DFX Intelligence

P•••••• P••••••••• 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•••••• P••••••••• I•••

CRD 111905

SAN MATEO, CA

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Search this name across graphsid dfx:ria:911f40d3-5151-b38f-148a-14e8f61419d3

Data as of Sep 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Mar 16, 2017 to Sep 2, 2026
22 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=0.99 fund_share=0.0 institutional_share=0.01 related_bd= related_bank= bd_reps=2.0
Regulatory AUM: $293M••• Locked
Discretionary RAUM: $293M
Private client RAUM: $290Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $147Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D••••• B•••• B•••	n/a	SAN MATEO, CA	26	33	n/a	yes
M••• T•••• F••••••	Certified Financial Planner	SAN MATEO, CA	13	16

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••• D•••••• B••••	VICE PRESIDENT	B	yes	02/2002	Mar 16, 2017	Jun 25, 2024
B•••• R•••••• F••••	PRESIDENT / CHIEF COMPLIANCE OFFICER	E	yes	08/1984	Mar 16, 2017	Jun 25, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	$293M	$276M	6.3%	$221M	9.9%	3	4	0	0

Relationships

Registered with (2)

← M••• T•••• F••••••Advisorregistration: current employment
Oct 30, 2012 to presentfactForm ADV
← D••••• B•••• B•••Advisorregistration: current employment
Sep 18, 2000 to presentfactForm ADV

Controls (2)

← B•••• R•••••• F••••OwnerPRESIDENT / CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 16, 2017 to Jun 25, 2024factForm ADV
← B•••• D•••••• B••••

Dated events

Occurred
Mar 16, 2017
First Form ADV filing
P•••••• P••••••••• I••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:911f40d3-5151-b38f-148a-14e8f61419d3
First observed: Mar 16, 2017
Last observed: Sep 2, 2026 20 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.