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•••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 5, 2021 · 14 filings
SEC status approved since Apr 2, 2021
RAUM
$249M
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
46%
$115M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$62.2M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$249M as of Mar 31, 2026
Mar 30, 2022$1.2B then
HNW client RAUM$111M as of Mar 31, 2026
Mar 30, 2022$1.2B then
State-registered IARs (5.B.3)5 as of Mar 31, 2026
Mar 30, 20225 then
Employees (5.A)6 as of Mar 31, 2026
Mar 30, 20226 then
Private funds5 as of Mar 31, 2026
Mar 31, 20255 then
RAUM -5.0% over the last fiscal year-37% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $62.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 18derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 79%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -5.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -59%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, otherreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$111M44%
- Corporations and businesses$60.8M24%
- Pooled investment vehicles$40.4M16%
- Insurance companies$24.3M9.8%
- Pension and profit-sharing plans$8.4M3.4%
- Individuals$4.3M1.7%
- Individual clients
- 21reported
- HNW clients
- 51reported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 113reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.46 fund_share=0.16 institutional_share=0.13 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• A•••••• B••••••••• | Beverly Hills, Ca | Apr 30, 2021 | 11 y | 3 |
| A•••••• N•••• S•••• | Beverly Hills, Ca | Feb 22, 2022 | 25 y | 6 |
| A•••• A•• | Beverly Hills, Ca | Sep 25, 2023 | 18 y | 6 |
| Z•••• L•••••• D•••••• | Beverly Hills, Ca | Sep 16, 2024 | 16 y | 6 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount2 left over 36 months
Left, latest
- R••••• M••••• to C•••••••• G••••• M•••••• I•••Mar 11, 2026 · RIA to affiliated broker-dealer or bank
- T•••• E• M•••••• to J••• M••••• S••••••••• L••Dec 17, 2024 · RIA to wirehouse
- Z•••• L•••••• D•••••• to I••••••• A••••••• S•••••••• L••Jul 6, 2022 · RIA to RIA
- A•••• A•• to I••••••• A••••••• S•••••••• L••Jul 6, 2022 · RIA to RIA
Joined, latest
- Z•••• L•••••• D•••••• from I••••••• A••••••• S•••••••• L••Sep 16, 2024 · RIA to RIA
- A•••• A•• from I••••••• A••••••• S•••••••• L••Sep 25, 2023 · RIA to RIA
- R••••• M••••• from U•• F•••••••• S••••••• I•••Jun 21, 2022 · Wirehouse to independent RIA
- A••••• A•••••• B••••••••• from I••••••• A••••••• S•••••••• L••Apr 30, 2021 · RIA to a newly registered adviser
- Z•••• L•••••• D•••••• from I••••••• A••••••• S•••••••• L••Apr 30, 2021 · RIA to a newly registered adviser
- A•••• A•• from I••••••• A••••••• S•••••••• L••Apr 6, 2021 · RIA to a newly registered adviser
- A•••••• N•••• S•••• from I••••••• A••••••• S•••••••• L••Apr 5, 2021 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for I••••••• A••••••• S•••••••• L••Jul 6, 2022 · Beverly Hills, Ca
- 2 joined from I••••••• A••••••• S•••••••• L••Mar 1, 2022 · Beverly Hills, Ca
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G••• V••••••• • O•••••• L•• | Private Equity Fund | $17.0M | 1 | Oct 4, 2024 |
| G••• S•• | Private Equity Fund | $8.3M | 29 | Oct 4, 2024 |
| G••• V••••••• • T••••••••• L•• | Private Equity Fund | $5.0M | 11 | Oct 4, 2024 |
| G••• V••••••• • T••••••••• 2• L•• | Private Equity Fund | $1.9M | 8 | Oct 4, 2024 |
| G••• V••••••• • A•••• T••••••••• L•• | Venture Capital Fund | $1.4M | 17 | Oct 4, 2024 |
Owners and control persons
Schedule A and B, latest filing
- A••• A•••• · Caocontrolsince 03/2020 · owns less than 5%
- D••••••• Z••••• L•••••• · Coo/ Ccocontrolsince 03/2024 · owns less than 5%
- M•••••• R••••• · Ciocontrolsince 07/2023 · owns less than 5%
- S••••• A••••••• N•••• · Membercontrolsince 03/2020 · owns less than 5%
- S••••• A••••••• N•••• · Ownercontrolsince 07/2020 · owns 75% or more of G••••••• L••
Entity owners
- G••••••• L•• · Managing Memberindirect · owns 75% or more of G••••••• F•••••• O••• I••
- G••••••• F•••••• O••• I•• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- G••• G• L••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Beverly Hills, Ca · principal | 4 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 31, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $261,932,486 to $248,958,072, advisors 5 to 5, private clients 176 to 72, offices 0 to 0 (2025-03-31 to 2026-03-31)peers: independent wealth managers, $100M to $500M (5,676)
- account count collapseChange between filings · filing Mar 31, 2026accounts (Item 5.F.2.f) moved from 304.0 to 113.0 (-63.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +5.0% (3687 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 1.8% percentile
- client count collapseChange between filings · filing Mar 31, 2026individual and HNW clients (Item 5.D) moved from 176.0 to 72.0 (-59.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +3.0% (3309 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 1.0% percentile
What changed
consecutive filings, newest first
