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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

G••••••• P•••• F••••• L••

Former SEC-registered adviserWalnut Creek, CaliforniaCRD 166431SEC 801-77499IAPD
Latest filing Apr 29, 2021
First filing on the tape Dec 19, 2012 · 27 filings
RAUM
$3.3M
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
9
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$3.3M gross assets
History
27 filings and snapshots on the tape
RAUM$3.3M as of Mar 27, 2021
Mar 31, 2014$11.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 27, 2021
Mar 31, 20143 then
Employees (5.A)9 as of Mar 27, 2021
Mar 31, 20146 then
Private funds1 as of Mar 27, 2021
Mar 31, 20142 then
RAUM -59% over the last fiscal year-58% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Apr 29, 2021; every figure names its basis
RAUM per advisor
$656,400derivedRAUM 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
$3.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-59%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 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
$3.3M, 1 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$3.3M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$3.3M 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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    5 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    G• M••••••• O••••••••• M••••• F•••• B••• L•••no longer reportedHedge Fund$12.6M1Dec 19, 2012
    G• M••••••• O••••••••• F••• I•• L•no longer reportedHedge Fund$9.1M9Mar 28, 2018
    G• M••••••• O••••••••• F••• I•no longer reportedHedge Fund$5.1M9Mar 28, 2018
    G••••••• P•••• O••••••••• I• L•Hedge Fund$3.3M1Jan 2, 2014
    G• M••••••• O••••••••• F••• I••• L•no longer reportedHedge Fund$1.2M4Mar 28, 2018
    Owners and control persons
    Schedule A and B, latest filing
    • L•• A••• · Chief Financial Officercontrol
      since 01/2015 · owns less than 5%
    • M•••••••• J••••• T•••••• · Chief Compliance Officercontrol
      since 11/2012 · owns less than 5%
    • S••••• G••••••• J•••• · Chief Executive Officercontrol
      since 10/2012 · owns less than 5%
    • L••• B••••• H••••••• · Managing Membercontrol
      since 07/2018 · owns F of G••••••• P•••• H••••••• G•• L••
    • M••••• J••••• S•••••••• · Co Trusteecontrol
      since 12/2020 · owns 50% to 75% of T•• M•••• I••••••••• T••••
    • M••••• T•••••• S•••••• · Managing Membercontrol
      since 07/2018 · owns F of G••••••• P•••• H••••••• G•• L••
    • M••••• T•••••• S•••••• · Co Trusteecontrol
      since 12/2020 · owns 50% to 75% of T•• M•••• I••••••••• T••••
    • S••••• G••••••• J•••• · Ownercontrol
      since 06/2019 · owns 75% or more of T•••••••• H•••••••• L••
    • S••••• G••••••• J•••• · Ownercontrol
      since 07/2018 · owns 25% to 50% of G••••••• P•••• H••••••• G•• L••
    • T•••• J•••••••• Q••••••• · Managing Membercontrol
      since 07/2018 · owns F of G••••••• P•••• H••••••• G•• L••
    Entity owners
    • G••••••• P•••• H•••••••• L• · Owner
      direct · owns 75% or more
    • G••••••• P•••• H••••••• G•• L•• · General Partner
      indirect · owns F of G••••••• P•••• H•••••••• L•
    • T•• M•••• I••••••••• T•••• · Owner
      indirect · owns 25% to 50% of G••••••• P•••• H••••••• G•• L••
    • T•• M•••• I••••••••• T•••• · Owner
      indirect · owns 25% to 50% of G••••••• P•••• H•••••••• L•
    • T•••••••• H•••••••• L•• · Owner
      indirect · owns 25% to 50% of G••••••• P•••• H•••••••• L•
    Related persons
    Schedule D 7.A
    Advisers that list G••••••• P•••• F••••• L•• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Assets in custody · $8.1M to $3.3M
