DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

W••••••••• A•••••••• I•••

CRD 297192

PLACERVILLE, CA

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Search this name across graphsid dfx:ria:a1609470-5e0e-cabe-65fc-d2046bcfba8b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Apr 9, 2021 to Sep 14, 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=0.96 fund_share=0.0 institutional_share=0.04 related_bd= related_bank= bd_reps=0.0
Regulatory AUM: $172M••• Locked
Discretionary RAUM: $172M
Private client RAUM: $166Mderived••• Locked
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $57.5Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A••• L••••• A•••••••	n/a	PLACERVILLE, CA	8	29	3	no
B•••• L•••• A•••••••	Certified Financial Planner	PLACERVILLE, CA	8	11

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• A•••• L•••••	PRESIDENT/ CEO/ CHIEF COMPLIANCE OFFICER	E	yes	08/2010	Apr 9, 2021	Dec 11, 2024
A•••••••• A•••••• L•••	Secretary	Na	no	08/2010	Apr 9, 2021	Dec 11, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 2, 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
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	$172M	$164M	5.4%	$131M	9.6%	6	4	0	0

Relationships

Registered with (4)

← B••••••• H•••••••• A•••••••Advisorregistration: current employment
Aug 27, 2026 to presentfactForm ADV
← B•••• L•••• A•••••••Advisorregistration: current employment
Aug 30, 2018 to presentfactForm ADV
← A••• L••••• A•••••••Advisorregistration: current employment
Aug 22, 2018 to presentfactForm ADV
← J••••• W•••••• H••••••••

Dated events

Occurred
Apr 9, 2021
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a1609470-5e0e-cabe-65fc-d2046bcfba8b
First observed: Apr 9, 2021
Last observed: Sep 14, 2026 9 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.