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=0.94 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0

Regulatory AUM

$139MItem 5.F on the latest filing (2026-03-26); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$139M

Private client RAUM

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

Private client share

94%derivedprivate client RAUM over total RAUM

Advisors on IAPD

1

RAUM per advisor

$139Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Employees

2

Advisory employees

1

Offices

0Schedule D 1.F, beyond the principal office

Accounts

233

Individual clients

26

High net worth clients

39

Custody, client assets

$38.4M

SEC number

801-133969

CRD

147588

Filings on the tape

8

First filed

Jan 13, 2012

Latest filed

Mar 26, 2026

Organised

Corporation, CA

Graph

RIA / Wealth Management

Canonical id

dfx:ria:79777e31-3b60-5cec-22fc-5354635280d2

First observed

Jan 13, 2012

Last observed

Mar 26, 2026 5 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.