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
Y••••• G••••• S•••••••• I•••
Latest filing Jan 8, 2026
First filing on the tape Mar 28, 2025 · 6 filings
SEC status 120-day approval since Mar 28, 2025
RAUM
$18.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
28%
$5.0M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$9.0M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$18.0M as of Jan 8, 2026
Mar 28, 2025$0 then
HNW client RAUM$5.0M as of Jan 8, 2026
Aug 11, 2025$5.0M then
State-registered IARs (5.B.3)1 as of Jan 8, 2026
Mar 28, 20251 then
Employees (5.A)1 as of Jan 8, 2026
Mar 28, 202510 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jan 8, 2026; every figure names its basis
- RAUM per advisor
- $9.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 10derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $250,000derivedHNW RAUM over HNW clients
- Average account
- $600,000derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Custody
- yesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$13.0M72%
- High-net-worth individuals$5.0M28%
- Individual clients
- 0reported
- HNW clients
- 20reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 30reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• G••••• S•••••• | Glendale, Ca | Mar 28, 2025 | 19 y | 2 |
| C•••••• L•••• L••••• | Glendale, Ca | Jul 15, 2026 | 10 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- C•••••• L•••• L••••• from P•••••••• S••••••••• I•••Jul 15, 2026 · Affiliated broker-dealer or bank to independent RIA
- M•••••• G••••• S•••••• from M••••• S••••••Mar 28, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Glendale, Ca · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory activities · 3 to 5Aug 11, 2025 to Nov 7, 2025
- Assets in custody · unset to 0.0Aug 11, 2025 to Nov 7, 2025
- Custody of client assets · false to trueAug 11, 2025 to Nov 7, 2025
- Employees · 10 to 1Aug 11, 2025 to Nov 7, 2025
- Financial planning clients · to 0Aug 11, 2025 to Nov 7, 2025
- Accounts · 0 to 30May 30, 2025 to Aug 11, 2025
- Charity clients · unset to 0.0May 30, 2025 to Aug 11, 2025
- Corporate clients · unset to 10.0May 30, 2025 to Aug 11, 2025
- HNW clients · unset to 20.0May 30, 2025 to Aug 11, 2025
- Individual clients · unset to 0.0May 30, 2025 to Aug 11, 2025
- Pension plan clients · unset to 0.0May 30, 2025 to Aug 11, 2025
- Pooled vehicle clients · unset to 0.0May 30, 2025 to Aug 11, 2025
- Discretionary RAUM · $0 to $18.0MMay 30, 2025 to Aug 11, 2025
- HNW RAUM · unset to 5000000.0May 30, 2025 to Aug 11, 2025
- Individual RAUM · unset to 0.0May 30, 2025 to Aug 11, 2025
- Pension RAUM · unset to 0.0May 30, 2025 to Aug 11, 2025
- Pooled vehicle RAUM · unset to 0.0May 30, 2025 to Aug 11, 2025
- RAUM · $0 to $18.0MMay 30, 2025 to Aug 11, 2025
- Financial planning clients · unset to Mar 28, 2025 to May 30, 2025
Signals
1 dated events
- Y••••• G••••• S•••••••• I••• no longer on the SEC adviser roster (last listed 2026-02-02, RAUM $18.0M)Mar 2, 2026 · Left the SEC roster · derived
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
- Y•••••GLOBAL.COMreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $9.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026