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•••••••••
Legal name G•••• C•••••• M••••••••• L••
Latest filing Apr 28, 2026
First filing on the tape Mar 31, 2022 · 8 filings
SEC status approved since May 2, 2022
RAUM
$295M
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
13
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
16
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$295M as of Apr 28, 2026
Mar 30, 2023$453M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 28, 2026
Mar 30, 20230 then
Employees (5.A)13 as of Apr 28, 2026
Mar 30, 20239 then
Private funds16 as of Apr 28, 2026
Mar 30, 202331 then
RAUM -29% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 28, 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
- $18.5MderivedRAUM 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
- -29%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $295M, 16 clientsreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$295M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 16reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $295M for 16 clientsreported
- Compensation
- 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
42 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•••• C•••••• • S•• 1• | Venture Capital Fund | $62.8M | 12 | Feb 18, 2020 |
| G•••• C•••••• • S•• 9• | Venture Capital Fund | $62.6M | 6 | Feb 18, 2020 |
| G•••• C•••••• • S•• 1• | Venture Capital Fund | $60.0M | 31 | Feb 18, 2020 |
| G•••• C•••••• • S•• 1• | Venture Capital Fund | $51.9M | 37 | Feb 18, 2020 |
| G•••• C•••••• • S•• 7• | Venture Capital Fund | $28.3M | 38 | Feb 18, 2020 |
| G•••• C•••••• • S•• 2• | Venture Capital Fund | $26.2M | 35 | Mar 31, 2021 |
| G•••• C•••••• • S•• 1• | Venture Capital Fund | $10.4M | 4 | Feb 18, 2020 |
| G•••• C•••••• • S•• 2• | Venture Capital Fund | $8.9M | 26 | Mar 31, 2021 |
| G•••• C•••••• • S•• 3• | Venture Capital Fund | $8.4M | 19 | Mar 30, 2023 |
| G•••• C•••••• • S•• 1• | Venture Capital Fund | $7.5M | 33 | Feb 18, 2020 |
| G•••• C•••••• • S•• 4• | Venture Capital Fund | $6.8M | 8 | Feb 18, 2020 |
| G•••• C•••••• • S•• 3•no longer reported | Venture Capital Fund | $6.3M | 2 | Mar 31, 2022 |
| G•••• C•••••• • S•• 2• | Venture Capital Fund | $6.2M | 17 | Mar 31, 2022 |
| G•••• C•••••• • S•• 1• | Venture Capital Fund | $4.6M | 6 | Feb 18, 2020 |
| G•••• C•••••• • S•• 4• | Venture Capital Fund | $4.6M | 23 | Mar 30, 2023 |
| G•••• C•••••• • S•• 2• | Venture Capital Fund | $4.4M | 18 | Mar 31, 2021 |
| G•••• C•••••• • S•• 2• | Venture Capital Fund | $2.8M | 18 | Mar 31, 2022 |
| G•••• C•••••• • S•• 4• | Venture Capital Fund | $2.5M | 20 | Mar 28, 2024 |
| G•••• C•••••• • S•• 3• | Venture Capital Fund | $1.6M | 15 | Feb 18, 2020 |
| G•••• C•••••• • S•• 1• | Venture Capital Fund | $1.6M | 27 | Feb 18, 2020 |
| G•••• C•••••• • S•• 6• | Venture Capital Fund | $1.3M | 33 | Feb 18, 2020 |
| G•••• C•••••• • S•• 3• | Venture Capital Fund | $1.0M | 23 | Mar 30, 2023 |
| G•••• C•••••• • S•• 3•no longer reported | Venture Capital Fund | $1.0M | 2 | Mar 31, 2022 |
| G•••• C•••••• • S•• 3•no longer reported | Venture Capital Fund | $1.0M | 2 | Mar 31, 2022 |
| G•••• C•••••• • S•• 3•no longer reported | Venture Capital Fund | $1.0M | 2 | Mar 31, 2022 |
| G•••• C•••••• • S•• 4• | Venture Capital Fund | $986,248 | 19 | Mar 28, 2024 |
| G•••• C•••••• • S•• 4• | Venture Capital Fund | $848,394 | 20 | Mar 30, 2023 |
| G•••• C•••••• • S•• 2• | Venture Capital Fund | $838,632 | 18 | Mar 31, 2021 |
| G•••• C•••••• • S•• 3• | Venture Capital Fund | $812,500 | 27 | Mar 31, 2022 |
| G•••• C•••••• • S•• 2• | Venture Capital Fund | $165,000 | 12 | Feb 18, 2020 |
| G•••• C•••••• • S•• 5•no longer reported | Venture Capital Fund | $150,397 | 11 | Feb 18, 2020 |
| G•••• C•••••• • S•• 3• | Venture Capital Fund | $11,765 | 4 | Mar 31, 2022 |
| G•••• C•••••• • S•• 8• | Venture Capital Fund | $9,560 | 11 | Feb 18, 2020 |
| G•••• C•••••• • S•• 2• | Venture Capital Fund | $821 | 5 | Feb 18, 2020 |
| G•••• C•••••• • S•• 1• | Venture Capital Fund | $0 | 17 | Feb 18, 2020 |
| G•••• C•••••• • S•• 2• | Venture Capital Fund | $0 | 22 | Mar 31, 2022 |
| G•••• C•••••• • S•• 1•no longer reported | Venture Capital Fund | $0 | 21 | Feb 18, 2020 |
| G•••• C•••••• • S•• 1•no longer reported | Venture Capital Fund | $0 | 10 | Feb 18, 2020 |
