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•••••• W••••• A•••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Oct 19, 2015 · 19 filings
SEC status approved since Oct 30, 2015
RAUM
$489M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$489M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$97.7M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$489M as of Mar 19, 2026
Feb 24, 2016$128M then
HNW client RAUM$489M as of Mar 19, 2026
Feb 27, 2018$166M then
State-registered IARs (5.B.3)5 as of Mar 19, 2026
Feb 24, 20165 then
Employees (5.A)7 as of Mar 19, 2026
Feb 24, 20166 then
Private funds2 as of Mar 19, 2025
Feb 24, 20162 then
RAUM +34% over the last fiscal year+22% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $97.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$489M100%
- Individual clients
- n/areported
- HNW clients
- 114reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 362reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, commissionsreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•••••• S••••• E•••• | Mill Valley, Ca | Dec 2, 2015 | 29 y | 2 |
| M•••••• A•••• P•••••• | Mill Valley, Ca | Dec 2, 2015 | 24 y | 2 |
| C••••• E•••• J••••• | Palm Desert, Ca | Feb 1, 2019 | 30 y | 0 |
| S•••• P••••• P••••• | Mill Valley, Ca | Jan 1, 2025 | 40 y | 2 |
| W•••••• E••••• M•••••• | Richardson, Tx | Sep 18, 2025 | 29 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- J•••• S•••••• C••• to R••••• W• B•••• • C•• I•••••••••May 18, 2016 · Other
Joined, latest
- S•••• P••••• P••••• from C••••••••• C•••••• M•••••••••Jan 1, 2025 · Other
- J•••• S•••••• C••• from C••••••••• C•••••• M•••••••••Jan 11, 2016 · Other
- E•••••• S••••• E•••• from G•••••• C•••••• M••••••••• L••Dec 2, 2015 · Other
- M•••••• A•••• P•••••• from G•••••• C•••••• M••••••••• L••Dec 2, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C••••••••• C•••••• M•••••••••Dec 31, 2015 · Mill Valley, Ca
- 2 joined from G•••••• C•••••• M••••••••• L••Jan 6, 2015 · Mill Valley, Ca
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•••••• C•••••• S••••••••• L• C•••• A•• •••••• G•••••• C•••••• S••••••••• T•••• R•••••• | Hedge Fund | $8.1M | 17 | Oct 19, 2015 |
| G•••••• C•••••• S••••••••• L• C•••• C•• •••••• G•••••• C•••••• S••••••••• I•••••• | Hedge Fund | $6.1M | 13 | Oct 19, 2015 |
Owners and control persons
Schedule A and B, latest filing
- E••••• E••••••• S••••• · Managing Member, Chief Compliance Officercontrolsince 12/2011 · owns 50% to 75%
- P••••••• M••••••• A•••• · Managing Membercontrolsince 12/2011 · owns 25% to 50%
Related persons
Schedule D 7.A
- G•••••• C•••••• M••••••••• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mill Valley, Ca · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Palm Desert, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 343 to 362Sep 25, 2025 to Mar 19, 2026
- Advisory employees · 4 to 5Sep 25, 2025 to Mar 19, 2026
- BD registered reps · 4 to 5Sep 25, 2025 to Mar 19, 2026
- HNW clients · 112 to 114Sep 25, 2025 to Mar 19, 2026
- Employees · 5 to 7Sep 25, 2025 to Mar 19, 2026
- State-registered IARs · 4 to 5Sep 25, 2025 to Mar 19, 2026
- Discretionary RAUM · $348M to $489MSep 25, 2025 to Mar 19, 2026
- HNW RAUM · $348M to $489MSep 25, 2025 to Mar 19, 2026
- RAUM · $348M to $489MSep 25, 2025 to Mar 19, 2026
- Advisory activities · 4 to 3Mar 19, 2025 to Sep 25, 2025
- Pooled vehicle clients · 2.0 to unsetMar 19, 2025 to Sep 25, 2025
- Assets in custody · 14403226.0 to unsetMar 19, 2025 to Sep 25, 2025
- Custody of client assets · true to falseMar 19, 2025 to Sep 25, 2025
- Private funds · 2 to unsetMar 19, 2025 to Sep 25, 2025
- Discretionary RAUM · $364M to $348MMar 19, 2025 to Sep 25, 2025
- Pooled vehicle RAUM · 15509382.0 to unsetMar 19, 2025 to Sep 25, 2025
- RAUM · $364M to $348MMar 19, 2025 to Sep 25, 2025
- Related adviser · false to trueMar 19, 2025 to Sep 25, 2025
- Accounts · 323 to 343Mar 11, 2024 to Mar 19, 2025
- HNW clients · 92 to 112Mar 11, 2024 to Mar 19, 2025
- Assets in custody · $13.4M to $14.4MMar 11, 2024 to Mar 19, 2025
- Financial planning clients · 1-10 to 1-10Mar 11, 2024 to Mar 19, 2025
- Discretionary RAUM · $343M to $364MMar 11, 2024 to Mar 19, 2025
- HNW RAUM · $328M to $348MMar 11, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $14.2M to $15.5MMar 11, 2024 to Mar 19, 2025
- RAUM · $343M to $364MMar 11, 2024 to Mar 19, 2025
- Accounts · 314 to 323Mar 8, 2023 to Mar 11, 2024
- HNW clients · 89 to 92Mar 8, 2023 to Mar 11, 2024
- Individual clients · 7.0 to unsetMar 8, 2023 to Mar 11, 2024
- Assets in custody · $11.9M to $13.4MMar 8, 2023 to Mar 11, 2024
- Discretionary RAUM · $271M to $343MMar 8, 2023 to Mar 11, 2024
- HNW RAUM · $255M to $328MMar 8, 2023 to Mar 11, 2024
- Individual RAUM · 1179554.0 to unsetMar 8, 2023 to Mar 11, 2024
- Pooled vehicle RAUM · $14.4M to $14.2MMar 8, 2023 to Mar 11, 2024
- RAUM · $271M to $343MMar 8, 2023 to Mar 11, 2024
- Accounts · 292 to 314Mar 3, 2022 to Mar 8, 2023
- HNW clients · 71 to 89Mar 3, 2022 to Mar 8, 2023
- Individual clients · unset to 7.0Mar 3, 2022 to Mar 8, 2023
- Assets in custody · $14.8M to $11.9MMar 3, 2022 to Mar 8, 2023
- Employees · 6 to 5Mar 3, 2022 to Mar 8, 2023
Signals
2 dated events
- G•••••• W••••• A•••••••• L•• reported RAUM $488.7M, up 40% from $348.1M (2025-09-25 to 2026-03-19)Mar 19, 2026 · RAUM change · derived
- G•••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Oct 19, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- G•••••• W••••• A•••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 415-383-9990reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 760-209-5028reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 833-467-3426reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 833-467-3426reportedpublic record, Form ADV, Mar 19, 2026
- Contact form
- gordianwa.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $97.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026