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•••••• A•••••••• L••
Latest filing Jul 28, 2026
First filing on the tape Feb 13, 2012 · 20 filings
SEC status approved since Mar 29, 2012
RAUM
$9.3B
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
166
64 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
24
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$9.3B as of Jul 28, 2026
Apr 1, 2013$783M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 28, 2026
Apr 1, 20131 then
Employees (5.A)166 as of Jul 28, 2026
Apr 1, 201344 then
Private funds24 as of Jul 28, 2026
Apr 1, 20139 then
RAUM +0.2% over the last fiscal year+1.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 28, 2026; 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
- $388MderivedRAUM 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
- +0.2%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
- $9.3B, 24 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$9.3B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 24reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $9.3B for 24 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
31 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•••••• P••••••• V• L••• | Private Equity Fund | $2.0B | 138 | Mar 29, 2018 |
| G•••••• P••••••• V•••• L••• | Private Equity Fund | $1.9B | 112 | Mar 31, 2022 |
| G•••••• P••••••• V•• L••• | Private Equity Fund | $1.4B | 254 | Mar 31, 2022 |
| G•••••• P••••••• V••• L••• | Private Equity Fund | $1.4B | 75 | Mar 29, 2018 |
| G•••••• O••• C•••• L• | Private Equity Fund | $834M | 25 | Nov 22, 2024 |
| G•••••• P••••••• I•• L••• | Private Equity Fund | $758M | 176 | Mar 30, 2016 |
| G•••••• O••• C•• L• | Private Equity Fund | $394M | 95 | Nov 22, 2024 |
| G•••••• J••••• C•••••• F••• I••• L••• | Other Private Fund | $393M | 86 | Mar 28, 2024 |
| G•••••• H••••••• P•••••••• L••• | Private Equity Fund | $375M | 84 | Mar 31, 2022 |
| G•••••• M•••••••• P••••••• I•• L••• | Other Private Fund | $340M | 103 | Mar 31, 2019 |
| G•••••• H••••••• P••••••• A• L••• | Private Equity Fund | $195M | 37 | Mar 31, 2022 |
| G•••••• J••••• C•••••• F••• I•• F•••••• L••• | Other Private Fund | $90.7M | 8 | Mar 28, 2024 |
| G•••••• P••••••• 3••• L••• | Private Equity Fund | $87.8M | 139 | Feb 13, 2012 |
| G•••••• M•••••••• P•••••••• L••• | Other Private Fund | $66.0M | 87 | Mar 29, 2018 |
| G•••••• P••••••• V••••••• L••• | Private Equity Fund | $54.8M | 4 | Mar 30, 2020 |
| G•••••• M•••••••• P••••••• I• F••••• F•••• L••• | Other Private Fund | $42.7M | 5 | Mar 30, 2020 |
| G•••••• J••••• C•••••• F••• I•• F•••••••• L••• | Other Private Fund | $42.3M | 2 | Mar 28, 2024 |
| G•••••• C•••••••• F••• I•• L••• | Private Equity Fund | $35.5M | 80 | Mar 30, 2016 |
| G•••••• P••••••• V••• L••• | Private Equity Fund | $27.3M | 40 | Mar 31, 2019 |
| G•••••• V• G••••• I••••••••• L•• | Private Equity Fund | $15.9M | 45 | Mar 30, 2023 |
| G•••••• P••••••• V•••••• L••• | Private Equity Fund | $13.0M | 1 | Mar 30, 2020 |
| G•••••• P••••••• I•••• L••• | Private Equity Fund | $11.5M | 25 | Mar 30, 2016 |
| G•••••• P••••••• 3••••• L••• | Private Equity Fund | $3.7M | 36 | Apr 1, 2013 |
| G•••••• H••••••• G••••• I••••••••• L•• | Private Equity Fund | $3.0M | 45 | Mar 30, 2023 |
