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
R•••• G• L••••••
Latest filing Mar 28, 2019
First filing on the tape Jun 30, 2016 · 6 filings
RAUM
$26.0M
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
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$26.0M gross assets
History
6 filings and snapshots on the tape
RAUM$26.0M as of Mar 28, 2019
Mar 31, 2017$127M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Mar 31, 20170 then
Employees (5.A)3 as of Mar 28, 2019
Mar 31, 20173 then
Private funds1 as of Mar 28, 2019
Mar 31, 20171 then
RAUM -79% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2019; 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
- $26.0MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -79%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $26.0M, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$26.0M100%
- 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
- $26.0M for 1 clientsreported
- Compensation
- % of AUMreported
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••• P••••••• L••• | Private Equity Fund | $774,700 | 5 | Jul 2, 2015 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• D•••••• A••••• · Directorcontrolsince 06/2016 · owns 25% to 50%
- E•••••• J••••••• D•••• · Directorcontrolsince 05/2015 · owns 25% to 50%
- M•••••••• P••••• H•••• · Directorcontrolsince 06/2016 · owns 25% to 50%
- H•••• A•••• J•••••• · Chief Compliance Officersince 01/2018 · owns less than 5%
Related persons
Schedule D 7.A
- B••••••••• C•••••• S••••••••• B•• L•••broker-dealern
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA2 employees
What changed
consecutive filings, newest first
- Assets in custody · $122M to $26.0MJul 24, 2018 to Mar 28, 2019
- Discretionary RAUM · $122M to $26.0MJul 24, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $122M to $26.0MJul 24, 2018 to Mar 28, 2019
- RAUM · $122M to $26.0MJul 24, 2018 to Mar 28, 2019
- Pooled vehicle clients · unset to 1.0Jan 4, 2018 to Mar 26, 2018
- Assets in custody · $0 to $122MJan 4, 2018 to Mar 26, 2018
- Discretionary RAUM · $127M to $122MJan 4, 2018 to Mar 26, 2018
- Pooled vehicle RAUM · unset to 122277384.0Jan 4, 2018 to Mar 26, 2018
- RAUM · $127M to $122MJan 4, 2018 to Mar 26, 2018
- BD registered reps · 2 to 3Mar 31, 2017 to Jan 4, 2018
- Other offices · unset to 1.0Mar 31, 2017 to Jan 4, 2018
- Related broker-dealer · false to trueMar 31, 2017 to Jan 4, 2018
- Assets in custody · $180M to $0Jun 30, 2016 to Mar 31, 2017
- Private funds · 2 to 1Jun 30, 2016 to Mar 31, 2017
- Discretionary RAUM · $180M to $127MJun 30, 2016 to Mar 31, 2017
- RAUM · $180M to $127MJun 30, 2016 to Mar 31, 2017
Signals
1 dated events
- R•••• G• L•••••• filed its initial SEC registration (Form ADV)Jun 30, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R•••• G• L•••••• · Private Equityshared crd · organization
- R•••• G• L•••••• · Venture Capitalshared crd · organization
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