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•••••••• L••
Latest filing Mar 13, 2026
First filing on the tape Feb 10, 2021 · 17 filings
SEC status approved since May 11, 2023
RAUM
$2.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$137,146 individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$326M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$2.3B as of Mar 13, 2026
Mar 10, 2024$445M then
HNW client RAUM$137,146 as of Mar 13, 2026
Mar 10, 2024$11.3M then
State-registered IARs (5.B.3)7 as of Mar 13, 2026
Mar 10, 20245 then
Employees (5.A)7 as of Mar 13, 2026
Mar 10, 20245 then
Private funds: no history
RAUM +61% over the last fiscal yearIARs 5 to 7offices 5 to 6
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
- RAUM per advisor
- $326MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $137,146derivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 1.0derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +61%derivedbetween the last two annual amendments
- Advisor growth, one year
- +40%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$2.3B100%
- High-net-worth individuals$137,1460.0%
- Individual clients
- n/areported
- HNW clients
- 1reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,975reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $2.2B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Z••••• M•••••••Chartered Financial Analyst | Oakland, Ca | Mar 23, 2021 | 25 y | 4 |
| L••••••• Y• F•••Chartered Financial Analyst | Foster City, Ca | Jun 10, 2021 | 20 y | 0 |
| P•••• W•••Chartered Financial Analyst | Foster City, Ca | Oct 1, 2021 | 9 y | 0 |
| W•••••• J•••• O••••• | North Reading, Ma | Aug 16, 2022 | 21 y | 1 |
| R••••••• R•••• | Foster City, Ca | Apr 2, 2025 | 34 y | 0 |
| M•••• N•••••• | Foster City, Ca | Aug 7, 2025 | 16 y | 5 |
| W•••••• A••••• W••••• | Denver, Co | Dec 15, 2025 | 11 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 14% of current headcount1 left over 36 months
Left, latest
- C••••• L•• to P••••••• W••••• M•••••••••Nov 18, 2025 · Other
Joined, latest
- M•••• N•••••• from K••••• I••••••••• M••••••••• L•••Aug 7, 2025 · Other
- W•••••• J•••• O••••• from A••••• P•••••• I••••••••• A•••• M••••••••• I•••Aug 16, 2022 · Other
- C••••• L•• from S••• F•••••••• G••••• I•••Jan 18, 2022 · RIA to RIA
- Z••••• M••••••• from P••••••• G••••• I•••••••• L••Mar 23, 2021 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••• L•••••••• Y• · Ceo & President/Ccocontrolsince 01/2021 · owns 50% to 75%
- L••• C••••• · Client Portfolio Managercontrolsince 01/2022 · owns less than 5%
- M•••••••• Z••••• · Ciocontrolsince 03/2021 · owns less than 5%
- W•••• P•••• · Senior Portfolio Managercontrolsince 09/2021 · owns less than 5%
Entity owners
- B•••• F•••••••• C••••••••• · Ownerindirect · owns 25% to 50% of R••••••••• I••••••••• H•••••• G••••• L••
- B•••• F•••••••• G••••• I••• · Ownerindirect · owns 75% or more of B•••• F•••••••• C•••••••••
- B•••• F•••••••• C••••••••• · Direct Ownerdirect · owns 10% to 25%
- R••••••••• I••••••••• H•••••• G••••• L•• · Direct Ownerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- B•••• T•••• C••••••n
- R••••••••• I••••••••• G••••• L••investment advisernRAUM $2.2B
- R••••• W• B•••• • C•• I•••••••••broker-dealerinvestment advisercustodiannRAUM $394B
- S•••••••• A•••• M••••••••• L••investment advisernRAUM $458M
- S•••••••• A•••• M••••••••• L••investment adviserbanknRAUM $458M
- B•••• S•••••••• LLCbroker-dealerinvestment advisern
- B•••• S•••••••• LLCinvestment advisern
Advisers that list G•••• I•••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Foster City, Ca | 7 | 1 | 0 | ||
| San Mateo, Ca | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,375 to 1,975Jan 16, 2026 to Mar 13, 2026
- Advisory employees · 6 to 7Jan 16, 2026 to Mar 13, 2026
- HNW clients · 3 to 1Jan 16, 2026 to Mar 13, 2026
- Employees · 6 to 7Jan 16, 2026 to Mar 13, 2026
- State-registered IARs · 5 to 7Jan 16, 2026 to Mar 13, 2026
- Discretionary RAUM · $1.4B to $2.3BJan 16, 2026 to Mar 13, 2026
- HNW RAUM · $13.2M to $137,146Jan 16, 2026 to Mar 13, 2026
- RAUM · $1.4B to $2.3BJan 16, 2026 to Mar 13, 2026