| G•••••• P••••••• I••• L•••no longer reported | Private Equity Fund | $1.1M | 37 | Feb 13, 2012 |
| G•••••• P••••••• I•• L•••no longer reported | Private Equity Fund | $472,400 | 56 | Feb 13, 2012 |
| G•••••• C•••••••• F••• I••• L•••no longer reported | Private Equity Fund | $227,550 | 10 | Feb 13, 2012 |
| G•••••• P••••••• I••••• L•••no longer reported | Private Equity Fund | $102,700 | 11 | Feb 13, 2012 |
| G•••••• P••••••• I•••• L•••no longer reported | Private Equity Fund | $32,700 | 13 | Feb 13, 2012 |
| G•••••• P••••••• I••••• L•••no longer reported | Private Equity Fund | $24,390 | 6 | Feb 13, 2012 |
| G•••••• P••••••• I•••• A•••• F•••• L•••no longer reported | Private Equity Fund | $0 | 43 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••••••• A•• · Coocontrolsince 07/2023 · owns less than 5%
- A••••••• R••••••• D•••• · Co-Ceocontrolsince 08/1996 · owns 75% or more
- G•••••••• J••••• R•••••• · Cfocontrolsince 02/2006 · owns less than 5%
- J•••••• J•••• J•••• · Ccocontrolsince 12/2022 · owns less than 5%
- L••••• W••• W•••••• · Sr. Partnercontrolsince 08/2017 · owns less than 5%
- O•••• N•••••••• A••••• · Co-Ceocontrolsince 01/2010 · owns less than 5%
Related persons
Schedule D 7.A
- G•••••• G••••• 3••• L•••pooled vehicle sponsorn
- G•••••• G••••• I•• L•••pooled vehicle sponsorn
- G•••••• G••••• V• L•••pooled vehicle sponsorn
- G•••••• G••••• V•• L•••pooled vehicle sponsorn
- G•••••• H••••••• G•••••• L•••pooled vehicle sponsorn
- G•••••• I••••••••• L••pooled vehicle sponsorn
- G•••••• J••••• C•••••• G• I••• L•pooled vehicle sponsorn
- G•••••• M•••••••• P••••••• G• I•• L•••pooled vehicle sponsorn
- G•••••• M•••••••• P••••••• G•• L•••pooled vehicle sponsorn
- G•••••• O••• C• G•• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 61 to 64Mar 28, 2025 to Mar 31, 2026
- Assets in custody · $9.3B to $9.3BMar 28, 2025 to Mar 31, 2026
- Employees · 148 to 166Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $9.3B to $9.3BMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $9.3B to $9.3BMar 28, 2025 to Mar 31, 2026
- RAUM · $9.3B to $9.3BMar 28, 2025 to Mar 31, 2026
- Accounts · 22 to 24Nov 22, 2024 to Mar 28, 2025
- Advisory employees · 65 to 61Nov 22, 2024 to Mar 28, 2025
- Pooled vehicle clients · 22 to 24Nov 22, 2024 to Mar 28, 2025
- Assets in custody · $9.0B to $9.3BNov 22, 2024 to Mar 28, 2025
- Employees · 145 to 148Nov 22, 2024 to Mar 28, 2025
- Financial planning clients · unset to Nov 22, 2024 to Mar 28, 2025
- Discretionary RAUM · $9.0B to $9.3BNov 22, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $9.0B to $9.3BNov 22, 2024 to Mar 28, 2025
- RAUM · $9.0B to $9.3BNov 22, 2024 to Mar 28, 2025
- Private funds · 22 to 24Mar 28, 2024 to Nov 22, 2024
- Accounts · 19 to 22Mar 30, 2023 to Mar 28, 2024
- Advisory employees · 52 to 65Mar 30, 2023 to Mar 28, 2024
- Pooled vehicle clients · 19 to 22Mar 30, 2023 to Mar 28, 2024
- Assets in custody · $9.0B to $9.0BMar 30, 2023 to Mar 28, 2024
- Employees · 138 to 145Mar 30, 2023 to Mar 28, 2024
- Private funds · 19 to 22Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $9.0B to $9.0BMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $9.0B to $9.0BMar 30, 2023 to Mar 28, 2024
- RAUM · $9.0B to $9.0BMar 30, 2023 to Mar 28, 2024
- Accounts · 17 to 19Dec 22, 2022 to Mar 30, 2023
