DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

G•••••• C•••••• L••

Former SEC-registered adviserSan Diego, CaliforniaCRD 165698SEC 801-107530IAPD

Latest filing Jun 24, 2021

First filing on the tape Mar 23, 2016 · 11 filings

RAUM

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

11 filings and snapshots on the tape

RAUM$121M as of Mar 31, 2020

Mar 31, 2017$307M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 31, 2020

Mar 31, 20170 then

Employees (5.A)4 as of Mar 31, 2020

Mar 31, 20175 then

Private funds4 as of Mar 31, 2020

Mar 31, 20172 then

RAUM -100% over the last fiscal yearIARs 0 to 3

Practice profile

derived from the filing of Jun 24, 2021; every figure names its basis

RAUM per advisor: $0derivedRAUM 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: unknownderivedRAUM over accounts (5.F.2.f)
Discretionary: unknownderivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.3derivedItem 5.A over advisors
Advisors per office: 3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +3.5%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities: portfolio management for businesses and institutions, portfolio management for pooled vehicles, 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)

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: 0reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, 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 departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

3 left for G•••••• C•••••• L••
Jun 30, 2021 · San Diego, Ca · Firm absorbed

Teams out Teams in

Private funds

4 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
G•••••• S•••• A•••• I• L••no longer reported	Hedge Fund	$35.4M	3	Mar 23, 2016
G•••••• S•••• A•••• I• L••no longer reported	Hedge Fund	$0	0	Mar 23, 2016
G•••••• B••• I•••• L••no longer reported	Hedge Fund	$0	0	Mar 29, 2018
G•••••• B••• I•••• S••no longer reported	Hedge Fund	$0	0	Mar 29, 2018

Owners and control persons

Schedule A and B, latest filing

H••••••••• T•••••• L•••• · Chief Compliance Officercontrol
since 03/2017 · owns 5% to 10%
K•••••• M••••••• R••••• · Managing Membercontrol
since 11/2011 · owns 75% or more
L•••• K••••••••• R••• · Member
since 06/2012 · owns 10% to 25%
R••••••• A••••• S••••• · Member
since 06/2012 · owns 10% to 25%

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

State-registered IARs · 0 to 3
Mar 30, 2021 to May 3, 2021
Accounts · 5 to 0
Mar 31, 2020 to Mar 30, 2021
Pooled vehicle clients · 4.0 to unset
Mar 31, 2020 to Mar 30, 2021
Assets in custody · 35367714.0 to unset
Mar 31, 2020 to Mar 30, 2021
Custody of client assets · true to false
Mar 31, 2020 to Mar 30, 2021
Private funds · 4 to unset
Mar 31, 2020 to Mar 30, 2021
Discretionary RAUM · $121M to $0
Mar 31, 2020 to Mar 30, 2021
Pooled vehicle RAUM · 35367714.0 to unset
Mar 31, 2020 to Mar 30, 2021
RAUM · $121M to $0
Mar 31, 2020 to Mar 30, 2021
Assets in custody · $50.4M to $35.4M
Mar 28, 2019 to Mar 31, 2020
Discretionary RAUM · $117M to $121M
Mar 28, 2019 to Mar 31, 2020
Pooled vehicle RAUM · $50.4M to $35.4M
Mar 28, 2019 to Mar 31, 2020
RAUM · $117M to $121M
Mar 28, 2019 to Mar 31, 2020
Accounts · 7 to 5
May 9, 2018 to Mar 28, 2019
Advisory employees · 4 to 3
May 9, 2018 to Mar 28, 2019
Pooled vehicle clients · 6 to 4
May 9, 2018 to Mar 28, 2019
Assets in custody · $87.1M to $50.4M
May 9, 2018 to Mar 28, 2019
Employees · 5 to 4
May 9, 2018 to Mar 28, 2019
Discretionary RAUM · $350M to $117M
May 9, 2018 to Mar 28, 2019
Pooled vehicle RAUM · $289M to $50.4M
May 9, 2018 to Mar 28, 2019
RAUM · $350M to $117M
May 9, 2018 to Mar 28, 2019
Accounts · 6 to 7
Mar 29, 2018 to May 9, 2018
Pooled vehicle clients · 5 to 6
Mar 29, 2018 to May 9, 2018
Assets in custody · $131M to $87.1M
Mar 29, 2018 to May 9, 2018
Discretionary RAUM · $258M to $350M
Mar 29, 2018 to May 9, 2018
Pooled vehicle RAUM · $190M to $289M
Mar 29, 2018 to May 9, 2018
RAUM · $258M to $350M
Mar 29, 2018 to May 9, 2018
Accounts · 4 to 6
Aug 7, 2017 to Mar 29, 2018
Pooled vehicle clients · unset to 5.0
Aug 7, 2017 to Mar 29, 2018
Assets in custody · $164M to $131M
Aug 7, 2017 to Mar 29, 2018
Other offices · unset to 0.0
Aug 7, 2017 to Mar 29, 2018
Private funds · 2 to 4
Aug 7, 2017 to Mar 29, 2018
Discretionary RAUM · $307M to $258M
Aug 7, 2017 to Mar 29, 2018
Pooled vehicle RAUM · unset to 190297501.0
Aug 7, 2017 to Mar 29, 2018
RAUM · $307M to $258M
Aug 7, 2017 to Mar 29, 2018
Assets in custody · $255M to $164M
Mar 24, 2016 to Mar 31, 2017
Discretionary RAUM · $255M to $307M
Mar 24, 2016 to Mar 31, 2017
RAUM · $255M to $307M
Mar 24, 2016 to Mar 31, 2017

Signals

3 dated events

G•••••• C•••••• L•• reported RAUM $0, down 100% from $120.7M (2020-03-31 to 2021-03-30)
Mar 30, 2021 · RAUM change · derived
G•••••• C•••••• L•• reported RAUM $116.6M, down 67% from $349.8M (2018-05-09 to 2019-03-28)
Mar 28, 2019 · RAUM change · derived
G•••••• C•••••• L•• filed its initial SEC registration (Form ADV)
Mar 23, 2016 · 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.

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