DFX Intelligence

G••••• A•••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

G••••• A•••• M••••••••• L••

CRD 109034

WALNUT CREEK, CA

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Search this name across graphsid dfx:ria:02826e4a-5363-7496-c571-a3cca02d678a

Data as of Mar 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 1
On other graphs: 0
Observed: Mar 23, 2012 to Mar 23, 2026
35 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.98 fund_share=0.01 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $2.4B••• Locked
Discretionary RAUM: $2.4B
Private client RAUM: $2.3Bderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $295Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••• L•••• G•••••	n/a	WALNUT CREEK, CA	34	40	1	no
S•••• D•••• G•••••	Chartered Financial Analyst	WALNUT CREEK, CA	9	33

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• C••••••• J••••	Principal	C	yes	01/2003	Mar 23, 2026	Mar 23, 2026
G•••••• B••••• C••••	Principal	C	yes	01/2006	Mar 23, 2026	Mar 23, 2026

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	2	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$2.4B	$2.0B	17.2%	$1.4B	17.6%	16	15	2	2

Relationships

Controls (4)

← G•••••• B••••• C••••OwnerPRINCIPAL, ownership code C, individual
Mar 23, 2026 to presentfactForm ADV
← G•••••• S••••• D••••OwnerPRINCIPAL, ownership code C, individual
Mar 23, 2026 to presentfactForm ADV
← G•••••• D••••• L••••OwnerPRINCIPAL, ownership code NA, individual
Mar 23, 2026 to presentfactForm ADV
← B•••••••• C••••••• J••••OwnerPRINCIPAL, ownership code C, individual
Mar 23, 2026 to presentfact

Dated events

Occurred
Jan 7, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:02826e4a-5363-7496-c571-a3cca02d678a
First observed: Mar 23, 2012
Last observed: Mar 23, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.