DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

O••• W••••• M••••••••• L••

CRD 299704

MENLO PARK, CA

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Search this name across graphsid dfx:ria:162a9949-3619-27dd-94d6-9c5bb20a6b3c

Data as of May 5, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 15
On other graphs: 0
Observed: Nov 14, 2018 to May 5, 2026
25 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=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $822M••• Locked
Discretionary RAUM: $822M
Private client RAUM: $817Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••••• M•••• T•••••••	CO-PRESIDENT	C	yes	11/2018	Nov 14, 2018	Apr 4, 2024
M•••••• U••••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2019	Mar 28, 2019	Apr 4, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Ashland	Or	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	6	-6	n/a	0	6	0	1	6

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	$822M	$665M	23.7%	$474M	20.2%	8	9	1	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
E• W••••• A•••••••	4	Aug 7, 2026	Jun 29, 2026	MENLO PARK, CA	Firm absorbed	RIA to RIA	66.7%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
O••• A•••••••• I•••	6	Jun 8, 2017	Feb 1, 2023	CUPERTINO, CA	Firm absorbed	Other	66.7%

Relationships

Registered with (9)

← M••• T••••••• D•••••Advisorregistration: previous registration
Jan 10, 2019 to Aug 26, 2026factForm ADV
← T••••• L•••• S•••••••••Advisorregistration: previous registration
Dec 21, 2018 to Aug 7, 2026factForm ADV
← E••• M•••••• W•••••Advisorregistration: previous registration
Jan 9, 2019 to Aug 7, 2026factForm ADV
← L•••• L••••••• O•••••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Aug 26, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 7, 2026
Firm absorbed
••• Locked
Form ADVobserved 7 days ago
4 advisors
Occurred
Aug 7, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:162a9949-3619-27dd-94d6-9c5bb20a6b3c
First observed: Nov 14, 2018
Last observed: May 5, 2026 4 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.