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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Former SEC-registered adviser

G•••••• C•••••• L••

Former SEC-registered adviserSolana Beach, CaliforniaCRD 328687SEC 801-129023IAPD
Latest filing Mar 7, 2024
First filing on the tape Oct 6, 2023 · 2 filings
SEC status approved since Nov 6, 2023
RAUM
$111M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$37.1M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$111M as of Mar 7, 2024
Oct 6, 2023$45.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 7, 2024
Oct 6, 20233 then
Employees (5.A)3 as of Mar 7, 2024
Oct 6, 20233 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 7, 2024; every figure names its basis
RAUM per advisor
$37.1MderivedRAUM 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
$55.6MderivedRAUM 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
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$111M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
K•••••••• R••• L•••Rancho Santa Fe, CaMay 30, 202514 y1
A•••• S••••• R••••••Rancho Santa Fe, CaMay 30, 202514 y1
M•••••• R••••• K•••••Rancho Santa Fe, CaMay 30, 202530 y1
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Teams: two or more advisors moving together within fourteen days, from one state
        Teams outTeams in
        Private funds
        No private fund reported.
        Owners and control persons
        Schedule A and B, latest filing
        • K•••••• M••••••• R••••• · Managing Membercontrol
          since 11/2011 · owns 75% or more
        • L•••• K••••••••• R••• · Member
          since 06/2012 · owns 10% to 25%
        • R••••••• A••••• S••••• · Chief Compliance Officer
          since 06/2012 · owns 10% to 25%
        Related persons
        Schedule D 7.A
        No related person reported.
        Office movement
        IAPD branch city; joins and departures in 12 months
        OfficeAdvisorsJoinedLeftTeams outForming
        Rancho Santa Fe, Ca300
        Offices
        Schedule D 1.F, the 25 largest
        No branch office listed.
        What changed
        consecutive filings, newest first
        • Discretionary RAUM · $45.0M to $111M
          Oct 6, 2023 to Mar 7, 2024
        • Pooled vehicle RAUM · $45.0M to $111M
          Oct 6, 2023 to Mar 7, 2024
        • RAUM · $45.0M to $111M
          Oct 6, 2023 to Mar 7, 2024
        Signals
        2 dated events
        • G•••••• C•••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $111.3M)
          May 2, 2025 · Left the SEC roster · derived
        • G•••••• C•••••• L•• filed its initial SEC registration (Form ADV)
          Oct 6, 2023 · First SEC registration · fact
        Across DFX
        shared identifiers only, never a name match
        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
        Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
        RAUM per advisor
        $37.1Mderivedfirm RAUM over the IAPD count; not a book size
        Loaded
        Sep 14, 2026