DFX Intelligence

L••• T•••• W••••• M••••••••• I•••: 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

L••• T•••• W••••• M••••••••• I•••

CRD 166173

FOLSOM, CA

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Search this name across graphsid dfx:ria:5e0381ee-f7ed-81dc-c019-114104898c36

Data as of Feb 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 9
On other graphs: 1
Observed: Jul 27, 2016 to Feb 3, 2026
22 observations

Across DFX

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

Allocatorsidentity

L••• T•••• W••••• M••••••••• I•••

Investment consultant · key crd, shared crd

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: $302M••• Locked
Discretionary RAUM: $270M
Private client RAUM: $286Mderived••• Locked
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••• D••••••• S••	PRESIDENT, CEO, CCO	E	yes	02/2020	Jul 27, 2016	Oct 24, 2024
S••••••• T••••••• E•••	CHIEF INVESTMENT OFFICER	B	no	08/2014	Jul 27, 2016	Oct 24, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Placerville	CA	United States	1	no
n/a	n/a	n/a	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	5	-5	n/a	0	0	0	1	5

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	$302M	$257M	17.4%	$184M	17.8%	5	5	3	3

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
W••••• E••••••••• A••••••• S•••••••• L••	3	May 8, 2026	May 4, 2026	FOLSOM, CA	Firm absorbed	RIA to ibd	60.0%

Relationships

Registered with (6)

← M•••••• B••••• B•••Advisorregistration: previous registration
Oct 1, 2024 to May 8, 2026factForm ADV
← E•••• A•••• G••••Advisorregistration: previous registration
Apr 11, 2016 to May 8, 2026factForm ADV
← T•••••• S••••••Advisorregistration: previous registration
Mar 22, 2016 to May 8, 2026factForm ADV
← D•••••• G••••

Dated events

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

Occurred
May 8, 2026
Firm absorbed
••• Locked
Form ADVobserved 8 days ago
3 advisors
Occurred
May 8, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 8, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5e0381ee-f7ed-81dc-c019-114104898c36
First observed: Jul 27, 2016
Last observed: Feb 3, 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.