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•••• P•••••• W••••• M•••••••••
Legal name G•••• P•••••• W••••• M••••••••• I•••
Latest filing Sep 10, 2026
First filing on the tape Jul 17, 2024 · 9 filings
SEC status approved since Aug 16, 2024
RAUM
$255M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$255M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$42.5M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$255M as of Jun 3, 2026
Feb 11, 2025$134M then
HNW client RAUM$220M as of Jun 3, 2026
Feb 11, 2025$104M then
State-registered IARs (5.B.3)5 as of Jun 3, 2026
Feb 11, 20254 then
Employees (5.A)5 as of Jun 3, 2026
Feb 11, 20254 then
Private funds: no history
RAUM +90% over the last fiscal yearIARs 4 to 6
Practice profile
derived from the filing of Sep 10, 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
- RAUM per advisor
- $42.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $448,138derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%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
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +47%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +18%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 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$220M86%
- Individuals$34.8M14%
- Individual clients
- 127reported
- HNW clients
- 111reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 569reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••• K••••••••• T•••••••••Certified Financial Planner | Pleasanton, Ca | Jun 15, 2022 | 19 y | 2 |
| L••••••• T••••••••• | Pleasanton, Ca | Jun 15, 2022 | 15 y | 0 |
| J•••••• B••••• K•••••• | Pleasanton, Ca | Feb 11, 2025 | 19 y | 3 |
| T•••• Z••••••••• | Pleasanton, Ca | May 9, 2025 | 10 y | 0 |
| D•••• C•••••• H•••Chartered Financial Analyst | Pleasanton, Ca | Jun 3, 2026 | 35 y | 0 |
| F••••• S••••••• | Pleasanton, Ca | Sep 10, 2026 | 20 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 17% of current headcount2 left over 36 months
Left, latest
- L•••••• A••••• A•••••• to M••••••Feb 27, 2026 · RIA to affiliated broker-dealer or bank
- P••••••• S••••• to T•••• B••• C•••••• L••May 6, 2024 · RIA to RIA
Joined, latest
- J•••••• B••••• K•••••• from S•••••••• A••••••• L••Feb 11, 2025 · Affiliated broker-dealer or bank to independent RIA
- P••••••• S••••• from F••••••• P••••••• A•• W•••••••• A•••••••Mar 8, 2024 · Affiliated broker-dealer or bank to independent RIA
- G•••• K••••••••• T••••••••• from S•••••••• A••••••• L••Jun 15, 2022 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••••••• G••••• K••••••••• · Chief Compliance Officer/Chief Financial Officercontrolsince 01/2021 · owns 50% to 75%
- T••••••••• L••••••• · Chief Operations Officercontrolsince 01/2021 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Pleasanton, Ca · principal | 6 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Walnut Creek, CA2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Feb 27, 2026RAUM (Item 5.F) moved from $133,883,000 to $196,273,760 (+47.0%) between the annual amendments of 2025-02-11 and 2026-02-27; the peer median change was +15.0% (4550 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 95% percentile
What changed
consecutive filings, newest first
- Advisory employees · 5 to 6Jun 3, 2026 to Sep 10, 2026
- Employees · 5 to 6Jun 3, 2026 to Sep 10, 2026
- Financial planning clients · 1-10 to 1-10Jun 3, 2026 to Sep 10, 2026
- State-registered IARs · 5 to 6Jun 3, 2026 to Sep 10, 2026
- Related adviser · false to unsetJun 3, 2026 to Sep 10, 2026
- Related bank · false to unsetJun 3, 2026 to Sep 10, 2026
- Related broker-dealer · false to unsetJun 3, 2026 to Sep 10, 2026
- Related insurance company · false to unsetJun 3, 2026 to Sep 10, 2026
- Succession · false to unsetJun 3, 2026 to Sep 10, 2026
- Accounts · 482 to 569Feb 27, 2026 to Jun 3, 2026
- HNW clients · 71 to 111Feb 27, 2026 to Jun 3, 2026
- Individual clients · 140 to 127Feb 27, 2026 to Jun 3, 2026
- Discretionary RAUM · $194M to $252MFeb 27, 2026 to Jun 3, 2026
- HNW RAUM · $159M to $220MFeb 27, 2026 to Jun 3, 2026
- Individual RAUM · $37.5M to $34.8MFeb 27, 2026 to Jun 3, 2026
- Non-discretionary RAUM · $2.7M to $2.9MFeb 27, 2026 to Jun 3, 2026
- RAUM · $196M to $255MFeb 27, 2026 to Jun 3, 2026
- Accounts · 416 to 482Sep 16, 2025 to Feb 27, 2026
- Advisory employees · 6 to 5Sep 16, 2025 to Feb 27, 2026
- HNW clients · 62 to 71Sep 16, 2025 to Feb 27, 2026
- Individual clients · 117 to 140Sep 16, 2025 to Feb 27, 2026
- Employees · 6 to 5Sep 16, 2025 to Feb 27, 2026
- Financial planning clients · 0 to 1-10Sep 16, 2025 to Feb 27, 2026
- State-registered IARs · 6 to 5Sep 16, 2025 to Feb 27, 2026
- Discretionary RAUM · $134M to $194MSep 16, 2025 to Feb 27, 2026
- HNW RAUM · $104M to $159MSep 16, 2025 to Feb 27, 2026
- Individual RAUM · $30.0M to $37.5MSep 16, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $0 to $2.7MSep 16, 2025 to Feb 27, 2026
- RAUM · $134M to $196MSep 16, 2025 to Feb 27, 2026
- Advisory employees · 5 to 6Jun 5, 2025 to Sep 16, 2025
- Employees · 5 to 6Jun 5, 2025 to Sep 16, 2025
- Financial planning clients · 0 to 0Jun 5, 2025 to Sep 16, 2025
- State-registered IARs · 5 to 6Jun 5, 2025 to Sep 16, 2025
- Advisory employees · 4 to 5Feb 11, 2025 to May 9, 2025
- Employees · 4 to 5Feb 11, 2025 to May 9, 2025
- State-registered IARs · 4 to 5Feb 11, 2025 to May 9, 2025
- Accounts · 379 to 416Aug 22, 2024 to Feb 11, 2025
- Advisory employees · 3 to 4Aug 22, 2024 to Feb 11, 2025
- HNW clients · 58 to 62Aug 22, 2024 to Feb 11, 2025
- Individual clients · 105 to 117Aug 22, 2024 to Feb 11, 2025
Signals
3 dated events
- L•••••• A••••• A•••••• left G•••• P•••••• W••••• M••••••••• for Mariner (registered 2026-07-22)Feb 27, 2026 · Advisor changed firm · fact
- G•••• P•••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Jul 17, 2024 · First SEC registration · fact
- P••••••• S••••• left G•••• P•••••• W••••• M••••••••• for T•••• B••• C•••••• L•• (registered 2026-04-13)May 6, 2024 · Advisor changed firm · 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
- 925-378-5000reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- grantprivate.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 925-378-5000reportedpublic record, Form ADV, Sep 10, 2026
- Contact form
- grantprivate.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- grantprivate.com/who-we-arereportedpublished by the firm, firm site, Sep 15, 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
- $42.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026