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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

DIXON FINANCIAL SERVICES

DIXON FINANCIAL SERVICES INC, CRD 107166

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:02f5983b-eeee-c1ef-9d80-aa8f6bd5f6ce

Data as of Feb 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 1
Observed: Mar 27, 2012 to Feb 11, 2026
18 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Family Officesidentity

Dixon Fnancial Services, Inc.

Family office · shared crd

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=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.1BItem 5.F on the latest filing (2026-02-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $958M
Private client RAUM: $1.1BderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $181Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 4
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 335
Individual clients: 178
High net worth clients: 154
Custody, client assets: $264M
SEC number: 801-40910
CIK: 884195
CRD: 107166
Filings on the tape: 18
First filed: Mar 27, 2012
Latest filed: Feb 11, 2026
Organised: Corporation, CA
Website: dfsinc.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
WAYNE THOMAS FREEMAN	n/a	LAFAYETTE, CA	29	34	n/a	no
MICHAEL ALAN DIXON	n/a	LAFAYETTE, CA	16	36	n/a	no
TYLER MONTEIRO MULLEN	n/a	LAFAYETTE, CA	10	11	n/a	no
Cory Degraaf	n/a	Lafayette, CA	2	14	n/a	no
WALTER AU	n/a	LAFAYETTE, CA	0	31	n/a	no
DAVID ALEXANDER POTTS	n/a	LAFAYETTE, CA	0	13	1	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
FREEMAN, WAYNE, THOMAS	CHIEF COMPLIANCE OFFICER	Na	yes	09/2004	Feb 11, 2026	Feb 11, 2026
DIXON, MICHAEL, ALAN	DIRECTOR/PRESIDENT	E	yes	03/1990	Mar 27, 2012	Jan 30, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
MICHAEL A. DIXON	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 11, 2026	$1.1B	$958M	4	4	0	n/a	n/a
2024	Feb 6, 2025	$914M	$802M	4	4	0	n/a	n/a
2023	Jan 30, 2024	$831M	$733M	4	4	0	n/a	n/a
2022	Feb 15, 2023	$702M	$639M	4	4	0	n/a	n/a
2021	Feb 14, 2022	$801M	$725M	4	4	0	n/a	n/a
2020	Feb 3, 2021	$655M	$606M	4	4	0	n/a	n/a
2019	Feb 21, 2020	$607M	$562M	4	4	0	n/a	n/a
2018	Feb 14, 2019	$529M	$490M	4	4	0	n/a	n/a
2017	Feb 15, 2018	$576M	$534M	4	4	0	n/a	n/a
2016	Feb 27, 2017	$511M	$474M	4	4	n/a	n/a	n/a
2015	Mar 3, 2016	$469M	$432M	4	4	n/a	n/a	n/a
2014	Mar 19, 2015	$466M	$427M	3	3	n/a	n/a	n/a
2013	Mar 4, 2014	$404M	$328M	3	3	n/a	n/a	n/a
2012	Mar 25, 2013	$296M	$262M	3	3	n/a	n/a	n/a
2011	Mar 27, 2012	$263M	$210M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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	1	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.1B	$914M	18.9%	$702M	15.7%	4	4	0	0

Relationships

Registered with (6)

← DAVID ALEXANDER POTTSAdvisorregistration: current employment
Apr 10, 2026 to presentfactForm ADV
← WALTER AUAdvisorregistration: current employment
Oct 6, 2025 to presentfactForm ADV
← Cory DegraafAdvisorregistration: current employment
Mar 18, 2024 to presentfactForm ADV
← TYLER MONTEIRO MULLENAdvisorregistration: current employment
Oct 14, 2015 to presentfactForm ADV
← MICHAEL ALAN DIXONAdvisorregistration: current employment
Apr 29, 2010 to presentfactForm ADV
← WAYNE THOMAS FREEMANAdvisorregistration: current employment
Jul 8, 1997 to presentfactForm ADV

Controls (2)

← DIXON, MICHAEL, ALANOwnerDIRECTOR/PRESIDENT, ownership code E, individual
Mar 27, 2012 to Jan 30, 2024factForm ADV
← FREEMAN, WAYNE, THOMASOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 27, 2012 to Jan 30, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:02f5983b-eeee-c1ef-9d80-aa8f6bd5f6ce
First observed: Mar 27, 2012
Last observed: Feb 11, 2026 7 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.

DIXON FINANCIAL SERVICES

DIXON FINANCIAL SERVICES INC, CRD 107166

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:02f5983b-eeee-c1ef-9d80-aa8f6bd5f6ce

Data as of Feb 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:09 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

WAYNE THOMAS FREEMAN

n/a

LAFAYETTE, CA

n/a

MICHAEL ALAN DIXON

n/a

LAFAYETTE, CA

n/a

TYLER MONTEIRO MULLEN

n/a

LAFAYETTE, CA

n/a

Cory Degraaf

n/a

Lafayette, CA

n/a

WALTER AU

n/a

LAFAYETTE, CA

n/a

DAVID ALEXANDER POTTS

n/a

LAFAYETTE, CA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FREEMAN, WAYNE, THOMAS

CHIEF COMPLIANCE OFFICER

yes

09/2004

Feb 11, 2026

DIXON, MICHAEL, ALAN

DIRECTOR/PRESIDENT

yes

03/1990

Mar 27, 2012

Jan 30, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MICHAEL A. DIXON

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 11, 2026

$1.1B

$958M

n/a

2024

Feb 6, 2025

$914M

$802M

n/a

2023

Jan 30, 2024

$831M

$733M

n/a

2022

Feb 15, 2023

$702M

$639M

n/a

2021

Feb 14, 2022

$801M

$725M

n/a

2020

Feb 3, 2021

$655M

$606M

n/a

2019

Feb 21, 2020

$607M

$562M

n/a

2018

Feb 14, 2019

$529M

$490M

n/a

2017

Feb 15, 2018

$576M

$534M

n/a

2016

Feb 27, 2017

$511M

$474M

n/a

2015

Mar 3, 2016

$469M

$432M

n/a

2014

Mar 19, 2015

$466M

$427M

n/a

2013

Mar 4, 2014

$404M

$328M

n/a

2012

Mar 25, 2013

$296M

$262M

n/a

2011

Mar 27, 2012

$263M

$210M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.1B

$914M

18.9%

$702M

15.7%