DFX Intelligence

P••••••••• F•••••••• G••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

P••••••••• F•••••••• G••••• I•••

CRD 339321

SAN RAMON, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8c3b633b-d141-1bc9-6e9d-0445ae827b28

Data as of Jul 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 2
On other graphs: 0
Observed: Nov 20, 2025 to Jul 27, 2026
3 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=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=5.0
Regulatory AUM: $503M••• Locked
Discretionary RAUM: $503M
Private client RAUM: $492Mderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $62.9Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A••••• J••••• A•••••	Certified Financial Planner	SAN RAMON, CA	0	16	3	yes
E••••• C•••••• P•••	Certified Financial Planner	SAN RAMON, CA	0	28

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• A•••••• J•••••	CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, VICE PRESIDENT	C	yes	10/2025	Jul 27, 2026	Jul 27, 2026
H•••••• J••••• D••••	President	D	yes	10/2025	Jul 27, 2026	Jul 27, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 10, 2026	$503M	$503M	10	8	1	n/a	n/a

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	0	0	0.0%	0	0	0	0	0

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	$503M	n/a	n/a	n/a	n/a	10	n/a	2	n/a

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
P••••••••• F•••••••• G••••• I•••	7	Dec 24, 2025	Jan 1, 2026	SAN RAMON, CA	Firm absorbed	RIA to RIA	87.5%

Relationships

Controls (2)

← H•••••• J••••• D••••OwnerPRESIDENT, ownership code D, individual
Jul 27, 2026 to presentfactForm ADV
← A•••••• A•••••• J•••••OwnerCHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, VICE PRESIDENT, ownership code C, individual
Jul 27, 2026 to presentfactForm ADV

Registered with (8)

← A•••• S•••Advisorregistration: current employment
Jan 1, 2026 to presentfactForm ADV
← J•••• G•••••••• H•••••••

Dated events

Occurred
Mar 10, 2026
Regulatory AUM changed
P••••••••• F•••••••• G••••• I••• reported RAUM $503.0M, up 40% from $358.9M (2025-11-20 to 2026-03-10)
Form ADVobserved 7 days ago
$144M
Occurred
Dec 24, 2025
Firm absorbed
P••••••••• F•••••••• G••••• I•••'s advisors moved to P••••••••• F•••••••• G••••• I••• (San Ramon, CA): 7 of 8 registered, on the same day
Form ADVobserved 7 days ago
7 advisors

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8c3b633b-d141-1bc9-6e9d-0445ae827b28
First observed: Nov 20, 2025
Last observed: Jul 27, 2026 57 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.