DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

E••• W••••• M••••••••• L••

CRD 287882

PETALUMA, CA

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Search this name across graphsid dfx:ria:8048b9dd-5ac9-8106-651a-b7cca946ea95

Data as of Nov 10, 2022 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 42
Dated events: 27
On other graphs: 1
Observed: Apr 3, 2017 to Nov 10, 2022
38 observations

Across DFX

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

Allocatorsidentity

E••• W••••• M••••••••• L••

Investment consultant · 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: $1.8B••• Locked
Discretionary RAUM: $1.5B
Private client RAUM: $1.7Bderived••• Locked
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 26

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• J•••••• C•••••••• C••••	MEMBER, IAR	A	yes	04/2018	May 17, 2018	Nov 10, 2022
D•••••• J••••• C•••••••••	MEMBER, IAR, PRESIDENT	A	yes	02/2017	Apr 3, 2017	Nov 10, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
J••••• N••••• S••••	n/a	n/a	n/a	N	no	n/a
W•••••• G••••• D••••	n/a	n/a	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
MOUNT SHASTA	CA	United States	2	no
Orinda	CA	United States	2	no
Healdsburg	CA	United States	1	no
Pleasanton	CA	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
2021	Mar 23, 2022

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$1.8B	$1.4B	29.7%	$968M	23.1%	26	13	5	5

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C•••••• L••	11	Jan 5, 2023	Jan 21, 2026	PETALUMA, CA	Firm absorbed	RIA to RIA	78.6%
C•••••• L••	2	Jan 5, 2023	Feb 4, 2026

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
D••••• W••••• M••••••••• L••	5	May 30, 2017	May 30, 2017	PETALUMA, CA	Firm absorbed	Other	100.0%

Relationships

Controls (5)

← S••••• J•••••• K•OwnerMEMBER, IAR, CHIEF COMPLIANCE OFFICER, ownership code A, individual
Mar 8, 2019 to presentfactForm ADV
← A••••• J•••••• C•••••••• C••••OwnerMEMBER, IAR, ownership code A, individual
May 17, 2018 to presentfactForm ADV
← D••••• W••••••• G•••••OwnerMEMBER, IAR, ownership code A, individual
Apr 3, 2017 to presentfactForm ADV
← D•••••• J••••• C•••••••••OwnerMEMBER, IAR, PRESIDENT, ownership code A, individual
Apr 3, 2017 to presentfact

Dated events

Occurred
Jan 5, 2023
Team lift-out
2 advisors left E••• W••••• M••••••••• L•• (Reno, NV) for C•••••• L•• on the same day
Form ADVobserved 7 days ago
2 advisors
Occurred
Jan 5, 2023
Firm absorbed
E••• W••••• M••••••••• L••'s advisors moved to C•••••• L•• (Petaluma, CA): 11 of 14 registered, on the same day
Form ADVobserved 7 days ago
11 advisors
Occurred
Jan 5, 2023
Advisor changed firm
Casey August C•••• left E••• W••••• M••••••••• L•• for C•••••• L•• (registered 2023-01-10)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8048b9dd-5ac9-8106-651a-b7cca946ea95
First observed: Apr 3, 2017
Last observed: Nov 10, 2022 47 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.