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
D•• A•••••••
Legal name D••••••••• A••••••••• I••••••••• L••
Latest filing Jan 13, 2026
First filing on the tape Mar 12, 2020 · 10 filings
SEC status approved since Apr 13, 2020
RAUM
$330M
reported, Item 5.F
Discretionary
20%
of RAUM
Private clients
100%
$330M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$330M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$330M as of Jan 13, 2026
Mar 6, 2021$41.0M then
HNW client RAUM$330M as of Jan 13, 2026
Mar 6, 2021$40.8M then
State-registered IARs (5.B.3)1 as of Jan 13, 2026
Mar 6, 20211 then
Employees (5.A)1 as of Jan 13, 2026
Mar 6, 20211 then
Private funds: no history
RAUM +35% over the last fiscal year+15% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $330MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $523,239derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 20%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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +35%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$330M100%
- Individual clients
- n/areported
- HNW clients
- 285reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 630reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••••• G••••• D•• | Menlo Park, Ca | Jul 16, 2021 | 17 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••• G••••••••• G••••• · Ccocontrolsince 01/2019 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Jan 13, 2026RAUM (Item 5.F) moved from $244,444,852 to $329,640,421 (+35.0%) between the annual amendments of 2025-02-07 and 2026-01-13; the peer median change was +15.0% (4549 comparable advisers, 90.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 90% percentile
What changed
consecutive filings, newest first
- Accounts · 577 to 630Feb 7, 2025 to Jan 13, 2026
- HNW clients · 257 to 285Feb 7, 2025 to Jan 13, 2026
- HQ city · to MENLO PARKFeb 7, 2025 to Jan 13, 2026
- HQ state · to CAFeb 7, 2025 to Jan 13, 2026
- Discretionary RAUM · $48.4M to $66.7MFeb 7, 2025 to Jan 13, 2026
- HNW RAUM · $244M to $330MFeb 7, 2025 to Jan 13, 2026
- Non-discretionary RAUM · $196M to $263MFeb 7, 2025 to Jan 13, 2026
- RAUM · $244M to $330MFeb 7, 2025 to Jan 13, 2026
- Accounts · 670 to 577Feb 5, 2024 to Feb 7, 2025
- HNW clients · 304 to 257Feb 5, 2024 to Feb 7, 2025
- Financial planning clients · 0 to 0Feb 5, 2024 to Feb 7, 2025
- HQ city · unset to Feb 5, 2024 to Feb 7, 2025
- HQ state · unset to Feb 5, 2024 to Feb 7, 2025
- Discretionary RAUM · $41.3M to $48.4MFeb 5, 2024 to Feb 7, 2025
- HNW RAUM · $271M to $244MFeb 5, 2024 to Feb 7, 2025
- Non-discretionary RAUM · $230M to $196MFeb 5, 2024 to Feb 7, 2025
- RAUM · $271M to $244MFeb 5, 2024 to Feb 7, 2025
- Accounts · 526 to 670Feb 7, 2023 to Feb 5, 2024
- HNW clients · 252 to 304Feb 7, 2023 to Feb 5, 2024
- Discretionary RAUM · $32.6M to $41.3MFeb 7, 2023 to Feb 5, 2024
- HNW RAUM · $218M to $271MFeb 7, 2023 to Feb 5, 2024
- Non-discretionary RAUM · $185M to $230MFeb 7, 2023 to Feb 5, 2024
- RAUM · $218M to $271MFeb 7, 2023 to Feb 5, 2024
- Accounts · 312 to 526Feb 7, 2022 to Feb 7, 2023
- HNW clients · 163 to 252Feb 7, 2022 to Feb 7, 2023
- Discretionary RAUM · $24.7M to $32.6MFeb 7, 2022 to Feb 7, 2023
- HNW RAUM · $102M to $218MFeb 7, 2022 to Feb 7, 2023
- Non-discretionary RAUM · $77.4M to $185MFeb 7, 2022 to Feb 7, 2023
- RAUM · $102M to $218MFeb 7, 2022 to Feb 7, 2023
- Accounts · 221 to 312Jul 16, 2021 to Feb 7, 2022
- HNW clients · 67 to 163Jul 16, 2021 to Feb 7, 2022
- Individual clients · 2.0 to unsetJul 16, 2021 to Feb 7, 2022
- Discretionary RAUM · $15.0M to $24.7MJul 16, 2021 to Feb 7, 2022
- HNW RAUM · $60.9M to $102MJul 16, 2021 to Feb 7, 2022
- Individual RAUM · 437115.0 to unsetJul 16, 2021 to Feb 7, 2022
- Non-discretionary RAUM · $46.4M to $77.4MJul 16, 2021 to Feb 7, 2022
- RAUM · $61.4M to $102MJul 16, 2021 to Feb 7, 2022
- Accounts · 149 to 221Mar 6, 2021 to Jul 16, 2021
- Discretionary RAUM · $9.9M to $15.0MMar 6, 2021 to Jul 16, 2021
- HNW RAUM · $40.8M to $60.9MMar 6, 2021 to Jul 16, 2021
Signals
2 dated events
- D•• A••••••• reported RAUM $217.8M, up 113% from $102.1M (2022-02-07 to 2023-02-07)Feb 7, 2023 · RAUM change · derived
- D•• A••••••• filed its initial SEC registration (Form ADV)Mar 12, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- D•• A••••••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Website
- d•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 510-709-7543reportedpublic record, Form ADV, Jan 13, 2026
- Contact form
- d•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $330Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026