- Accounts · 304 to 113Mar 31, 2025 to Mar 31, 2026
- Corporate clients · 108 to 31Mar 31, 2025 to Mar 31, 2026
- HNW clients · 161 to 51Mar 31, 2025 to Mar 31, 2026
- Individual clients · 15 to 21Mar 31, 2025 to Mar 31, 2026
- Pension plan clients · 13 to 4Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $247M to $198MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $95.5M to $111MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $2.8M to $4.3MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $14.8M to $51.1MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $6.9M to $8.4MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $35.0M to $40.4MMar 31, 2025 to Mar 31, 2026
- RAUM · $262M to $249MMar 31, 2025 to Mar 31, 2026
- Accounts · 62 to 304Oct 4, 2024 to Mar 31, 2025
- Advisory employees · 4 to 2Oct 4, 2024 to Mar 31, 2025
- Corporate clients · 10 to 108Oct 4, 2024 to Mar 31, 2025
- HNW clients · 23 to 161Oct 4, 2024 to Mar 31, 2025
- Individual clients · 22 to 15Oct 4, 2024 to Mar 31, 2025
- Pension plan clients · unset to 13.0Oct 4, 2024 to Mar 31, 2025
- Employees · 8 to 6Oct 4, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Oct 4, 2024 to Mar 31, 2025
- State-registered IARs · 6 to 5Oct 4, 2024 to Mar 31, 2025
- Discretionary RAUM · $106M to $247MOct 4, 2024 to Mar 31, 2025
- HNW RAUM · $52.6M to $95.5MOct 4, 2024 to Mar 31, 2025
- Individual RAUM · $8.9M to $2.8MOct 4, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $12.6M to $14.8MOct 4, 2024 to Mar 31, 2025
- Pension RAUM · $5.3M to $6.9MOct 4, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $33.6M to $35.0MOct 4, 2024 to Mar 31, 2025
- RAUM · $118M to $262MOct 4, 2024 to Mar 31, 2025
- Corporate clients · 15 to 10Jun 27, 2024 to Oct 4, 2024
- Pooled vehicle clients · unset to 5.0Jun 27, 2024 to Oct 4, 2024
- Employees · 9 to 8Jun 27, 2024 to Oct 4, 2024
- Insurance-licensed employees · 4 to 0Jun 27, 2024 to Oct 4, 2024
- State-registered IARs · 4 to 6Jun 27, 2024 to Oct 4, 2024
- Private funds · unset to 5Jun 27, 2024 to Oct 4, 2024
- Pooled vehicle RAUM · unset to 33577720.0Jun 27, 2024 to Oct 4, 2024
- Accounts · 250 to 62Jul 19, 2023 to Mar 29, 2024
- Advisory activities · 4 to 7Jul 19, 2023 to Mar 29, 2024
- Corporate clients · 3 to 15Jul 19, 2023 to Mar 29, 2024
- HNW clients · 66 to 23Jul 19, 2023 to Mar 29, 2024
- Individual clients · unset to 22.0Jul 19, 2023 to Mar 29, 2024
Signals
14 dated events
- R••••• M••••• left G••••••• C•••••• A•••••••• L•• for C•••••••• G••••• M•••••• I••• (registered 2026-03-31)Mar 11, 2026 · Advisor changed firm · fact
- G••••••• C•••••• A•••••••• L•• reported RAUM $261.9M, up 122% from $118.2M (2024-10-04 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- T•••• E• M•••••• left G••••••• C•••••• A•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2024-11-13)Dec 17, 2024 · Advisor changed firm · fact
- Carlos Juan Riera (Chief Compliance Officer) no longer on Schedule A of G••••••• C•••••• A•••••••• L•• (listed 2024-06-27, absent 2024-10-04)Oct 4, 2024 · Control person left · inference
- G••••••• C•••••• A•••••••• L•• reported RAUM $118.2M, down 88% from $1.0B (2023-07-19 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- Lisette Zenia Delgado (Coo) appeared on Schedule A of G••••••• C•••••• A•••••••• L••Mar 29, 2024 · Control person joined · fact
- A•••• A•• (Cao) appeared on Schedule A of G••••••• C•••••• A•••••••• L••Mar 29, 2024 · Control person joined · fact
- R••••• M••••• (Cio) appeared on Schedule A of G••••••• C•••••• A•••••••• L••Jul 19, 2023 · Control person joined · fact
- A•••• A•• left G••••••• C•••••• A•••••••• L•• for I••••••• A••••••• S•••••••• L•• (registered 2022-08-22)Jul 6, 2022 · Advisor changed firm · fact
- Z•••• L•••••• D•••••• left G••••••• C•••••• A•••••••• L•• for I••••••• A••••••• S•••••••• L•• (registered 2022-08-22)Jul 6, 2022 · Advisor changed firm · fact
- 2 advisors left G••••••• C•••••• A•••••••• L•• (Beverly Hills, CA) for I••••••• A••••••• S•••••••• L•• on the same dayJul 6, 2022 · Team lift-out · derived
- 2 advisors left I••••••• A••••••• S•••••••• L•• (Beverly Hills, CA) for G••••••• C•••••• A•••••••• L•• on the same dayMar 1, 2022 · Team lift-out · derived
- Carlos Juan Riera (Chief Compliance Officer) appeared on Schedule A of G••••••• C•••••• A•••••••• L••Aug 6, 2021 · Control person joined · fact
- G••••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 5, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- G••••••• C•••••• A•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- G••••••• C•••••• A•••••••• L•• · Private Equityshared crd · organization
- G••••••• C•••••• A•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- info@galliott.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 310-362-3320reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/galliottreportedpublic record, Form ADV, Sep 18, 2026
- Website
- galliott.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-362-3320reportedpublic record, Form ADV, Mar 31, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $62.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026