DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
T•• P•••••• C••••• F•• F•••••••• S•••••••
Latest filing Jun 1, 2026
First filing on the tape Mar 30, 2012 · 29 filings
SEC status approved since Dec 16, 1997
RAUM
$961M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
100%
$961M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$192M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$961M as of Jun 1, 2026
Sep 14, 2012$366M then
HNW client RAUM$798M as of Jun 1, 2026
Sep 20, 2018$390M then
State-registered IARs (5.B.3)4 as of Jun 1, 2026
Sep 5, 20135 then
Employees (5.A)4 as of Jun 1, 2026
Sep 5, 20139 then
Private funds: no history
RAUM +9.3% over the last fiscal year+11% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jun 1, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $192MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 156derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $574,500derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 1.0derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Financial planning clients
- 700reportedItem 5.H
- Custody
- $961M, 781 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$798M83%
- Individuals$163M17%
- Individual clients
- 450reported
- HNW clients
- 331reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,672reported
- Financial planning clients
- 700reported
- Wrap fee programs
- noreported
- Custody of client assets
- $961M for 781 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• F•••••••• S•••••••••Certified Financial Planner | Danville, Ca | Jun 18, 1999 | 37 y | 2 |
| J••• B•••••• B••••••• | Danville, Ca | Jun 18, 1999 | 31 y | 2 |
| C••• M•••••• F••••• | Danville, Ca | May 15, 2006 | 25 y | 0 |
| A••••• M• S•••• | Danville, Ca | Apr 18, 2013 | 22 y | 0 |
| A•••••• S•••••••••Certified Financial Planner | Danville, Ca | Aug 22, 2026 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- B••••••• Y•• C••••• W••• to C••••• I••••••••• A••••••• L••Sep 1, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• G••••• · Cfo/Directorcontrolsince 04/1997 · owns less than 5%
- S••••••••• S••••••• F•••••••• · Chief Compliance Officercontrolsince 12/2004 · owns less than 5%
- S••••••••• G••••• · Trustee/Ownercontrolsince 03/2007 · owns 50% to 75% of S••••••••• F••••• T••••
- S••••••••• S••••••• F•••••••• · Trustee/Ownercontrolsince 03/2007 · owns 50% to 75% of S••••••••• F••••• T••••
Entity owners
- S••••••••• F••••• T•••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Danville, Ca · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jun 1, 2026S••••••••• G••••• (CFO/DIRECTOR) left Schedule A between the filings of 2013-09-05 and 2026-06-01peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- HQ city · SAN RAMON to DANVILLEApr 30, 2026 to Jun 1, 2026
- Accounts · 1,644 to 1,672Sep 27, 2024 to Sep 29, 2025
- HNW clients · 300 to 331Sep 27, 2024 to Sep 29, 2025
- Individual clients · 481 to 450Sep 27, 2024 to Sep 29, 2025
- Assets in custody · $874M to $961MSep 27, 2024 to Sep 29, 2025
- Financial planning clients · More than 500 to More than 500Sep 27, 2024 to Sep 29, 2025
- Discretionary RAUM · $820M to $902MSep 27, 2024 to Sep 29, 2025
- HNW RAUM · $700M to $798MSep 27, 2024 to Sep 29, 2025
- Individual RAUM · $179M to $163MSep 27, 2024 to Sep 29, 2025
- Non-discretionary RAUM · $59.3M to $58.9MSep 27, 2024 to Sep 29, 2025
- RAUM · $879M to $961MSep 27, 2024 to Sep 29, 2025
- Accounts · 1,585 to 1,644Nov 21, 2023 to Sep 27, 2024
- HNW clients · 266 to 300Nov 21, 2023 to Sep 27, 2024
- Individual clients · 479 to 481Nov 21, 2023 to Sep 27, 2024
- Assets in custody · $220M to $874MNov 21, 2023 to Sep 27, 2024
- Other offices · 0 to 4Nov 21, 2023 to Sep 27, 2024
- Discretionary RAUM · $704M to $820MNov 21, 2023 to Sep 27, 2024
- HNW RAUM · $578M to $700MNov 21, 2023 to Sep 27, 2024
- Individual RAUM · $181M to $179MNov 21, 2023 to Sep 27, 2024
- Non-discretionary RAUM · $54.5M to $59.3MNov 21, 2023 to Sep 27, 2024
- RAUM · $759M to $879MNov 21, 2023 to Sep 27, 2024
- Accounts · 1,611 to 1,585Sep 28, 2022 to Sep 29, 2023
- HNW clients · 258 to 266Sep 28, 2022 to Sep 29, 2023
- Individual clients · 498 to 479Sep 28, 2022 to Sep 29, 2023
- Assets in custody · unset to 220433589.0Sep 28, 2022 to Sep 29, 2023
- Custody of client assets · false to trueSep 28, 2022 to Sep 29, 2023
- Discretionary RAUM · $626M to $704MSep 28, 2022 to Sep 29, 2023
- HNW RAUM · $527M to $578MSep 28, 2022 to Sep 29, 2023
- Individual RAUM · $177M to $181MSep 28, 2022 to Sep 29, 2023
- Non-discretionary RAUM · $77.5M to $54.5MSep 28, 2022 to Sep 29, 2023
- RAUM · $703M to $759MSep 28, 2022 to Sep 29, 2023
- Accounts · 1,578 to 1,611Sep 21, 2021 to Sep 28, 2022
- Advisory employees · 5 to 4Sep 21, 2021 to Sep 28, 2022
- Advisory activities · 3 to 2Sep 21, 2021 to Sep 28, 2022
- BD registered reps · 5 to 4Sep 21, 2021 to Sep 28, 2022
- HNW clients · 261 to 258Sep 21, 2021 to Sep 28, 2022
- Individual clients · 499 to 498Sep 21, 2021 to Sep 28, 2022
- Employees · 5 to 4Sep 21, 2021 to Sep 28, 2022
- Insurance-licensed employees · 3 to 2Sep 21, 2021 to Sep 28, 2022
- State-registered IARs · 5 to 4Sep 21, 2021 to Sep 28, 2022
Signals
1 dated events
- B••••••• Y•• C••••• W••• left T•• P•••••• C••••• F•• F•••••••• S••••••• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)Sep 1, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@pcfsonline.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- steves@pcfsonline.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- bradb@pcfsonline.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-545-9898reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 925-838-7700reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- PCFSONLINE.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (925) 838-7700reportedpublic record, Form ADV, Jun 1, 2026
- Contact form
- pcfsonline.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- pcfsonline.com/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $192Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026