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

G••••• S•••• E••••• A•••••••• L••

Former SEC-registered adviserSouth Coast Metro, CaliforniaCRD 289796SEC 801-112013IAPD
Latest filing Sep 19, 2022
First filing on the tape Oct 9, 2017 · 38 filings
RAUM
$405M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$404M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
24
16 advisory (5.B.1)
Offices
11
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$405M as of Mar 8, 2022
Feb 26, 2018$0 then
HNW client RAUM$273M as of Mar 8, 2022
Jan 21, 2019$5.9M then
State-registered IARs (5.B.3)16 as of Mar 8, 2022
Feb 26, 20181 then
Employees (5.A)24 as of Mar 8, 2022
Feb 26, 20181 then
Private funds: no history
RAUM +69% over the last fiscal year+145% a year over threeIARs 7 to 16offices 4 to 11
Practice profile
derived from the filing of Sep 19, 2022; every figure names its basis
RAUM per advisor
$25.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
43derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$302,397derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
1.3derived12 offices incl. principal (1.F.5)
RAUM growth, one year
+69%derivedbetween the last two annual amendments
Advisor growth, one year
+129%derivedItem 5.B.3 between annual amendments
Client growth, one year
+122%derived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Wrap fee program
$57.9MreportedItem 5.I
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$273M67%
  • Individuals$131M32%
  • Corporations and businesses$1.0M0.2%
Individual clients
575reported
HNW clients
108reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,340reported
Financial planning clients
26-50reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C•••••• D•••••• R••••• · Managing Membercontrol
    since 01/2019 · owns 25% to 50%
  • J••••••••• P••••••• M•••••• · Managing Member & Chief Compliance Officercontrol
    since 03/2018 · owns 25% to 50%
  • N••••• J•••• E•••• · Managing Membercontrol
    since 11/2017 · owns 25% to 50%
Related persons
Schedule D 7.A
Advisers that list G••••• S•••• E••••• A•••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
  • North Bend, WA2 employees
  • Holladay, UT1 employees
  • Irvine, CA1 employees
  • Las Cruces, NM1 employees
  • Las Cruces, NM1 employees
  • Newport Beach, CA1 employees
  • Nokomis, FL1 employees
  • Palm Desert, CA1 employees
  • Southl•••, TX1 employees
  • Barrigada, GU1 employees
  • Troy, MI1 employees
What changed
consecutive filings, newest first
  • Business name · G••••• S•••• E••••• P•••••••• L•• to G••••• S•••• E••••• A•••••••• L••
    Jul 12, 2022 to Sep 19, 2022
  • Legal name · G••••• S•••• E••••• P•••••••• L•• to G••••• S•••• E••••• A•••••••• L••
    Jul 12, 2022 to Sep 19, 2022
  • Other offices · 10 to 11
    Sep 19, 2022 to Sep 19, 2022
  • Other offices · 4 to 10
    Jun 28, 2022 to Jul 12, 2022
  • Advisory employees · 15 to 16
    Jun 24, 2022 to Jun 28, 2022
  • Employees · 23 to 24
    Jun 24, 2022 to Jun 28, 2022
  • Advisory employees · 16 to 15
    May 5, 2022 to Jun 24, 2022
  • Employees · 24 to 23
    May 5, 2022 to Jun 24, 2022
  • Accounts · 445 to 1,340
