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•••• A•••• M•••••••••

Former SEC-registered adviserSanta Ana, CaliforniaCRD 299649SEC 801-114659IAPD
Legal name G••••• S•••• A•••• M••••••••• L••
Latest filing Mar 25, 2021
First filing on the tape Jan 3, 2019 · 9 filings
RAUM
$218M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$218M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$218M as of Mar 25, 2021
Feb 28, 2020$119M then
HNW client RAUM$106M as of Mar 25, 2021
Feb 28, 2020$33.2M then
State-registered IARs (5.B.3)4 as of Mar 25, 2021
Feb 28, 20204 then
Employees (5.A)8 as of Mar 25, 2021
Feb 28, 20204 then
Private funds: no history
RAUM +84% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Mar 25, 2021; every figure names its basis
RAUM per advisor
$54.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
246derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$454,192derivedHNW RAUM over HNW clients
Average account
$189,330derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+84%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+89%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • Individuals$112M52%
  • High-net-worth individuals$106M48%
Individual clients
751reported
HNW clients
233reported
Pension plan clients
7reported
Charitable clients
1reported
Accounts
1,153reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
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 12/2018 · owns 25% to 50%
  • F••••••• K••• · Membercontrol
    since 12/2018 · owns 25% to 50%
  • J••••••••• P••••••• M•••••• · Managing Member & Chief Compliance Officercontrol
    since 12/2018 · owns 25% to 50%
  • N••••• J•••• E•••• · Managing Membercontrol
    since 12/2018 · owns 25% to 50%
Related persons
Schedule D 7.A
Advisers that list G••••• S•••• A•••• M••••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
  • Fort Bragg, CA3 employees
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 520 to 1,153
    Jan 4, 2021 to Mar 25, 2021
  • Advisory employees · 4 to 5
    Jan 4, 2021 to Mar 25, 2021
  • BD registered reps · 3 to 4
    Jan 4, 2021 to Mar 25, 2021
  • Charity clients · 0 to 1
    Jan 4, 2021 to Mar 25, 2021
  • Corporate clients · 0 to 2
    Jan 4, 2021 to Mar 25, 2021
  • HNW clients · 27 to 233
    Jan 4, 2021 to Mar 25, 2021
  • Individual clients · 493 to 751
    Jan 4, 2021 to Mar 25, 2021
  • Pension plan clients · 0 to 7
    Jan 4, 2021 to Mar 25, 2021
  • Employees · 4 to 8
    Jan 4, 2021 to Mar 25, 2021
  • Insurance-licensed employees · 4 to 5
    Jan 4, 2021 to Mar 25, 2021
  • Discretionary RAUM · $119M to $218M
    Jan 4, 2021 to Mar 25, 2021
  • HNW RAUM · $33.2M to $106M
    Jan 4, 2021 to Mar 25, 2021
  • Individual RAUM · $85.7M to $112M
    Jan 4, 2021 to Mar 25, 2021
  • RAUM · $119M to $218M
    Jan 4, 2021 to Mar 25, 2021
  • Wrap assets (manager) · 236757.0 to unset
    Sep 17, 2020 to Oct 22, 2020
  • Wrap assets (sponsor) · 0.0 to unset
    Sep 17, 2020 to Oct 22, 2020
  • Accounts · 3 to 520
    Aug 30, 2019 to Feb 28, 2020
  • Charity clients · unset to 0.0
    Aug 30, 2019 to Feb 28, 2020
  • Corporate clients · unset to 0.0
    Aug 30, 2019 to Feb 28, 2020
  • HNW clients · 0 to 27
    Aug 30, 2019 to Feb 28, 2020
  • Individual clients · 0 to 493
    Aug 30, 2019 to Feb 28, 2020
  • Pension plan clients · unset to 0.0
    Aug 30, 2019 to Feb 28, 2020
  • Pooled vehicle clients · unset to 0.0
    Aug 30, 2019 to Feb 28, 2020
  • Employees · 8 to 4
    Aug 30, 2019 to Feb 28, 2020
  • Other offices · 1 to 2
    Aug 30, 2019 to Feb 28, 2020
  • Discretionary RAUM · $122M to $119M
    Aug 30, 2019 to Feb 28, 2020
  • HNW RAUM · $0 to $33.2M
    Aug 30, 2019 to Feb 28, 2020
  • Individual RAUM · $0 to $85.7M
    Aug 30, 2019 to Feb 28, 2020
  • Pension RAUM · unset to 0.0
    Aug 30, 2019 to Feb 28, 2020
  • Pooled vehicle RAUM · unset to 0.0
    Aug 30, 2019 to Feb 28, 2020
  • RAUM · $122M to $119M
    Aug 30, 2019 to Feb 28, 2020
  • Wrap assets (manager) · unset to 236757.0
    Aug 30, 2019 to Feb 28, 2020
  • Wrap assets (sponsor) · unset to 0.0
    Aug 30, 2019 to Feb 28, 2020
  • Accounts · 0 to 3
    Jan 31, 2019 to Aug 30, 2019
  • Discretionary RAUM · $0 to $122M
    Jan 31, 2019 to Aug 30, 2019
  • RAUM · $0 to $122M
    Jan 31, 2019 to Aug 30, 2019
Signals
7 dated events
  • 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
  • K••• F•••••• left G••••• S•••• A•••• M••••••••• for A••••••• A•••• M••••••••• L•• (registered 2022-03-25)
    Mar 14, 2022 · Advisor changed firm · fact
  • J••• E•••• N•••• left G••••• S•••• A•••• M••••••••• for A••••••• A•••• M••••••••• L•• (registered 2022-03-25)
    Mar 14, 2022 · Advisor changed firm · fact
  • D••••• R••••• C••••• left G••••• S•••• A•••• M••••••••• for G••••• S•••• W••••• M••••••••• L•• (registered 2021-12-06)
    Mar 14, 2022 · Advisor changed firm · fact
  • P•••••• M•••••• J••••••••• left G••••• S•••• A•••• M••••••••• for A••••••• A•••• M••••••••• L•• (registered 2022-03-25)
    Mar 14, 2022 · Advisor changed firm · fact
  • G••••• S•••• A•••• M•••••••••'s advisors moved to A••••••• A•••• M••••••••• L•• (Santa Ana, CA): 3 of 4 registered, on the same day
    Mar 14, 2022 · Firm absorbed (people side) · derived
  • G••••• S•••• A•••• M••••••••• filed its initial SEC registration (Form ADV)
    Jan 3, 2019 · 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