DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

T••• C•••••• M••••••••• L•••

CRD 107049

SAN RAFAEL, CA

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Search this name across graphsid dfx:ria:8132ea45-c64d-09b5-9382-f7fab4043412

Data as of Feb 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 5
On other graphs: 0
Observed: Mar 23, 2012 to Feb 23, 2026
31 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 managerderivedprivate_client_share=0.61 fund_share=0.03 institutional_share=0.2 related_bd=false related_bank=false bd_reps=1.0
Regulatory AUM: $890M••• Locked
Discretionary RAUM: $874M
Private client RAUM: $546Mderived••• Locked
Private client share: 61%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••••• C•••••• F•••• L•	Hedge Fund	$12.9M	Apr 3, 2020	5	Mar 29, 2018	dropped	021-235602
T•• S•• I• L••	Other Private Fund	$9.4M	Jun 22, 2022

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
I•• M••••••	PARTNER AND DIRECTOR OF RESEARCH	Na	yes	06/2020	Jun 25, 2020	Feb 26, 2024
M••••••• G••••• L••	PARTNER LIMITED LIABILITY	E	yes	01/2007	Jun 5, 2017	Feb 26, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••••• G••••• L••	n/a	n/a	n/a	Y	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

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	$890M	$959M	-7.1%	$868M	0.8%	7	7	0	0

Relationships

Affiliated with (1)

← M•••• C••••••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (6)

← W••••••••• E•••• A•••••OwnerMANAGING PARTNER, ownership code C, individual
Mar 18, 2015 to Feb 26, 2024factForm ADV
← T•••• Q•••• K•••OwnerMANAGING PARTNER, ownership code D, individual
Mar 23, 2012 to Feb 26, 2024factForm ADV
← I•• M••••••OwnerPARTNER AND DIRECTOR OF RESEARCH, ownership code NA, individual

Dated events

Occurred
Mar 15, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-570M
Occurred
Jun 25, 2020
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 25, 2020
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 29, 2019
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8132ea45-c64d-09b5-9382-f7fab4043412
First observed: Mar 23, 2012
Last observed: Feb 23, 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.