    Nov 9, 2021 to Mar 8, 2022
  • Advisory employees · 8 to 16
    Nov 9, 2021 to Mar 8, 2022
  • BD registered reps · 2 to 3
    Nov 9, 2021 to Mar 8, 2022
  • Corporate clients · 3 to 2
    Nov 9, 2021 to Mar 8, 2022
  • HNW clients · 98 to 108
    Nov 9, 2021 to Mar 8, 2022
  • Individual clients · 209 to 575
    Nov 9, 2021 to Mar 8, 2022
  • Employees · 11 to 24
    Nov 9, 2021 to Mar 8, 2022
  • Insurance-licensed employees · 3 to 4
    Nov 9, 2021 to Mar 8, 2022
  • State-registered IARs · 7 to 16
    Nov 9, 2021 to Mar 8, 2022
  • Discretionary RAUM · $239M to $405M
    Nov 9, 2021 to Mar 8, 2022
  • HNW RAUM · $193M to $273M
    Nov 9, 2021 to Mar 8, 2022
  • Individual RAUM · $45.8M to $131M
    Nov 9, 2021 to Mar 8, 2022
  • RAUM · $239M to $405M
    Nov 9, 2021 to Mar 8, 2022
  • Accounts · 82 to 445
    Feb 26, 2021 to Mar 25, 2021
  • Advisory employees · 2 to 8
    Feb 26, 2021 to Mar 25, 2021
  • BD registered reps · 3 to 2
    Feb 26, 2021 to Mar 25, 2021
  • Corporate clients · unset to 3.0
    Feb 26, 2021 to Mar 25, 2021
  • HNW clients · 3 to 98
    Feb 26, 2021 to Mar 25, 2021
  • Individual clients · 61 to 209
    Feb 26, 2021 to Mar 25, 2021
  • Employees · 4 to 11
    Feb 26, 2021 to Mar 25, 2021
  • Insurance-licensed employees · 4 to 3
    Feb 26, 2021 to Mar 25, 2021
  • Financial planning clients · 0 to 26-50
    Feb 26, 2021 to Mar 25, 2021
  • State-registered IARs · 4 to 7
    Feb 26, 2021 to Mar 25, 2021
  • Discretionary RAUM · $19.9M to $239M
    Feb 26, 2021 to Mar 25, 2021
  • HNW RAUM · $3.5M to $193M
    Feb 26, 2021 to Mar 25, 2021
  • Individual RAUM · $16.3M to $45.8M
    Feb 26, 2021 to Mar 25, 2021
  • RAUM · $19.9M to $239M
    Feb 26, 2021 to Mar 25, 2021
  • Other offices · 3 to 4
    Oct 9, 2020 to Feb 18, 2021
  • Other offices · 2 to 3
    Sep 14, 2020 to Oct 9, 2020
  • Other offices · 1 to 2
    Mar 6, 2020 to Apr 20, 2020
  • Accounts · 146 to 82
    Sep 24, 2019 to Mar 6, 2020
  • Advisory employees · 3 to 2
    Sep 24, 2019 to Mar 6, 2020
Signals
25 dated events
  • F•••••••• B••• S•••• left G••••• S•••• E••••• A•••••••• L•• for A••••••• I••••••••• A•••••••• L•• (registered 2022-09-20)
    Sep 21, 2022 · Advisor changed firm · fact
  • T••• A•••• S•••••••• left G••••• S•••• E••••• A•••••••• L•• for A••••••• I••••••••• A•••••••• L•• (registered 2022-09-16)
    Sep 20, 2022 · Advisor changed firm · fact
  • N••••• G•••••• E••••••• left G••••• S•••• E••••• A•••••••• L•• for A••••••• I••••••••• A•••••••• L•• (registered 2022-09-19)
    Sep 20, 2022 · Advisor changed firm · fact
  • J•••••••• S•••• A••• left G••••• S•••• E••••• A•••••••• L•• for A••••••• I••••••••• A•••••••• L•• (registered 2022-09-15)
    Sep 20, 2022 · Advisor changed firm · fact
  • S•••••• A•••• K••••• left G••••• S•••• E••••• A•••••••• L•• for A••••••• I••••••••• A•••••••• L•• (registered 2022-09-16)
    Sep 20, 2022 · Advisor changed firm · fact
  • J••• E•••• N•••• left G••••• S•••• E••••• A•••••••• L•• for G••••• S•••• A•••• M••••••••• (registered 2020-07-10)
    Sep 20, 2022 · Advisor changed firm · fact
