DFX Intelligence

N••••••• R••••••••• S•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 1b 10b

N••••••• R••••••••• S•••••••• I•••

CRD 167641

SAN MATEO, CA

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Search this name across graphsid dfx:ria:66875060-0315-c4a4-9d11-0278830337b9

Data as of Sep 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 35
Dated events: 15
On other graphs: 1
Observed: Aug 14, 2014 to Sep 1, 2026
41 observations

Across DFX

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

Allocatorsidentity

N••••••• R••••••••• S•••••••• I•••

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: institutional managerderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.0B••• Locked
Discretionary RAUM: $1.0B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 22
RAUM per advisor: $47.2Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C•••••••• M•••••• B••••	n/a	Oakland, CA \| SAN MATEO, CA	11	24	4	no
C••••••••• J•••• C•••	Certified Financial Planner	SAN MATEO, CA \| Piedmont, CA	11	28

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•• I•••••••• A•• F•••••••• S•••••••	MANAGING MEMBER, 100% OWNER	E	yes	02/2013	Aug 14, 2014	Oct 18, 2024
B••••• C••••••••• M••••••	Principal	Na	yes	07/2016	Aug 14, 2014	Oct 18, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•• I•••••••• A•• F•••••••• S•••••••• I•••	n/a	n/a	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN MATEO	CA	United States	5	no
Irvine	CA	United States	1	no
WALNUT CREEK	CA	United States	1	no
NEW YORK	NY	United States	1	no
n/a	n/a

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	1	-1	4.5%	0	0	0	1	4

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	$1.0B	$649M	60.0%	$225M	66.4%	30	30	23	21

Relationships

Registered with (31)

← T•••• B•••• G••••Advisorregistration: current employment
Apr 8, 2026 to presentfactForm ADV
← R••• S•••Advisorregistration: current employment
Feb 26, 2026 to presentfactForm ADV
← J••••••• A•• L••••Advisorregistration: current employment
May 19, 2025 to presentfactForm ADV
← B•••••• B••••••Advisor

Dated events

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

Occurred
May 1, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 26, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$390M
Occurred
May 23, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:66875060-0315-c4a4-9d11-0278830337b9
First observed: Aug 14, 2014
Last observed: Sep 1, 2026 22 days 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.