DFX Intelligence

RIA Intelligence

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SEC-registered adviser

G••••••• C•••••• A•••••••• P• L••

Asset manager (funds and pooled vehicles)San Francisco, CaliforniaCRD 318680SEC 801-128744IAPD

Latest filing Sep 9, 2026

First filing on the tape Aug 16, 2023 · 11 filings

SEC status approved since Sep 19, 2023

RAUM

$737M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

11 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

11 filings and snapshots on the tape

RAUM$737M as of Aug 26, 2026

Jan 17, 2024$100M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Aug 26, 2026

Jan 17, 20240 then

Employees (5.A)29 as of Aug 26, 2026

Jan 17, 2024230 then

Private funds4 as of Aug 26, 2026

Jan 17, 20241 then

RAUM -2.4% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Sep 9, 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: $105MderivedRAUM 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: unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year: -2.4%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 pooled vehiclesreportedItem 5.G
Custody: $737M, 7 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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$737M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 7reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $737M for 7 clientsreported
Compensation: % of AUM, 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

Every departure Every arrival

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
G••••••• S•••••••• C••••• F••• I••• L•••	Private Equity Fund	$100M	1	Jan 17, 2024

Owners and control persons

Schedule A and B, latest filing

B•••••••• E••••• · Senior Managing Directorcontrol
since 09/2024 · owns less than 5%
C••••••••• D•••••• J••• · Chief Compliance Officercontrol
since 06/2023 · owns less than 5%
J•••••• S••••• E••• · Chief Executive Officercontrol
since 06/2023 · owns less than 5%
J•••••••• K•••••••• E•••••••• · Chief People Officercontrol
since 06/2023 · owns less than 5%
L•••••• B••••• D•••••• · Chief Financial Officercontrol
since 06/2023 · owns less than 5%
N•••••• N•• T•••• T•• · Chief Operating Officercontrol
since 06/2023 · owns less than 5%
R•••• J••••••• L•••••• · Chief Investment Officer, Infrastructurecontrol
since 06/2023 · owns less than 5%
S••••••••• W••••••• C•••••• · Presidentcontrol
since 12/2023 · owns less than 5%
T••••• N••••• H•••• · Chief Risk Officercontrol
since 09/2024 · owns less than 5%

Entity owners

G• A••••••• H•••••• I• L•• · Member
direct · owns 75% or more
A••••••••• I••••••••• F••• N••• · Shareholder
indirect · owns 25% to 50% of G••••••• C••••••• P••
A••••••••• I••••••••• P•• L•• · Trustee
indirect · owns F of A••••••••• I••••••••• F••• N•••
G••••••• C••••••• P•• · Member
indirect · owns 75% or more of G• A••••••• H•••••• I• L••

Related persons

Schedule D 7.A

G••••••• S•••••••• C••••• F••• G•• L•••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

New York, NY37 employees
Bethesda, MD8 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

employee count dropChange between filings · filing Apr 28, 2026
employees (Item 5.A) moved from 273.0 to 29.0 (-89.0%) between the annual amendments of 2025-03-28 and 2026-04-28; the peer median change was 0.0% (394 comparable advisers, 0.0th percentile of changes)
peers: asset managers, $500M to $1B (394) · 0.0% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Financial planning clients · to unset
Aug 26, 2026 to Sep 9, 2026
Private funds · 4 to unset
Aug 26, 2026 to Sep 9, 2026
Succession · false to unset
Aug 26, 2026 to Sep 9, 2026
Advisory employees · 61 to 11
Oct 22, 2025 to Mar 27, 2026
Assets in custody · $755M to $737M
Oct 22, 2025 to Mar 27, 2026
Employees · 273 to 29
Oct 22, 2025 to Mar 27, 2026
Discretionary RAUM · $755M to $737M
Oct 22, 2025 to Mar 27, 2026
Pooled vehicle RAUM · $755M to $737M
Oct 22, 2025 to Mar 27, 2026
RAUM · $755M to $737M
Oct 22, 2025 to Mar 27, 2026
Accounts · 2 to 7
Jan 10, 2025 to Mar 28, 2025
Advisory employees · 74 to 61
Jan 10, 2025 to Mar 28, 2025
Pooled vehicle clients · 2 to 7
Jan 10, 2025 to Mar 28, 2025
Assets in custody · $100M to $755M
Jan 10, 2025 to Mar 28, 2025
Employees · 230 to 273
Jan 10, 2025 to Mar 28, 2025
Financial planning clients · unset to
Jan 10, 2025 to Mar 28, 2025
Private funds · 1 to 4
Jan 10, 2025 to Mar 28, 2025
Discretionary RAUM · $100M to $755M
Jan 10, 2025 to Mar 28, 2025
Pooled vehicle RAUM · $100M to $755M
Jan 10, 2025 to Mar 28, 2025
RAUM · $100M to $755M
Jan 10, 2025 to Mar 28, 2025
Accounts · unset to 2.0
Aug 16, 2023 to Jan 17, 2024
Advisory employees · 70 to 74
Aug 16, 2023 to Jan 17, 2024
Pooled vehicle clients · unset to 2.0
Aug 16, 2023 to Jan 17, 2024
Assets in custody · unset to 100000000.0
Aug 16, 2023 to Jan 17, 2024
Custody of client assets · false to true
Aug 16, 2023 to Jan 17, 2024
Employees · 225 to 230
Aug 16, 2023 to Jan 17, 2024
Private funds · unset to 1
Aug 16, 2023 to Jan 17, 2024
Discretionary RAUM · unset to 100000000.0
Aug 16, 2023 to Jan 17, 2024
Non-discretionary RAUM · unset to 0.0
Aug 16, 2023 to Jan 17, 2024
Pooled vehicle RAUM · unset to 100000000.0
Aug 16, 2023 to Jan 17, 2024
RAUM · unset to 100000000.0
Aug 16, 2023 to Jan 17, 2024

Signals

7 dated events

G••••••• C•••••• A•••••••• P• L•• reported RAUM $755.0M, up 655% from $100.0M (2025-01-10 to 2025-03-28)
Mar 28, 2025 · RAUM change · derived
F•••••• J••• S•••• (Executive Vice President) no longer on Schedule A of G••••••• C•••••• A•••••••• P• L•• (listed 2024-01-17, absent 2024-10-17)
Oct 17, 2024 · Control person left · inference
Huang Nancy Tsang (Chief Risk Officer) appeared on Schedule A of G••••••• C•••••• A•••••••• P• L••
Oct 17, 2024 · Control person joined · fact
Edward Bossange (Senior Managing Director) appeared on Schedule A of G••••••• C•••••• A•••••••• P• L••
Oct 17, 2024 · Control person joined · fact
M•••• F••••••• (Global Chief Investment Officer) no longer on Schedule A of G••••••• C•••••• A•••••••• P• L•• (listed 2023-08-16, absent 2024-01-17)
Jan 17, 2024 · Control person left · inference
Charles William Sonneborn (President) appeared on Schedule A of G••••••• C•••••• A•••••••• P• L••
Jan 17, 2024 · Control person joined · fact
G••••••• C•••••• A•••••••• P• L•• filed its initial SEC registration (Form ADV)
Aug 16, 2023 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

G••••••• C•••••• A•••••••• P• L•• · Independent Sponsors
shared crd · capital_provider
G••••••• C•••••• A•••••••• P• L•• · Private Equity
shared crd · organization

How to reach

public business contact points only, each with its source

Principal office phone: 415-360-3063reportedpublic record, Form ADV, Sep 9, 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