DFX Intelligence
RIA Intelligence
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SEC-registered adviser
G•••• I••••••••• S•••••••• L••
Latest filing Aug 18, 2026
First filing on the tape Sep 28, 2015 · 48 filings
SEC status approved since Oct 8, 2015
RAUM
$13B
reported, Item 5.F
Discretionary
72%
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
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
48 filings and snapshots on the tape
RAUM$13B as of Aug 18, 2026
Mar 3, 2016$120,692 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 18, 2026
Mar 3, 20162 then
Employees (5.A)3 as of Aug 18, 2026
Mar 3, 20167 then
Private funds: no history
RAUM -23% over the last fiscal year+20% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Aug 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- 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
- $24,057derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 72%derivedof RAUM
- Institutional
- 97%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
- +0.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 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
- 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)
- a related person acts as qualified custodian (9.D.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$12B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 50,388reported
- Charitable clients
- n/areported
- Accounts
- 527,852reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.97 related_bd=true 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••• Q••• · Managercontrolsince 07/2024 · owns less than 5%
- M••••••••• E••••••••• A••• · Manager / Chief Compliance Officercontrolsince 07/2024 · owns less than 5%
- R••••••••• J•••• D•••• · Managercontrolsince 11/2024 · owns less than 5%
Entity owners
- G•••••••• H•••••••• L•• · Sole Ownerdirect · owns 75% or more
- G••••••••• I••• · Sole Ownerindirect · owns 75% or more of G•••••••• H•••••••• L••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Solana Beach, CA
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Aug 18, 2026broker-dealer affiliate (Item 7.A.1): no on the filing of 2026-05-29, yes on the filing of 2026-08-18peers: institutional managers, $5B to $20B (71)
What changed
consecutive filings, newest first
- Accounts · 500,455 to 527,852May 29, 2026 to Aug 18, 2026
- Pension plan clients · 57,744 to 50,388May 29, 2026 to Aug 18, 2026
- Discretionary RAUM · $8.6B to $9.1BMay 29, 2026 to Aug 18, 2026
- Non-discretionary RAUM · $3.4B to $3.6BMay 29, 2026 to Aug 18, 2026
- Pension RAUM · $12B to $12BMay 29, 2026 to Aug 18, 2026
- RAUM · $12B to $13BMay 29, 2026 to Aug 18, 2026
- Related broker-dealer · false to trueMay 29, 2026 to Aug 18, 2026
- Accounts · 792,653 to 500,455Apr 30, 2026 to May 29, 2026
- BD registered reps · 3 to 0Apr 30, 2026 to May 29, 2026
- Pension plan clients · 61,815 to 57,744Apr 30, 2026 to May 29, 2026
- Assets in custody · $16B to $0Apr 30, 2026 to May 29, 2026
- Discretionary RAUM · $12B to $8.6BApr 30, 2026 to May 29, 2026
- Non-discretionary RAUM · $4.6B to $3.4BApr 30, 2026 to May 29, 2026
- Pension RAUM · $16B to $12BApr 30, 2026 to May 29, 2026
- RAUM · $16B to $12BApr 30, 2026 to May 29, 2026
- BD registered reps · 0 to 3Feb 23, 2026 to Apr 30, 2026
- Business name · G•••••••• I••••••••• L•• to G•••• I••••••••• S•••••••• L••Feb 23, 2026 to Apr 30, 2026
- Employees · 7 to 3Feb 23, 2026 to Apr 30, 2026
- HQ city · BURLINGAME to SAN FRANCISCOFeb 23, 2026 to Apr 30, 2026
- Legal name · G•••••••• I••••••••• L•• to G•••• I••••••••• S•••••••• L••Feb 23, 2026 to Apr 30, 2026
- Advisory employees · 3 to 2Dec 2, 2025 to Jan 2, 2026
- Employees · 8 to 7Dec 2, 2025 to Jan 2, 2026
- State-registered IARs · 1 to 0Dec 2, 2025 to Jan 2, 2026
- Accounts · 644,684 to 792,653Nov 21, 2024 to Mar 27, 2025
- Business name · G••••••••• I••• to G•••••••• I••••••••• L••Nov 21, 2024 to Mar 27, 2025
- Pension plan clients · 50,514 to 61,815Nov 21, 2024 to Mar 27, 2025
- Assets in custody · $0 to $16BNov 21, 2024 to Mar 27, 2025
- Employees · 7 to 8Nov 21, 2024 to Mar 27, 2025
- Financial planning clients · unset to Nov 21, 2024 to Mar 27, 2025
- Legal name · G••••••••• I••• to G•••••••• I••••••••• L••Nov 21, 2024 to Mar 27, 2025
- Discretionary RAUM · $8.6B to $12BNov 21, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $3.1B to $4.6BNov 21, 2024 to Mar 27, 2025
- Pension RAUM · $12B to $16BNov 21, 2024 to Mar 27, 2025
- RAUM · $12B to $16BNov 21, 2024 to Mar 27, 2025
- Succession · true to falseNov 21, 2024 to Mar 27, 2025
- Assets in custody · $12B to $0Jul 1, 2024 to Nov 21, 2024
- Employees · 380 to 7Jul 1, 2024 to Nov 21, 2024
- State-registered IARs · 2 to 1Jul 1, 2024 to Nov 21, 2024
- Organization form · Corporation to Limited Liability CompanyJul 1, 2024 to Nov 21, 2024
- Succession · false to trueJul 1, 2024 to Nov 21, 2024
Signals
33 dated events
