DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

W••• F•••••••• A•••••••• I•••

CRD 108627

CAMPBELL, CA

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Search this name across graphsid dfx:ria:c95b54be-7a40-6c00-16fc-6e51d94793ed

Data as of Mar 15, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 12
On other graphs: 0
Observed: Apr 11, 2018 to Mar 15, 2024
15 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $673M••• Locked
Discretionary RAUM: $553M
Private client RAUM: $657Mderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• R••••••• J•••••••	CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER	A	yes	01/2014	Dec 5, 2018	Mar 15, 2024
S••••• E•••• M•••••	OWNER & SENIOR ADVISOR	A	yes	02/2012	Dec 5, 2018	Mar 15, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 15, 2024

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$673M	$605M	11.3%	$560M	6.3%	9	9	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M••••• W••••• M••••••••• L••	7	Mar 28, 2025	Apr 1, 2025	CAMPBELL, CA	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (3)

← W•••• R•••••• D•••OwnerPRESIDENT, ownership code D, individual
Apr 11, 2018 to presentfactForm ADV
← S••••• E•••• M•••••OwnerOWNER & SENIOR ADVISOR, ownership code A, individual
Dec 5, 2018 to presentfactForm ADV
← B•••••• R••••••• J•••••••OwnerCHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER, ownership code A, individual
Dec 5, 2018 to presentfactForm ADV

Owns (2)

← I••••• A••••••• N••OwnerSENIOR ADVISOR, ownership code A, individual

Dated events

Occurred
May 2, 2025
Left the SEC roster
••• Locked
Form ADVobserved 7 days ago
$673M
Occurred
Mar 28, 2025
Firm absorbed
••• Locked
Form ADVobserved 7 days ago
7 advisors
Occurred
Mar 28, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 28, 2025
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c95b54be-7a40-6c00-16fc-6e51d94793ed
First observed: Apr 11, 2018
Last observed: Mar 15, 2024 30 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.