  • 2 advisors left G••••• S•••• E••••• A•••••••• L•• (South Coast Metro, CA) for G••••• S•••• A•••• M••••••••• on the same day
    Sep 20, 2022 · Team lift-out · derived
  • J••• D•••• P•• left G••••• S•••• E••••• A•••••••• L•• for A••••••• I••••••••• A•••••••• L•• (registered 2022-09-16)
    Sep 20, 2022 · Advisor changed firm · fact
  • D•••• M•••••• E••••••• left G••••• S•••• E••••• A•••••••• L•• for A••••••• I••••••••• A•••••••• L•• (registered 2022-09-16)
    Sep 20, 2022 · Advisor changed firm · fact
  • J••••••• M••••• L••••• left G••••• S•••• E••••• A•••••••• L•• for A••••••• I••••••••• A•••••••• L•• (registered 2022-09-16)
    Sep 20, 2022 · Advisor changed firm · fact
  • G••••• S•••• E••••• A•••••••• L••'s advisors moved to A••••••• I••••••••• A•••••••• L•• (South Coast Metro, CA): 10 of 18 registered, on the same day
    Sep 20, 2022 · Firm absorbed (people side) · derived
  • W•••••• D••• B••••• left G••••• S•••• E••••• A•••••••• L•• for A••••••• I••••••••• A•••••••• L•• (registered 2022-09-19)
    Sep 20, 2022 · Advisor changed firm · fact
  • J••••• V••••• P•••••• left G••••• S•••• E••••• A•••••••• L•• for A••••••• I••••••••• A•••••••• L•• (registered 2025-01-01)
    Sep 20, 2022 · Advisor changed firm · fact
  • M•••• D•••• P••••• left G••••• S•••• E••••• A•••••••• L•• for A••••••• I••••••••• A•••••••• L•• (registered 2022-09-16)
    Sep 20, 2022 · Advisor changed firm · fact
  • P•••••• M•••••• J••••••••• left G••••• S•••• E••••• A•••••••• L•• for G••••• S•••• A•••• M••••••••• (registered 2020-07-10)
    Sep 20, 2022 · Advisor changed firm · fact
  • M•••••• T••••• C••••• left G••••• S•••• E••••• A•••••••• L•• for A••••••• I••••••••• A•••••••• L•• (registered 2022-09-15)
    Sep 20, 2022 · Advisor changed firm · fact
  • K•••• A••• Y•••• left G••••• S•••• E••••• A•••••••• L•• for A••••••• I••••••••• A•••••••• L•• (registered 2022-09-20)
    Sep 20, 2022 · Advisor changed firm · fact
  • D•••• E••••• L••••••• left G••••• S•••• E••••• A•••••••• L•• for A••••••• I••••••••• A•••••••• L•• (registered 2022-09-16)
    Sep 20, 2022 · Advisor changed firm · fact
  • L•• B••••• J•••• left G••••• S•••• E••••• A•••••••• L•• for A••••••• I••••••••• A•••••••• L•• (registered 2022-09-16)
    Sep 20, 2022 · Advisor changed firm · fact
  • T•••••• J••• D••• left G••••• S•••• E••••• A•••••••• L•• for A••••••• I••••••••• A•••••••• L•• (registered 2022-09-16)
    Sep 20, 2022 · Advisor changed firm · fact
  • G••••• S•••• E••••• A•••••••• L•• reported 10 offices beyond its principal office, up from 4 (2022-06-28 to 2022-07-12)
    Jul 12, 2022 · Office count change · derived
  • G••••• S•••• E••••• A•••••••• L•• reported RAUM $405.2M, up 69% from $239.2M (2021-11-09 to 2022-03-08)
    Mar 8, 2022 · RAUM change · derived
  • J••••• K••• V•••••• left G••••• S•••• E••••• A•••••••• L•• for L••• A••••• F•••••••• L•• (registered 2022-01-10)
    Jan 10, 2022 · Advisor changed firm · fact
  • Robert Daniel C••••• (Managing Member) appeared on Schedule A of G••••• S•••• E••••• A•••••••• L••
    Jan 21, 2019 · Control person joined · fact
  • R•••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Oct 9, 2017 · 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