      Mar 17, 2020 to Mar 27, 2021
    • Insurance-licensed employees · 5 to 6
      Mar 17, 2020 to Mar 27, 2021
    • Discretionary RAUM · $8.1M to $3.3M
      Mar 17, 2020 to Mar 27, 2021
    • Pooled vehicle RAUM · $8.1M to $3.3M
      Mar 17, 2020 to Mar 27, 2021
    • RAUM · $8.1M to $3.3M
      Mar 17, 2020 to Mar 27, 2021
    • Accounts · 4 to 1
      Aug 7, 2019 to Mar 17, 2020
    • Pooled vehicle clients · 4 to 1
      Aug 7, 2019 to Mar 17, 2020
    • Assets in custody · $41.0M to $8.1M
      Aug 7, 2019 to Mar 17, 2020
    • Private funds · 4 to 1
      Aug 7, 2019 to Mar 17, 2020
    • Discretionary RAUM · $41.0M to $8.1M
      Aug 7, 2019 to Mar 17, 2020
    • Pooled vehicle RAUM · $41.0M to $8.1M
      Aug 7, 2019 to Mar 17, 2020
    • RAUM · $41.0M to $8.1M
      Aug 7, 2019 to Mar 17, 2020
    • Assets in custody · $43.5M to $41.0M
      Oct 29, 2018 to Mar 26, 2019
    • Discretionary RAUM · $43.5M to $41.0M
      Oct 29, 2018 to Mar 26, 2019
    • Pooled vehicle RAUM · $43.5M to $41.0M
      Oct 29, 2018 to Mar 26, 2019
    • RAUM · $43.5M to $41.0M
      Oct 29, 2018 to Mar 26, 2019
    • Accounts · 5 to 4
      Mar 28, 2017 to Mar 28, 2018
    • Advisory employees · 3 to 4
      Mar 28, 2017 to Mar 28, 2018
    • Advisory activities · 2 to 1
      Mar 28, 2017 to Mar 28, 2018
    • BD registered reps · 7 to 0
      Mar 28, 2017 to Mar 28, 2018
    • Pooled vehicle clients · unset to 4.0
      Mar 28, 2017 to Mar 28, 2018
    • Assets in custody · $46.3M to $43.5M
      Mar 28, 2017 to Mar 28, 2018
    • Employees · 7 to 9
      Mar 28, 2017 to Mar 28, 2018
    • Financial planning clients · 0 to unset
      Mar 28, 2017 to Mar 28, 2018
    • Other offices · unset to 0.0
      Mar 28, 2017 to Mar 28, 2018
    • Private funds · 2 to 4
      Mar 28, 2017 to Mar 28, 2018
    • Discretionary RAUM · $46.3M to $43.5M
      Mar 28, 2017 to Mar 28, 2018
    • Pooled vehicle RAUM · unset to 43461091.0
      Mar 28, 2017 to Mar 28, 2018
    • RAUM · $46.3M to $43.5M
      Mar 28, 2017 to Mar 28, 2018
    • Related broker-dealer · true to false
      Mar 28, 2017 to Mar 28, 2018
    • Assets in custody · $44.0M to $46.3M
      Feb 1, 2017 to Mar 28, 2017
    • Discretionary RAUM · $44.0M to $46.3M
      Feb 1, 2017 to Mar 28, 2017
    • RAUM · $44.0M to $46.3M
      Feb 1, 2017 to Mar 28, 2017
    • HQ city · SAN F•••••••• to WALNUT CREEK
      Oct 3, 2016 to Feb 1, 2017
    • Advisory activities · 1 to 2
      Mar 17, 2016 to Mar 22, 2016
    • Assets in custody · $44.0M to $44.0M
      Mar 2, 2016 to Mar 17, 2016
    • Accounts · 4 to 5
      Feb 29, 2016 to Mar 2, 2016
    • Assets in custody · $0 to $44.0M
      Feb 29, 2016 to Mar 2, 2016
    • State-registered IARs · 3 to 5
      Feb 29, 2016 to Mar 2, 2016
    • Discretionary RAUM · $33.4M to $44.0M
      Feb 29, 2016 to Mar 2, 2016
    Signals
    5 dated events
    • G•••••• J•••• S•••• left G••••••• P•••• F••••• L•• for T•••••••• W••••• A••••••• (registered 2018-03-24)
      Jan 3, 2022 · Advisor changed firm · fact
    • J••••••• Q••••••• T••• no longer registered at G••••••• P•••• F••••• L••; no later IA registration on IAPD
      Jan 3, 2022 · Advisor departure · fact
    • B•••• H••••••• L•• no longer registered at G••••••• P•••• F••••• L••; no later IA registration on IAPD
      Jan 3, 2022 · Advisor departure · fact
    • Sandquist Julia Miner (Co Trustee) appeared on Schedule A of G••••••• P•••• F••••• L••
      Aug 7, 2019 · Control person joined · fact
    • G••••••• P•••• F••••• L•• filed its initial SEC registration (Form ADV)
      Dec 19, 2012 · 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