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.

Firm class

mixed wealth managerderivedprivate_client_share=0.35 fund_share=0.0 institutional_share=0.65 related_bd=false related_bank=false bd_reps=0.0

Regulatory AUM

$517MItem 5.F on the latest filing (2026-06-17); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$513M

Private client RAUM

$181MderivedItem 5.D individuals plus high net worth individuals

Private client share

35%derivedprivate client RAUM over total RAUM

Advisors on IAPD

2

RAUM per advisor

$259Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Employees

7

Advisory employees

3

Offices

0Schedule D 1.F, beyond the principal office

Accounts

212

Individual clients

47

High net worth clients

40

SEC number

801-7333

CIK

1276755

CRD

110399

Filings on the tape

23

First filed

Mar 29, 2012

Latest filed

Jun 17, 2026

Organised

Corporation, CA

Graph

RIA / Wealth Management

Canonical id

dfx:ria:b13c59cf-a4b3-83bf-84e2-6b5dfe551e83

First observed

Mar 29, 2012

Last observed

Jun 17, 2026 3 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.