- Wrap assets (manager) · $1.4B to $2.2BJan 16, 2026 to Mar 13, 2026
- Other offices · 5 to 6Mar 10, 2025 to Aug 7, 2025
- Accounts · 979 to 1,375Jan 2, 2025 to Mar 10, 2025
- Advisory employees · 5 to 6Jan 2, 2025 to Mar 10, 2025
- Employees · 5 to 6Jan 2, 2025 to Mar 10, 2025
- Financial planning clients · unset to Jan 2, 2025 to Mar 10, 2025
- Other offices · 4 to 5Jan 2, 2025 to Mar 10, 2025
- Discretionary RAUM · $1.0B to $1.4BJan 2, 2025 to Mar 10, 2025
- HNW RAUM · $12.8M to $13.2MJan 2, 2025 to Mar 10, 2025
- RAUM · $1.0B to $1.4BJan 2, 2025 to Mar 10, 2025
- Wrap assets (manager) · $654M to $1.4BJan 2, 2025 to Mar 10, 2025
- HQ city · unset to Sep 24, 2024 to Jan 2, 2025
- HQ state · unset to Sep 24, 2024 to Jan 2, 2025
- Accounts · 732 to 979Jun 20, 2024 to Sep 24, 2024
- Discretionary RAUM · $705M to $1.0BJun 20, 2024 to Sep 24, 2024
- HNW RAUM · $11.9M to $12.8MJun 20, 2024 to Sep 24, 2024
- RAUM · $705M to $1.0BJun 20, 2024 to Sep 24, 2024
- Accounts · 494 to 732Mar 10, 2024 to Jun 20, 2024
- Discretionary RAUM · $445M to $705MMar 10, 2024 to Jun 20, 2024
- HNW RAUM · $11.3M to $11.9MMar 10, 2024 to Jun 20, 2024
- RAUM · $445M to $705MMar 10, 2024 to Jun 20, 2024
- Wrap assets (manager) · $398M to $654MMar 10, 2024 to Jun 20, 2024
- Accounts · 225 to 494Sep 26, 2023 to Mar 10, 2024
- HQ city · SAN MATEO to unsetSep 26, 2023 to Mar 10, 2024
- HQ state · CA to unsetSep 26, 2023 to Mar 10, 2024
- Other offices · 5 to 4Sep 26, 2023 to Mar 10, 2024
- Discretionary RAUM · $204M to $445MSep 26, 2023 to Mar 10, 2024
- HNW RAUM · $10.6M to $11.3MSep 26, 2023 to Mar 10, 2024
- RAUM · $204M to $445MSep 26, 2023 to Mar 10, 2024
- Related bank · false to trueSep 26, 2023 to Mar 10, 2024
- Wrap assets (manager) · $43.4M to $398MSep 26, 2023 to Mar 10, 2024
- Accounts · 112 to 225Apr 11, 2023 to Sep 21, 2023
Signals
15 dated events
- G•••• I•••••••• L•• reported RAUM $2.3B, up 61% from $1.4B (2026-01-16 to 2026-03-13)Mar 13, 2026 · RAUM change · derived
- C••••• L•• left G•••• I•••••••• L•• for P••••••• W••••• M••••••••• (registered 2026-06-07)Nov 18, 2025 · Advisor changed firm · fact
- G•••• I•••••••• L•• reported RAUM $1.4B, up 41% from $1.0B (2025-01-02 to 2025-03-10)Mar 10, 2025 · RAUM change · derived
- G•••• I•••••••• L•• reported RAUM $1.0B, up 43% from $705.4M (2024-06-20 to 2024-09-24)Sep 24, 2024 · RAUM change · derived
- G•••• I•••••••• L•• reported RAUM $705.4M, up 58% from $445.1M (2024-03-10 to 2024-06-20)Jun 20, 2024 · RAUM change · derived
- G•••• I•••••••• L•• reported RAUM $445.1M, up 118% from $204.3M (2023-09-26 to 2024-03-10)Mar 10, 2024 · RAUM change · derived
- K Laura Thurow (Board Member) no longer on Schedule A of G•••• I•••••••• L•• (listed 2023-09-26, absent 2024-03-10)Mar 10, 2024 · Control person left · inference
- Burnham Karrie Southall (Board Member) no longer on Schedule A of G•••• I•••••••• L•• (listed 2023-09-26, absent 2024-03-10)Mar 10, 2024 · Control person left · inference
- G•••• I•••••••• L•• reported RAUM $204.3M, up 104% from $100.2M (2023-04-11 to 2023-09-21)Sep 21, 2023 · RAUM change · derived
- K Laura Thurow (Board Member) appeared on Schedule A of G•••• I•••••••• L••Apr 11, 2023 · Control person joined · fact
- Burnham Karrie Southall (Board Member) appeared on Schedule A of G•••• I•••••••• L••Apr 11, 2023 · Control person joined · fact
- Z••••• M••••••• (Cio) appeared on Schedule A of G•••• I•••••••• L••Apr 11, 2023 · Control person joined · fact
- P•••• W••• (Senior Portfolio Manager) appeared on Schedule A of G•••• I•••••••• L••Apr 11, 2023 · Control person joined · fact
- C••••• L•• (Client Portfolio Manager) appeared on Schedule A of G•••• I•••••••• L••Apr 11, 2023 · Control person joined · fact
- G•••• I•••••••• L•• filed its initial SEC registration (Form ADV)Feb 10, 2021 · 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
- Firm profile
- linkedin.com/company/73023508/adminreportedpublic record, Form ADV, Sep 18, 2026
- Website
- gammainvesting.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 888-585-1755reportedpublic record, Form ADV, Mar 13, 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
- $326Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026