| G•••• C•••••• • S•• 1•no longer reported | Venture Capital Fund | $0 | 20 | Feb 18, 2020 |
| G•••• C•••••• • S•• 3• | Venture Capital Fund | $0 | 28 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- Q••••••• H•••••••• J•••• · Chief Financial Officer And Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- S••••••• I•••• M••••• · Chairmancontrolsince 11/2019 · owns 75% or more
- S•••••• P••••••• M••••••••• K••• · Chief Operating Officercontrolsince 09/2022 · owns less than 5%
Related persons
Schedule D 7.A
- G•••• C•••••• I• L••pooled vehicle sponsorn
- G•••• C•••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Santa Monica, CA4 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Apr 28, 2026RAUM (Item 5.F) moved from $417,515,374 to $295,235,063 (-29.0%) between the annual amendments of 2025-03-28 and 2026-04-28; the peer median change was +4.0% (1148 comparable advisers, 9.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 8.5% percentile
What changed
consecutive filings, newest first
- Accounts · 17 to 16Mar 30, 2026 to Apr 28, 2026
- Pooled vehicle clients · 17 to 16Mar 30, 2026 to Apr 28, 2026
- Assets in custody · $293M to $295MMar 30, 2026 to Apr 28, 2026
- Private funds · 17 to 16Mar 30, 2026 to Apr 28, 2026
- Discretionary RAUM · $293M to $295MMar 30, 2026 to Apr 28, 2026
- Pooled vehicle RAUM · $293M to $295MMar 30, 2026 to Apr 28, 2026
- RAUM · $293M to $295MMar 30, 2026 to Apr 28, 2026
- Accounts · 19 to 17Mar 28, 2025 to Mar 30, 2026
- Advisory employees · 8 to 9Mar 28, 2025 to Mar 30, 2026
- Pooled vehicle clients · 19 to 17Mar 28, 2025 to Mar 30, 2026
- Assets in custody · $418M to $293MMar 28, 2025 to Mar 30, 2026
- Employees · 12 to 13Mar 28, 2025 to Mar 30, 2026
- Private funds · 19 to 17Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $418M to $293MMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $418M to $293MMar 28, 2025 to Mar 30, 2026
- RAUM · $418M to $293MMar 28, 2025 to Mar 30, 2026
- Accounts · 23 to 19Apr 26, 2024 to Mar 28, 2025
- Advisory employees · 6 to 8Apr 26, 2024 to Mar 28, 2025
- Pooled vehicle clients · 23 to 19Apr 26, 2024 to Mar 28, 2025
- Assets in custody · $343M to $418MApr 26, 2024 to Mar 28, 2025
- Employees · 8 to 12Apr 26, 2024 to Mar 28, 2025
- Financial planning clients · unset to Apr 26, 2024 to Mar 28, 2025
- HQ city · unset to Apr 26, 2024 to Mar 28, 2025
- HQ state · unset to Apr 26, 2024 to Mar 28, 2025
- Private funds · 23 to 19Apr 26, 2024 to Mar 28, 2025
- Discretionary RAUM · $343M to $418MApr 26, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $343M to $418MApr 26, 2024 to Mar 28, 2025
- RAUM · $343M to $418MApr 26, 2024 to Mar 28, 2025
- Assets in custody · $332M to $343MMar 28, 2024 to Apr 26, 2024
- Discretionary RAUM · $332M to $343MMar 28, 2024 to Apr 26, 2024
- Pooled vehicle RAUM · $332M to $343MMar 28, 2024 to Apr 26, 2024
- RAUM · $332M to $343MMar 28, 2024 to Apr 26, 2024
- Accounts · 31 to 23Apr 28, 2023 to Mar 28, 2024
- Pooled vehicle clients · 31 to 23Apr 28, 2023 to Mar 28, 2024
- Assets in custody · $446M to $332MApr 28, 2023 to Mar 28, 2024
- Employees · 9 to 8Apr 28, 2023 to Mar 28, 2024
- Private funds · 31 to 23Apr 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $446M to $332MApr 28, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $446M to $332MApr 28, 2023 to Mar 28, 2024
- RAUM · $446M to $332MApr 28, 2023 to Mar 28, 2024
Signals
5 dated events
- G•••• C•••••• M••••••••• reported RAUM $292.7M, down 30% from $417.5M (2025-03-28 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- G•••• C•••••• M••••••••• reported RAUM $332.3M, down 25% from $446.0M (2023-04-28 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- James Daniel Newman (Principal) no longer on Schedule A of G•••• C•••••• M••••••••• (listed 2022-03-31, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- M••••••••• K••• P•••••• S••••• (Chief Operating Officer) appeared on Schedule A of G•••• C•••••• M•••••••••Mar 30, 2023 · Control person joined · fact
- G•••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)Mar 31, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- G•••• C•••••• M••••••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- g•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 3109230225reportedpublic record, Form ADV, Apr 28, 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