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••• C•••••• P•••••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 157128SEC 801-73933IAPD
Latest filing Mar 22, 2017
First filing on the tape Feb 14, 2012 · 7 filings
RAUM
$104M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$104M gross assets
History
7 filings and snapshots on the tape
RAUM$104M as of Mar 22, 2017
Mar 18, 2013$133M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 22, 2017
Mar 18, 20130 then
Employees (5.A)5 as of Mar 22, 2017
Mar 18, 20138 then
Private funds3 as of Mar 22, 2017
Mar 18, 20133 then
RAUM +4.0% over the last fiscal year-9.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 22, 2017; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$34.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.0%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 1 clientsreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G••• I•••••••• I•• L•••Private Equity Fund$74.3M12Feb 14, 2012
      G••• I••••••••• L•••Private Equity Fund$2.1M12Feb 14, 2012
      G••••••••• I••••••••• F••• L••Private Equity Fund$013Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• M•••• L••• · Managing Member, Co-M••••••control
        since 01/2001 · owns 25% to 50%
      • D•••••• W••••••• R••••• · Cco, Cfocontrol
        since 01/2006 · owns less than 5%
      • D•••••• S•••••• K•• B••••• · Senior Managing Partner, Managing Membercontrol
        since 08/1999 · owns less than 5%
      • G••••••• L••••• J••• · Senior Managing Partner, Managing Membercontrol
        since 08/1999 · owns less than 5%
      • D•••••• S•••••• K•• B••••• · Managing Membercontrol
        since 01/1993 · owns 50% to 75% of B••••••••• E••••••••• L••
      • G••••••• L••••• J••• · Managing Membercontrol
        since 01/1993 · owns 50% to 75% of B••••••••• E••••••••• L••
      Entity owners
      • B••••••••• E••••••••• L•• · Member
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • G••• M•••••• I•• L••
        pooled vehicle sponsorn
      • G••• M••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $239,170 to $0
        Mar 11, 2016 to Mar 22, 2017
      • Employees · 6 to 5
        Mar 11, 2016 to Mar 22, 2017
      • Discretionary RAUM · $99.8M to $104M
        Mar 11, 2016 to Mar 22, 2017
      • RAUM · $99.8M to $104M
        Mar 11, 2016 to Mar 22, 2017
      • Assets in custody · $1.9M to $239,170
        Mar 16, 2015 to Mar 11, 2016
      • Employees · 8 to 6
        Mar 16, 2015 to Mar 11, 2016
      • Discretionary RAUM · $120M to $99.8M
        Mar 16, 2015 to Mar 11, 2016
      • RAUM · $120M to $99.8M
        Mar 16, 2015 to Mar 11, 2016
      • Advisory employees · 5 to 3
        Mar 20, 2014 to Mar 16, 2015
      • Assets in custody · $3.3M to $1.9M
        Mar 20, 2014 to Mar 16, 2015
      • Discretionary RAUM · $138M to $120M
        Mar 20, 2014 to Mar 16, 2015
      • RAUM · $138M to $120M
        Mar 20, 2014 to Mar 16, 2015
      • Advisory employees · 6 to 5
        Mar 18, 2013 to Mar 20, 2014
      • Discretionary RAUM · $133M to $138M
        Mar 18, 2013 to Mar 20, 2014
      • RAUM · $133M to $138M
        Mar 18, 2013 to Mar 20, 2014
      • Advisory employees · 7 to 6
        Dec 11, 2012 to Mar 18, 2013
      • Assets in custody · $1.7M to $3.3M
        Dec 11, 2012 to Mar 18, 2013
      • Employees · 10 to 8
        Dec 11, 2012 to Mar 18, 2013
      • Discretionary RAUM · $168M to $133M
        Dec 11, 2012 to Mar 18, 2013
      • RAUM · $168M to $133M
        Dec 11, 2012 to Mar 18, 2013
      • Advisory employees · unset to 7.0
        Feb 14, 2012 to Dec 11, 2012
      • BD registered reps · unset to 0.0
        Feb 14, 2012 to Dec 11, 2012
      • Employees · unset to 10.0
        Feb 14, 2012 to Dec 11, 2012
      • State-registered IARs · unset to 0.0
        Feb 14, 2012 to Dec 11, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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