DFX Intelligence

D••••• C••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

D••••• C••••••• I•••

CRD 177523

NAPA, CA

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Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Apr 24, 2015 to Mar 25, 2026
32 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 managerderived••• Locked
Regulatory AUM: $551M••• Locked
Discretionary RAUM: $549M
Private client RAUM: $546Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $91.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P••• J••••••• D•••••	Certified Financial Planner	NAPA, CA	11	30	2	no
W•••••• A••• B•••••	n/a	NAPA, CA	11	13

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• W••••••• A•••	VICE PRESIDENT/CHIEF OPERATING OFFICER/CHIEF CHIEF COMPLIANCE OFFICER	A	yes	05/2015	Apr 24, 2015	Aug 27, 2024
D•••••• P•••• J•••••••	President	E	yes	05/2015	Apr 24, 2015	Aug 27, 2024

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	0	0	0.0%	0	0	0	0	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	$551M	$487M	13.1%	$340M	17.5%	12	11	0	0

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
W•••• F•••• A•••••••	2	Jun 30, 2015	May 22, 2015	ROSEVILLE, CA	Team lift out	Wirehouse to new firm	0.2%

Relationships

Registered with (6)

← S•••••• A••• P••••Advisorregistration: current employment
Aug 17, 2026 to presentfactForm ADV
← T•••• L•• C••••••••Advisorregistration: current employment
May 3, 2026 to presentfactForm ADV
← S••••• C•••••••• K•••Advisorregistration: current employment
Jul 26, 2022 to presentfactForm ADV
← M••• F•••••• H•••

Dated events

Order

Occurred
24 Apr 2015
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 24, 2015
Last observed: Mar 25, 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.