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••••••••• C•••••• L••
Latest filing Mar 17, 2026
First filing on the tape Jun 11, 2021 · 14 filings
SEC status approved since Aug 18, 2021
RAUM
$192M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$191M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$96.2M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$192M as of Mar 17, 2026
Mar 12, 2022$168M then
HNW client RAUM$150M as of Mar 17, 2026
Mar 12, 2022$124M then
State-registered IARs (5.B.3)2 as of Mar 17, 2026
Mar 12, 20222 then
Employees (5.A)2 as of Mar 17, 2026
Mar 12, 20222 then
Private funds: no history
RAUM +8.5% over the last fiscal year+9.9% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $96.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $583,271derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 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)
- 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
- High-net-worth individuals$150M78%
- Individuals$40.3M21%
- Other investment advisers$1.8M0.9%
- Individual clients
- 64reported
- HNW clients
- 71reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 330reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.01 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• A••• G••••••••• | El Segundo, Ca | May 1, 2017 | 34 y | 3 |
| E••••• B•••• | El Segundo, Ca | May 1, 2017 | 21 y | 1 |
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
- M•••• G••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 25, 2018 · RIA to wirehouse
Joined, latest
- B•••• A••• G••••••••• from Q•••••• A•••• M••••••••• I•••May 1, 2017 · Other
- E••••• B•••• from Q•••••• A•••• M••••••••• I•••May 1, 2017 · Other
- M•••• G••••• from Q•••••• A•••• M••••••••• I•••Apr 19, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Q•••••• A•••• M••••••••• I•••Dec 22, 2016 · El Segundo, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• B••••• A••• · Chief Compliance Officercontrolsince 10/2016 · owns less than 5%
- G••••••••• B••••• A••• · Trusteecontrolsince 07/2016 · owns F of T•• G••••••••• T••••
Entity owners
- T•• G••••••••• T•••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| El Segundo, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 17, 2026financial planning (Item 5.G.1): no on the filing of 2025-03-11, yes on the filing of 2026-03-17peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 350 to 330Mar 11, 2025 to Mar 17, 2026
- Advisory activities · 2 to 3Mar 11, 2025 to Mar 17, 2026
- HNW clients · 69 to 71Mar 11, 2025 to Mar 17, 2026
- Individual clients · 71 to 64Mar 11, 2025 to Mar 17, 2026
- Financial planning clients · to 101-250Mar 11, 2025 to Mar 17, 2026
- Discretionary RAUM · $177M to $192MMar 11, 2025 to Mar 17, 2026
- HNW RAUM · $135M to $150MMar 11, 2025 to Mar 17, 2026
- Individual RAUM · $41.2M to $40.3MMar 11, 2025 to Mar 17, 2026
- RAUM · $177M to $192MMar 11, 2025 to Mar 17, 2026
- Accounts · 351 to 350Feb 28, 2024 to Mar 11, 2025
- HNW clients · 64 to 69Feb 28, 2024 to Mar 11, 2025
- Individual clients · 78 to 71Feb 28, 2024 to Mar 11, 2025
- Financial planning clients · unset to Feb 28, 2024 to Mar 11, 2025
- Discretionary RAUM · $158M to $177MFeb 28, 2024 to Mar 11, 2025
- HNW RAUM · $111M to $135MFeb 28, 2024 to Mar 11, 2025
- Individual RAUM · $45.3M to $41.2MFeb 28, 2024 to Mar 11, 2025
- RAUM · $158M to $177MFeb 28, 2024 to Mar 11, 2025
- Accounts · 363 to 351Apr 18, 2023 to Feb 28, 2024
- HNW clients · 56 to 64Apr 18, 2023 to Feb 28, 2024
- Individual clients · 95 to 78Apr 18, 2023 to Feb 28, 2024
- Discretionary RAUM · $145M to $158MApr 18, 2023 to Feb 28, 2024
- HNW RAUM · $90.0M to $111MApr 18, 2023 to Feb 28, 2024
- Individual RAUM · $54.0M to $45.3MApr 18, 2023 to Feb 28, 2024
- RAUM · $145M to $158MApr 18, 2023 to Feb 28, 2024
- Accounts · 361 to 363Dec 5, 2022 to Mar 21, 2023
- HNW clients · 73 to 56Dec 5, 2022 to Mar 21, 2023
- Individual clients · 80 to 95Dec 5, 2022 to Mar 21, 2023
- Discretionary RAUM · $168M to $145MDec 5, 2022 to Mar 21, 2023
- HNW RAUM · $124M to $90.0MDec 5, 2022 to Mar 21, 2023
- Individual RAUM · $42.3M to $54.0MDec 5, 2022 to Mar 21, 2023
- RAUM · $168M to $145MDec 5, 2022 to Mar 21, 2023
- Advisory activities · 3 to 2Nov 11, 2022 to Dec 5, 2022
- Accounts · 366 to 361Sep 16, 2021 to Mar 12, 2022
- HNW clients · 66 to 73Sep 16, 2021 to Mar 12, 2022
- Individual clients · 92 to 80Sep 16, 2021 to Mar 12, 2022
- Discretionary RAUM · $139M to $168MSep 16, 2021 to Mar 12, 2022
- HNW RAUM · $98.2M to $124MSep 16, 2021 to Mar 12, 2022
- Individual RAUM · $39.0M to $42.3MSep 16, 2021 to Mar 12, 2022
- RAUM · $139M to $168MSep 16, 2021 to Mar 12, 2022
Signals
1 dated events
- G••••••••• C•••••• L•• filed its initial SEC registration (Form ADV)Jun 11, 2021 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 310-524-9414reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 310-775-2136reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-260-7854reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/greenshields-capitalreportedpublic record, Form ADV, Sep 18, 2026
- Website
- greenshieldscapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-775-2136reportedpublic record, Form ADV, Mar 17, 2026
- Contact form
- greenshieldscapital.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- greenshieldscapital.com/meet-the-teamreportedpublished 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
- $96.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026