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•••••• M••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Dec 15, 2020 · 16 filings
SEC status approved since Jan 15, 2021
RAUM
$439M
reported, Item 5.F
Discretionary
100%
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
10
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$439M as of Mar 24, 2026
Mar 25, 2022$653M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 25, 20220 then
Employees (5.A)10 as of Mar 24, 2026
Mar 25, 202211 then
Private funds4 as of Mar 24, 2026
Mar 25, 20226 then
RAUM -13% over the last fiscal year-6.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
- 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
- $110MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- -13%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$439M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G••••••••• G••••• I• L• | Private Equity Fund | $370M | 108 | Mar 25, 2022 |
| P••••••••• V••••••• I•• L••• | Private Equity Fund | $159M | 108 | Dec 11, 2018 |
| G••••••••• M••••••• S••• L•• | Venture Capital Fund | $19.4M | 22 | Mar 25, 2022 |
| P••••••••• V•••••••• L••• | Venture Capital Fund | $10.5M | 53 | Feb 19, 2019 |
| O••• S••• L•• | Venture Capital Fund | $9.2M | 24 | Mar 25, 2022 |
| P••••••••• V••••••• I•••• L••• | Private Equity Fund | $4.0M | 11 | Jun 3, 2020 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• K••••• G••••• · Managing Directorcontrolsince 06/2018 · owns 10% to 25%
- G••••• D•••••• S•••• · Managing Directorcontrolsince 06/2018 · owns 25% to 50%
- Q••••• L••••• A•••• · Chief Compliance Officercontrolsince 07/2023 · owns less than 5%
- R•••••••• M•••• S•••••• · Managing Directorcontrolsince 06/2018 · owns 25% to 50%
Related persons
Schedule D 7.A
- G••••••••• I• L••pooled vehicle sponsorn
- P••••••••• I•• L••pooled vehicle sponsorn
- P••••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Venice, CA4 employees
What changed
consecutive filings, newest first
- Accounts · 6 to 4Mar 27, 2025 to Mar 24, 2026
- Pooled vehicle clients · 6 to 4Mar 27, 2025 to Mar 24, 2026
- Employees · 13 to 10Mar 27, 2025 to Mar 24, 2026
- Private funds · 6 to 4Mar 27, 2025 to Mar 24, 2026
- Discretionary RAUM · $504M to $439MMar 27, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $504M to $439MMar 27, 2025 to Mar 24, 2026
- RAUM · $504M to $439MMar 27, 2025 to Mar 24, 2026
- Advisory employees · 8 to 6Mar 27, 2024 to Mar 27, 2025
- Assets in custody · $572M to $0Mar 27, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $572M to $504MMar 27, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $572M to $504MMar 27, 2024 to Mar 27, 2025
- RAUM · $572M to $504MMar 27, 2024 to Mar 27, 2025
- Business name · P••••••••• M••••••••• L•• to G••••••••• C•••••• M••••••••• L••Aug 8, 2023 to Mar 27, 2024
- Assets in custody · $0 to $572MAug 8, 2023 to Mar 27, 2024
- Employees · 11 to 13Aug 8, 2023 to Mar 27, 2024
- Legal name · P••••••••• M••••••••• L•• to G••••••••• C•••••• M••••••••• L••Aug 8, 2023 to Mar 27, 2024
- Discretionary RAUM · $544M to $572MAug 8, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $544M to $572MAug 8, 2023 to Mar 27, 2024
- RAUM · $544M to $572MAug 8, 2023 to Mar 27, 2024
- Advisory employees · 7 to 8Feb 16, 2023 to Mar 28, 2023
- Discretionary RAUM · $653M to $544MFeb 16, 2023 to Mar 28, 2023
- Pooled vehicle RAUM · $653M to $544MFeb 16, 2023 to Mar 28, 2023
- RAUM · $653M to $544MFeb 16, 2023 to Mar 28, 2023
- HQ city · HERMOSA BEACH to MILL VALLEYMar 30, 2022 to Feb 16, 2023
- Accounts · 3 to 6Nov 2, 2021 to Mar 25, 2022
- Advisory employees · 6 to 7Nov 2, 2021 to Mar 25, 2022
- Pooled vehicle clients · 3 to 6Nov 2, 2021 to Mar 25, 2022
- Assets in custody · $235M to $0Nov 2, 2021 to Mar 25, 2022
- Employees · 8 to 11Nov 2, 2021 to Mar 25, 2022
- Private funds · 3 to 6Nov 2, 2021 to Mar 25, 2022
- Discretionary RAUM · $235M to $653MNov 2, 2021 to Mar 25, 2022
- Pooled vehicle RAUM · $235M to $653MNov 2, 2021 to Mar 25, 2022
- RAUM · $235M to $653MNov 2, 2021 to Mar 25, 2022
- Private funds · 6 to 3Dec 15, 2020 to Dec 21, 2020
Signals
11 dated events
- Nmn T.K. Pillan (Managing Director) no longer on Schedule A of G••••••••• C•••••• M••••••••• L•• (listed 2023-08-08, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- April Laura Quine (Chief Compliance Officer) appeared on Schedule A of G••••••••• C•••••• M••••••••• L••Jul 31, 2023 · Control person joined · fact
- Francis Dave Reed (Chief Compliance Officer And Chief Financial Officer) no longer on Schedule A of G••••••••• C•••••• M••••••••• L•• (listed 2023-06-05, absent 2023-07-31)Jul 31, 2023 · Control person left · inference
- Marie Kathryn Cicoletti (Chief Operating Officer) no longer on Schedule A of G••••••••• C•••••• M••••••••• L•• (listed 2023-06-05, absent 2023-07-31)Jul 31, 2023 · Control person left · inference
- Marie Kathryn Cicoletti (Chief Operating Officer) appeared on Schedule A of G••••••••• C•••••• M••••••••• L••Mar 28, 2023 · Control person joined · fact
- G••••••••• C•••••• M••••••••• L•• reported RAUM $653.1M, up 178% from $235.3M (2021-11-02 to 2022-03-25)Mar 25, 2022 · RAUM change · derived
- Francis Dave Reed (Chief Compliance Officer And Chief Financial Officer) appeared on Schedule A of G••••••••• C•••••• M••••••••• L••Nov 2, 2021 · Control person joined · fact
- M•••••• G•••••• Y•••• (Chief Compliance Officer And Chief Financial Officer) no longer on Schedule A of G••••••••• C•••••• M••••••••• L•• (listed 2021-04-13, absent 2021-11-02)Nov 2, 2021 · Control person left · inference
- Anthony Richard Schnuerer (Cco/ Vp Of Finance And Operations) no longer on Schedule A of G••••••••• C•••••• M••••••••• L•• (listed 2020-12-21, absent 2021-04-13)Apr 13, 2021 · Control person left · inference
- M•••••• G•••••• Y•••• (Chief Compliance Officer And Chief Financial Officer) appeared on Schedule A of G••••••••• C•••••• M••••••••• L••Apr 13, 2021 · Control person joined · fact
- P••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 15, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- G••••••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- G••••••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
- G••••••••• C•••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/groundforcecapital/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- groundforcecapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-203-5681reportedpublic record, Form ADV, Mar 24, 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
- Asset manager (funds and pooled vehicles)deriveda 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