DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

R••• W••••• M•••••••••

R••• W••••• M•••••••••, INC., CRD 296851

YUBA CITY, CA

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Search this name across graphsid dfx:ria:3c5683df-d148-a89e-b999-5495a087244a

Data as of Mar 27, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 9
On other graphs: 0
Observed: Mar 26, 2019 to Mar 27, 2024
16 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $404M••• Locked
Discretionary RAUM: $3.1M
Private client RAUM: $404Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R•••• R•••••• C••••••	PRINCIPAL & CHIEF COMPLIANCE OFFICER & SHAREHOLDER	E	yes	04/2018	Mar 26, 2019	Mar 27, 2024
B•••••• J•••••• T•	Shareholder	A	no	01/2019	Aug 9, 2023	Mar 27, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 27, 2024

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$404M	$327M	23.4%	$260M	15.8%	7	7	0	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A••••••• F••••••••• L•••	3	Mar 31, 2025	Dec 16, 2024	YUBA CITY, CA	Firm absorbed	RIA to ibd	100.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
O•••• W•••••• I•••	2	Dec 4, 2024	Aug 9, 2018	YUBA CITY, CA	Team lift out	Ibd to RIA	0.0%

Relationships

Controls (1)

← R•••• R•••••• C••••••OwnerPRINCIPAL & CHIEF COMPLIANCE OFFICER & SHAREHOLDER, ownership code E, individual
Mar 26, 2019 to presentfactForm ADV

Owns (2)

← S•••••••• K••••• C••••••OwnerSHAREHOLDER, ownership code A, individual
Aug 9, 2023 to presentfactForm ADV
← B•••••• J•••••• T•OwnerSHAREHOLDER, ownership code A, individual
Aug 9, 2023 to presentfactForm ADV

Registered with (3)

← R••••• C•••••• R•••

Dated events

Occurred
May 2, 2025
Left the SEC roster
••• Locked
Form ADVobserved 7 days ago
$404M
Occurred
Mar 31, 2025
Firm absorbed
••• Locked
Form ADVobserved 7 days ago
3 advisors
Occurred
Mar 31, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 31, 2025
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3c5683df-d148-a89e-b999-5495a087244a
First observed: Mar 26, 2019
Last observed: Mar 27, 2024 30 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.