- Advisory employees · 43 to 52Dec 22, 2022 to Mar 30, 2023
- Pooled vehicle clients · 17 to 19Dec 22, 2022 to Mar 30, 2023
- Assets in custody · $9.1B to $9.0BDec 22, 2022 to Mar 30, 2023
- Employees · 120 to 138Dec 22, 2022 to Mar 30, 2023
- Private funds · 17 to 19Dec 22, 2022 to Mar 30, 2023
- Discretionary RAUM · $9.1B to $9.0BDec 22, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $9.1B to $9.0BDec 22, 2022 to Mar 30, 2023
- RAUM · $9.1B to $9.0BDec 22, 2022 to Mar 30, 2023
- Accounts · 19 to 17Mar 31, 2021 to Mar 31, 2022
- Advisory employees · 55 to 43Mar 31, 2021 to Mar 31, 2022
- Pooled vehicle clients · 19 to 17Mar 31, 2021 to Mar 31, 2022
- Assets in custody · $5.0B to $9.1BMar 31, 2021 to Mar 31, 2022
- Employees · 73 to 120Mar 31, 2021 to Mar 31, 2022
- Private funds · 19 to 17Mar 31, 2021 to Mar 31, 2022
Signals
15 dated events
- Michael Matthew Whelan (Cfo) no longer on Schedule A of G•••••• A•••••••• L•• (listed 2023-03-30, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Roberts James Gillette (Cfo) appeared on Schedule A of G•••••• A•••••••• L••Mar 28, 2024 · Control person joined · fact
- Clifford Michael Borofsky (General Counsel) no longer on Schedule A of G•••••• A•••••••• L•• (listed 2023-03-30, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Ann Akichika (Coo) appeared on Schedule A of G•••••• A•••••••• L••Mar 28, 2024 · Control person joined · fact
- James John Jacobs (Cco) appeared on Schedule A of G•••••• A•••••••• L••Dec 22, 2022 · Control person joined · fact
- Rachelle Jennifer Haas (Coo) no longer on Schedule A of G•••••• A•••••••• L•• (listed 2022-03-31, absent 2022-12-22)Dec 22, 2022 · Control person left · inference
- Roberts James Gillette (Cco) no longer on Schedule A of G•••••• A•••••••• L•• (listed 2022-03-31, absent 2022-12-22)Dec 22, 2022 · Control person left · inference
- Rachelle Jennifer Haas (Coo) appeared on Schedule A of G•••••• A•••••••• L••Mar 31, 2022 · Control person joined · fact
- G•••••• A•••••••• L•• reported RAUM $9.1B, up 83% from $5.0B (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Michael Matthew Whelan (Cfo) appeared on Schedule A of G•••••• A•••••••• L••Mar 31, 2022 · Control person joined · fact
- Clifford Michael Borofsky (General Counsel) appeared on Schedule A of G•••••• A•••••••• L••Mar 31, 2022 · Control person joined · fact
- Fergus Dennis O'Brien (Sr. Partner) no longer on Schedule A of G•••••• A•••••••• L•• (listed 2019-03-31, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- W•••••• Wes L•••• (Sr. Partner) appeared on Schedule A of G•••••• A•••••••• L••Mar 30, 2020 · Control person joined · fact
- G•••••• A•••••••• L•• reported RAUM $3.9B, up 59% from $2.5B (2018-03-29 to 2019-03-31)Mar 31, 2019 · RAUM change · derived
- G•••••• A•••••••• L•• reported RAUM $2.5B, up 31% from $1.9B (2017-08-07 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- G•••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- G•••••• A•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- G••••••INVESTORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-217-7400reportedpublic record, Form ADV, Jul 28, 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
- Asset manager (funds and pooled vehicles)deriveda 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