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•••••• I••••••••• P••••••• L••
Latest filing May 12, 2026
First filing on the tape May 17, 2022 · 11 filings
SEC status approved since Jun 23, 2022
RAUM
$515M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$515M as of May 12, 2026
Mar 23, 2023$129M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 12, 2026
Mar 23, 20230 then
Employees (5.A)2 as of May 12, 2026
Mar 23, 20232 then
Private funds1 as of May 12, 2026
Mar 23, 20231 then
RAUM +16% over the last fiscal year+59% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 12, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $257MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 87%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $66.8M, 1 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Sovereign wealth funds$448M87%
- Pooled investment vehicles$66.8M13%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $66.8M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.13 institutional_share=0.87 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G•••••• P••••••• L• | Hedge Fund | $62.2M | 15 | May 17, 2022 |
Owners and control persons
Schedule A and B, latest filing
- C••••• L••••• A••••• · Managing Partner, Chief Compliance Officercontrolsince 06/2020 · 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.
What changed
consecutive filings, newest first
- Advisory employees · 1 to 2May 7, 2025 to Mar 26, 2026
- Assets in custody · $60.4M to $66.8MMay 7, 2025 to Mar 26, 2026
- Employees · 1 to 2May 7, 2025 to Mar 26, 2026
- Financial planning clients · to 0May 7, 2025 to Mar 26, 2026
- Discretionary RAUM · $445M to $515MMay 7, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $60.4M to $66.8MMay 7, 2025 to Mar 26, 2026
- RAUM · $445M to $515MMay 7, 2025 to Mar 26, 2026
- Financial planning clients · unset to Mar 25, 2025 to May 7, 2025
- Assets in custody · $62.2M to $60.4MNov 25, 2024 to Mar 25, 2025
- Discretionary RAUM · $444M to $445MNov 25, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $62.2M to $60.4MNov 25, 2024 to Mar 25, 2025
- RAUM · $444M to $445MNov 25, 2024 to Mar 25, 2025
- Related bank · true to falseNov 25, 2024 to Mar 25, 2025
- Assets in custody · $350M to $62.2MMar 27, 2024 to Oct 24, 2024
- Employees · 2 to 1Mar 27, 2024 to Oct 24, 2024
- Discretionary RAUM · $350M to $444MMar 27, 2024 to Oct 24, 2024
- Pooled vehicle RAUM · $53.8M to $62.2MMar 27, 2024 to Oct 24, 2024
- RAUM · $350M to $444MMar 27, 2024 to Oct 24, 2024
- Assets in custody · $129M to $350MMar 23, 2023 to Mar 27, 2024
- Discretionary RAUM · $129M to $350MMar 23, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $34.3M to $53.8MMar 23, 2023 to Mar 27, 2024
- RAUM · $129M to $350MMar 23, 2023 to Mar 27, 2024
- Assets in custody · $149M to $129MSep 27, 2022 to Mar 23, 2023
- Discretionary RAUM · $149M to $129MSep 27, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $39.9M to $34.3MSep 27, 2022 to Mar 23, 2023
- RAUM · $149M to $129MSep 27, 2022 to Mar 23, 2023
- Accounts · 1 to 2Jun 17, 2022 to Sep 27, 2022
- Assets in custody · $48.3M to $149MJun 17, 2022 to Sep 27, 2022
- Discretionary RAUM · $48.3M to $149MJun 17, 2022 to Sep 27, 2022
- Pooled vehicle RAUM · $48.3M to $39.9MJun 17, 2022 to Sep 27, 2022
- RAUM · $48.3M to $149MJun 17, 2022 to Sep 27, 2022
Signals
3 dated events
- Dang Huy Nguyen (Chief Compliance Officer) no longer on Schedule A of G•••••• I••••••••• P••••••• L•• (listed 2024-03-27, absent 2024-10-24)Oct 24, 2024 · Control person left · inference
- G•••••• I••••••••• P••••••• L•• reported RAUM $350.0M, up 172% from $128.7M (2023-03-23 to 2024-03-27)Mar 27, 2024 · ria raum c••••e · derived
- G•••••• I••••••••• P••••••• L•• filed its initial SEC registration (Form ADV)May 17, 2022 · 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.
How to reach
public business contact points only, each with its source
- Website
- g•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 650-334-4990reportedpublic record, Form ADV, May 12, 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
- Institutional managerderiveda 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