DFX Intelligence

R•• F••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 10b 100b

R•• F••••••••• L••

CRD 294105

SAN RAFAEL, CA

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Search this name across graphsid dfx:ria:d669d7ba-d8c6-c013-ac58-1f6d98a580c7

Data as of Jun 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 27
Dated events: 6
On other graphs: 1
Observed: Jun 4, 2018 to Jun 29, 2026
27 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

R•• F•••••••• L••

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: institutional managerderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=true related_bank=false bd_reps=7.0
Regulatory AUM: $11B••• Locked
Discretionary RAUM: $8.9B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $2.7Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••• J••• W•••	n/a	Fort Mill, SC \| SAN RAFAEL, CA	0	43	4	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••• R••••••••• P••••••• L••	MANAGING MEMBER, SOLE OWNER	E	yes	04/2018	Jun 4, 2018	Mar 29, 2024
G••••• C••••• C••••••	Cco	Na	yes	03/2023	Jun 4, 2018	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G••••• R••••••••• P••••••• L••	n/a	Institutional manager	$170B	Y	yes	n/a
T••••• A•••••••• I•••	n/a	Former SEC adviser	$16B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Charlotte	Nc	United States	1	no

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
1	0	1	0.0%	0	0	0	1	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	$11B	$8.0B	36.2%	$6.2B	20.8%	12	12	1	1

Relationships

Affiliated with (12)

← H•• I••••••••• P•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ M••••••••• A••••••• S•••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
→ T••••• A•••••••• I•••• A• H•• I••••••••• C••••••Registered adviserother investment adviser, common control
factForm ADV
→ H•• I••••••••• A•••••••• I••Registered adviser

Dated events

Occurred
Mar 31, 2026
Regulatory AUM changed
R•• F••••••••• L•• reported RAUM $10.9B, up 36% from $8.0B (2025-03-31 to 2026-03-31)
Form ADVobserved 7 days ago
$2.9B
Occurred
Mar 31, 2025
Regulatory AUM changed
R•• F••••••••• L•• reported RAUM $8.0B, up 52% from $5.3B (2025-01-30 to 2025-03-31)
Form ADVobserved 7 days ago
$2.7B
Occurred
Mar 29, 2023
Regulatory AUM changed
R•• F••••••••• L•• reported RAUM $6.2B, up 55% from $4.0B (2022-03-30 to 2023-03-29)
Form ADVobserved 7 days ago
$2.2B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d669d7ba-d8c6-c013-ac58-1f6d98a580c7
First observed: Jun 4, 2018
Last observed: Jun 29, 2026 2 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.