DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

P•••••• S••••••••• I•••

P•••••• S•••••••• FINANCIAL & INSURANCE SERVICES, INC., CRD 105052

FOLSOM, CA

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Search this name across graphsid dfx:ria:8cc003d2-e191-d1ce-eb67-7f1395371157

Data as of Apr 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 1
On other graphs: 0
Observed: Mar 20, 2012 to Apr 2, 2026
29 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $671M••• Locked
Discretionary RAUM: $663M
Private client RAUM: $671Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $83.9Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C•••• W• A••••	Certified Financial Planner	FOLSOM, CA	24	25	n/a	no
C•••••••• L••••• D•••••	n/a	FOLSOM, CA	11	23

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• C••••• W•	President	D	yes	11/2013	Mar 20, 2012	Mar 26, 2024
D•••••• C••••••••• L•••••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2014	Mar 19, 2014	Mar 26, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
J••• R• R•••••••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

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

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	$671M	$540M	24.3%	$398M	19.0%	11	10	0	0

Relationships

Registered with (8)

← C••••• J••••• O••••••Advisorregistration: current employment
Sep 2, 2026 to presentfactForm ADV
← M•••••• G••••••• Y••••Advisorregistration: current employment
Sep 1, 2026 to presentfactForm ADV
← S•••••• M•••••• D••••••••Advisorregistration: current employment
Oct 30, 2024 to presentfactForm ADV
← J••• R••••• R•••••••

Dated events

Occurred
Feb 22, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8cc003d2-e191-d1ce-eb67-7f1395371157
First observed: Mar 20, 2012
Last observed: Apr 2, 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.