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.

Firm class

independent wealth managerderivedprivate_client_share=0.95 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0

Regulatory AUM

$138MItem 5.F on the latest filing (2026-03-04); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$138M

Private client RAUM

$131MderivedItem 5.D individuals plus high net worth individuals

Private client share

95%derivedprivate client RAUM over total RAUM

Advisors on IAPD

3

RAUM per advisor

$45.9Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Employees

4

Advisory employees

3

Offices

1Schedule D 1.F, beyond the principal office

Accounts

525

Individual clients

199

High net worth clients

40

Custody, client assets

$54.9M

SEC number

801-134872

CRD

126849

Filings on the tape

6

First filed

Feb 6, 2012

Latest filed

Mar 4, 2026

Organised

Partnership, CA

Graph

RIA / Wealth Management

Canonical id

dfx:ria:2238a2c1-e59f-5a4c-e87e-0f465aa832ec

First observed

Feb 6, 2012

Last observed

Mar 4, 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.