- G•••• I••••••••• S•••••••• L•• reported RAUM $12.0B, down 27% from $16.5B (2026-04-30 to 2026-05-29)May 29, 2026 · RAUM change · derived
- G•••• I••••••••• S•••••••• L•• reported RAUM $16.5B, up 41% from $11.7B (2024-11-21 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- G••••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Nov 21, 2024 · Succession (Item 4) · fact
- Aydin Senkut (Director) no longer on Schedule A of G•••• I••••••••• S•••••••• L•• (listed 2024-07-01, absent 2024-11-21)Nov 21, 2024 · Control person left · inference
- Mark R••• G•••••• (Director) no longer on Schedule A of G•••• I••••••••• S•••••••• L•• (listed 2024-07-01, absent 2024-11-21)Nov 21, 2024 · Control person left · inference
- Joseph Kevin Busque (Chief Executive Officer, Director And Co-Founder) no longer on Schedule A of G•••• I••••••••• S•••••••• L•• (listed 2024-07-01, absent 2024-11-21)Nov 21, 2024 · Control person left · inference
- David Michael Nelson (Chief Technology Officer And Co-Founder) no longer on Schedule A of G•••• I••••••••• S•••••••• L•• (listed 2024-07-01, absent 2024-11-21)Nov 21, 2024 · Control person left · inference
- Richard Jay R•••••••• (General Partner) no longer on Schedule A of G•••• I••••••••• S•••••••• L•• (listed 2024-07-01, absent 2024-11-21)Nov 21, 2024 · Control person left · inference
- Pogos Saiadian (Ultimate Beneficial Owner) no longer on Schedule A of G•••• I••••••••• S•••••••• L•• (listed 2024-07-01, absent 2024-11-21)Nov 21, 2024 · Control person left · inference
- Michael Aaron Goldman (Director) no longer on Schedule A of G•••• I••••••••• S•••••••• L•• (listed 2024-07-01, absent 2024-11-21)Nov 21, 2024 · Control person left · inference
- Tom Ginny Lee (Director) no longer on Schedule A of G•••• I••••••••• S•••••••• L•• (listed 2024-07-01, absent 2024-11-21)Nov 21, 2024 · Control person left · inference
- Cheng Steven Wu (Chief Financial Officer) no longer on Schedule A of G•••• I••••••••• S•••••••• L•• (listed 2024-07-01, absent 2024-11-21)Nov 21, 2024 · Control person left · inference
- Qian Liu (Manager) appeared on Schedule A of G•••• I••••••••• S•••••••• L••Nov 21, 2024 · Control person joined · fact
- G•••• I••••••••• S•••••••• L•• reported RAUM $11.7B, up 61% from $7.3B (2023-10-02 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- Cheng Steven Wu (Chief Financial Officer) appeared on Schedule A of G•••• I••••••••• S•••••••• L••Mar 27, 2024 · Control person joined · fact
- Cheng Steven Wu (Chief Financial Officer) no longer on Schedule A of G•••• I••••••••• S•••••••• L•• (listed 2023-02-01, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Cheng Steven Wu (Chief Financial Officer) appeared on Schedule A of G•••• I••••••••• S•••••••• L••Sep 21, 2022 · Control person joined · fact
- G•••• I••••••••• S•••••••• L•• reported RAUM $5.9B, up 71% from $3.4B (2022-01-05 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Anne Elizabeth Mastrobattisto (Chief Compliance Officer) appeared on Schedule A of G•••• I••••••••• S•••••••• L••Mar 29, 2022 · Control person joined · fact
- Michael Aaron Goldman (Director) appeared on Schedule A of G•••• I••••••••• S•••••••• L••Mar 29, 2022 · Control person joined · fact
- Nmn Ginny Lee (Director) appeared on Schedule A of G•••• I••••••••• S•••••••• L••Mar 29, 2022 · Control person joined · fact
- Carol Ho (Chief Compliance Officer) no longer on Schedule A of G•••• I••••••••• S•••••••• L•• (listed 2022-01-05, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- G•••• I••••••••• S•••••••• L•• reported RAUM $3.4B, up 93% from $1.8B (2020-06-29 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- Jay R•••••••• (General Partner) appeared on Schedule A of G•••• I••••••••• S•••••••• L••Mar 30, 2021 · Control person joined · fact
- Pogos Saiadian (Ultimate Beneficial Owner) appeared on Schedule A of G•••• I••••••••• S•••••••• L••Mar 30, 2021 · Control person joined · fact
- G•••• I••••••••• S•••••••• L•• reported RAUM $1.8B, up 74% from $1.0B (2019-11-13 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- G•••• I••••••••• S•••••••• L•• reported RAUM $1.0B, up 202% from $340.0M (2018-03-30 to 2019-03-25)Mar 25, 2019 · RAUM change · derived
- J. Kevin Busque (Chief Executive Officer, Director) appeared on Schedule A of G•••• I••••••••• S•••••••• L••Mar 25, 2019 · Control person joined · fact
- Jeff Rosenberger (Chief Operating Officer) appeared on Schedule A of G•••• I••••••••• S•••••••• L••Mar 25, 2019 · Control person joined · fact
- R••• G•••••• (Director) appeared on Schedule A of G•••• I••••••••• S•••••••• L••Mar 25, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/guidelinereportedpublic record, Form ADV, Sep 21, 2026
- Website
- RETIREMENT.G••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (888) 228-3491reportedpublic record, Form ADV, Aug 18, 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
- Institutional managerderiveda 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