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

independent wealth managerderivedprivate_client_share=0.7 fund_share=0.0 institutional_share=0.3 related_bd=false related_bank=false bd_reps=0.0

Regulatory AUM

$522MItem 5.F on the latest filing (2026-03-03); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$522M

Private client RAUM

$363MderivedItem 5.D individuals plus high net worth individuals

Private client share

70%derivedprivate client RAUM over total RAUM

Advisors on IAPD

1

RAUM per advisor

$522Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Employees

2

Advisory employees

1

Offices

0Schedule D 1.F, beyond the principal office

Accounts

188

High net worth clients

34

Custody, client assets

$133M

SEC number

801-44823

CRD

111368

Filings on the tape

24

First filed

Mar 29, 2012

Latest filed

Mar 3, 2026

Organised

Corporation, CA

Graph

RIA / Wealth Management

Canonical id

dfx:ria:bcd8198d-9769-cc3a-c0b8-266a8eb0c853

First observed

Mar 29, 2012

Last observed

Mar 3, 2026 6 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.