DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

S•• F•••••••• W••••• P••••••• L••

CRD 296438

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Data as of Sep 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 30, 2026 to Sep 22, 2026
2 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= related_bank= bd_reps=0.0
Regulatory AUM: $112M••• Locked
Discretionary RAUM: $112M
Private client RAUM: $112Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $56.1Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M••••••• D••••• G•••••••••	Certified Financial Planner	PETALUMA, CA	8	17	2	no
A••••• H••••	Certified Financial Planner	Draper, UT \| PETALUMA, CA	0	11

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••••••• M•••••••• D•••••	FOUNDER, WEALTH ADVISOR, AND CCO	E	yes	02/2018	Jun 30, 2026	Jun 30, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	1	0	0	1	0

Relationships

Registered with (2)

← A••••• H••••Advisorregistration: current employment
Jun 30, 2026 to presentfactForm ADV
← M••••••• D••••• G•••••••••Advisorregistration: current employment
Jun 5, 2018 to presentfactForm ADV

Controls (1)

← G••••••••• M•••••••• D•••••OwnerFOUNDER, WEALTH ADVISOR, AND CCO, ownership code E, individual
Jun 30, 2026 to Jun 30, 2026factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 30, 2026
Last observed: Sep 22, 2026 44 h 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.