedRAUM over accounts (5.F.2.f)
Discretionary
79%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 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
+0.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, publications, otherreportedItem 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
  • High-net-worth individuals$237M88%
  • Individuals$31.8M12%
Individual clients
62reported
HNW clients
83reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
618reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • G•••••••• L••••• P••••• · President, Chief Compliance Officercontrol
      since 08/2007 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 582 to 618
      Mar 22, 2021 to Mar 28, 2022
    • HNW clients · 82 to 83
      Mar 22, 2021 to Mar 28, 2022
    • Individual clients · 63 to 62
      Mar 22, 2021 to Mar 28, 2022
    • Employees · 6 to 7
      Mar 22, 2021 to Mar 28, 2022
    • Discretionary RAUM · $185M to $213M
      Mar 22, 2021 to Mar 28, 2022
    • HNW RAUM · $210M to $237M
      Mar 22, 2021 to Mar 28, 2022
    • Individual RAUM · $30.6M to $31.8M
      Mar 22, 2021 to Mar 28, 2022
    • Non-discretionary RAUM · $55.5M to $55.3M
      Mar 22, 2021 to Mar 28, 2022
    • RAUM · $241M to $269M
      Mar 22, 2021 to Mar 28, 2022
    • Accounts · 555 to 582
      May 1, 2020 to Mar 22, 2021
    • HNW clients · 78 to 82
      May 1, 2020 to Mar 22, 2021
    • Individual clients · 64 to 63
      May 1, 2020 to Mar 22, 2021
    • Discretionary RAUM · $168M to $185M
      May 1, 2020 to Mar 22, 2021
    • HNW RAUM · $184M to $210M
      May 1, 2020 to Mar 22, 2021
    • Individual RAUM · $31.6M to $30.6M
      May 1, 2020 to Mar 22, 2021
    • Non-discretionary RAUM · $48.2M to $55.5M
      May 1, 2020 to Mar 22, 2021
    • RAUM · $216M to $241M
      May 1, 2020 to Mar 22, 2021
    • Accounts · 559 to 555
      Oct 17, 2019 to Mar 20, 2020
    • HNW clients · 67 to 78
      Oct 17, 2019 to Mar 20, 2020
    • Individual clients · 81 to 64
      Oct 17, 2019 to Mar 20, 2020
    • Pension plan clients · 6 to 0
      Oct 17, 2019 to Mar 20, 2020
    • Discretionary RAUM · $138M to $168M
      Oct 17, 2019 to Mar 20, 2020
    • HNW RAUM · $138M to $184M
      Oct 17, 2019 to Mar 20, 2020
    • Individual RAUM · $40.3M to $31.6M
      Oct 17, 2019 to Mar 20, 2020
    • Non-discretionary RAUM · $50.3M to $48.2M
      Oct 17, 2019 to Mar 20, 2020
    • Pension RAUM · $9.9M to $0
      Oct 17, 2019 to Mar 20, 2020
    • RAUM · $188M to $216M
      Oct 17, 2019 to Mar 20, 2020
    • Accounts · 542 to 559
      Mar 28, 2018 to Mar 26, 2019
    • HNW clients · 76 to 67
      Mar 28, 2018 to Mar 26, 2019
    • Individual clients · 65 to 81
      Mar 28, 2018 to Mar 26, 2019
    • Pension plan clients · 5 to 6
      Mar 28, 2018 to Mar 26, 2019
    • Employees · 8 to 6
      Mar 28, 2018 to Mar 26, 2019
    • State-registered IARs · 2 to 3
      Mar 28, 2018 to Mar 26, 2019
    • Discretionary RAUM · $87.4M to $138M
      Mar 28, 2018 to Mar 26, 2019
    • HNW RAUM · $167M to $138M
      Mar 28, 2018 to Mar 26, 2019
    • Individual RAUM · $34.6M to $40.3M
      Mar 28, 2018 to Mar 26, 2019
    • Non-discretionary RAUM · $120M to $50.3M
      Mar 28, 2018 to Mar 26, 2019
    • Pension RAUM · $5.9M to $9.9M
      Mar 28, 2018 to Mar 26, 2019
    • RAUM · $208M to $188M
      Mar 28, 2018 to Mar 26, 2019
    • Accounts · 508 to 542
      Mar 30, 2017 to Mar 28, 2018
    Signals
    4 dated events
    • G••••••• F•••••••• A•••••••'s advisors moved to W••••• E••••••••• A••••••• S•••••••• L•• (Oakland, CA): 3 of 3 registered, on the same day
      Dec 31, 2022 · Firm absorbed (people side) · derived
    • J••• A••••• B•••••• left G••••••• F•••••••• A••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-12-07)
      Dec 31, 2022 · a•••••• firm change · fact
    • L•••• P••••• G••••••• left G••••••• F•••••••• A••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-12-06)
      Dec 31, 2022 · a•••••• firm change · fact
    • J••••• N•••• H••••••• left G••••••• F•••••••• A••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-12-07)
      Dec 31, 2022 · a•••••• firm change · fact
    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