DFX Intelligence

A•••• W••••• M••••••••• A•• 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

A•••• W••••• M••••••••• A•• P••••••• L••

CRD 163917

NOVATO, CA

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Search this name across graphsid dfx:ria:d095d1c4-fbd9-8987-c402-f73dc8bd68e7

Data as of Aug 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 7
On other graphs: 0
Observed: May 22, 2012 to Aug 3, 2026
28 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=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=6.0
Regulatory AUM: $320M••• Locked
Discretionary RAUM: $310M
Private client RAUM: $301Mderived••• Locked
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $53.3Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A••••• N•••••• J••••••	Certified Financial Planner	NOVATO, CA	14	29	1	yes
P•••• C••• B••••••••	Certified Financial Planner	NOVATO, CA	11	40

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••• M••••••• J••••	MANAGING MEMBER/PRINCIPAL	D	yes	07/2012	Oct 8, 2012	Nov 14, 2024
J••••••• A•••••• N••••••	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	D	yes	06/2012	May 22, 2012	Nov 14, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SANTA ROSA	CA	United States	2	yes
n/a	n/a	n/a	1	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	1	1

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	$320M	$356M	-10.2%	$244M	9.4%	8	8	3	3

Relationships

Registered with (9)

← J•••• S•••• C•••••Advisorregistration: current employment
Nov 16, 2023 to presentfactForm ADV
← K•••• A• W••••••Advisorregistration: current employment
Aug 20, 2020 to presentfactForm ADV
← W•••••• C••• B••••Advisorregistration: current employment
Apr 19, 2016 to presentfactForm ADV
← R••••• J•••••• A•••••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Aug 3, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Aug 3, 2026
Ria majority owner change
••• Locked
Form ADVobserved today
Occurred
Aug 3, 2026
Ria ownership band change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d095d1c4-fbd9-8987-c402-f73dc8bd68e7
First observed: May 22, 2012
Last observed: Aug 3, 2026 51 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.