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

Dan Goldie Financial Services LLC

Former SEC-registered adviserPalo Alto, CaliforniaCRD 149887SEC 801-70030IAPD
Latest filing Jan 17, 2019
First filing on the tape Mar 28, 2012 · 10 filings
RAUM
$858M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$858M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$858M as of Jan 17, 2019
Mar 28, 2012$516M then
HNW client RAUM$809M as of Jan 17, 2019
Jan 19, 2018$844M then
State-registered IARs (5.B.3)3 as of Jan 17, 2019
Mar 28, 20120 then
Employees (5.A)3 as of Jan 17, 2019
Feb 25, 20132 then
Private funds: no history
RAUM -1.9% over the last fiscal year+6.3% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jan 17, 2019; every figure names its basis
RAUM per advisor
$286MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
140derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.2MderivedHNW RAUM over HNW clients
Average account
$631,010derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-1.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+29%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$809M94%
  • Individuals$49.0M5.7%
  • Pension and profit-sharing plans$592,0170.1%
Individual clients
168reported
HNW clients
253reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,360reported
Financial planning clients
101-250reported
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
Left, latest
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
    • Clyde Daniel Goldie · Chief Compliance Officercontrol
      since 01/2009 · owns 75% or more
    • Gavin Dirk Gilliard · Member
      since 11/2018 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Burlingame, CA1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,177 to 1,360
      Jan 19, 2018 to Jan 17, 2019
    • HNW clients · 233 to 253
      Jan 19, 2018 to Jan 17, 2019
    • Individual clients · 94 to 168
      Jan 19, 2018 to Jan 17, 2019
    • HNW RAUM · $844M to $809M
      Jan 19, 2018 to Jan 17, 2019
    • Individual RAUM · $30.3M to $49.0M
      Jan 19, 2018 to Jan 17, 2019
    • Non-discretionary RAUM · $874M to $858M
      Jan 19, 2018 to Jan 17, 2019
    • Pension RAUM · $401,825 to $592,017
      Jan 19, 2018 to Jan 17, 2019
    • RAUM · $874M to $858M
      Jan 19, 2018 to Jan 17, 2019
    • Accounts · 1,180 to 1,177
      Mar 6, 2017 to Jan 19, 2018
    • Advisory employees · 2 to 3
      Mar 6, 2017 to Jan 19, 2018
    • HNW clients · unset to 233.0
      Mar 6, 2017 to Jan 19, 2018
    • Individual clients · unset to 94.0
      Mar 6, 2017 to Jan 19, 2018
    • Employees · 2 to 3
      Mar 6, 2017 to Jan 19, 2018
    • State-registered IARs · 2 to 3
      Mar 6, 2017 to Jan 19, 2018
    • Other offices · unset to 1.0
      Mar 6, 2017 to Jan 19, 2018
    • HNW RAUM · unset to 843782647.0
      Mar 6, 2017 to Jan 19, 2018
    • Individual RAUM · unset to 30304263.0
      Mar 6, 2017 to Jan 19, 2018
    • Non-discretionary RAUM · $738M to $874M
      Mar 6, 2017 to Jan 19, 2018
    • Pension RAUM · unset to 401825.0
      Mar 6, 2017 to Jan 19, 2018
    • RAUM · $738M to $874M
      Mar 6, 2017 to Jan 19, 2018
    • Accounts · 1,170 to 1,180
      Mar 15, 2016 to Mar 6, 2017
    • Non-discretionary RAUM · $715M to $738M
      Mar 15, 2016 to Mar 6, 2017
    • RAUM · $715M to $738M
      Mar 15, 2016 to Mar 6, 2017
    • Accounts · 325 to 1,170
      Feb 5, 2015 to Mar 15, 2016
    • Non-discretionary RAUM · $722M to $715M
      Feb 5, 2015 to Mar 15, 2016
    • RAUM · $722M to $715M
      Feb 5, 2015 to Mar 15, 2016
    • Accounts · 318 to 325
      Mar 28, 2014 to Feb 5, 2015
    • Non-discretionary RAUM · $696M to $722M
      Mar 28, 2014 to Feb 5, 2015
    • RAUM · $696M to $722M
      Mar 28, 2014 to Feb 5, 2015
    • Accounts · 970 to 318
      Nov 12, 2013 to Mar 12, 2014
    • HQ city · MENLO PARK to PALO ALTO
      Nov 12, 2013 to Mar 12, 2014
    • Non-discretionary RAUM · $582M to $696M
      Nov 12, 2013 to Mar 12, 2014
    • RAUM · $582M to $696M
      Nov 12, 2013 to Mar 12, 2014
    • Accounts · 1,080 to 970
      Mar 28, 2012 to Feb 25, 2013
    • Advisory employees · unset to 2.0
      Mar 28, 2012 to Feb 25, 2013
    • Employees · unset to 2.0
      Mar 28, 2012 to Feb 25, 2013
    • State-registered IARs · 0 to 2
      Mar 28, 2012 to Feb 25, 2013
    • Non-discretionary RAUM · $516M to $582M
      Mar 28, 2012 to Feb 25, 2013
    • RAUM · $516M to $582M
      Mar 28, 2012 to Feb 25, 2013
    Signals
    No event on the tape.
    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