DFX Intelligence

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H•••••••• R•••••• C••••••

Independent wealth managerSEC-registered· Kentfield, California

Independent wealth manager, based in Kentfield, California, reporting $282M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-02-09 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $282M
Advisors: 0
RAUM change, 1 year: +2.6%
Private clients: 75%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-02-09 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 9 Feb 2026, RAUM $275M to $282M (+2.6%) on the Form ADV filed 9 Feb 2026.

Every filed figure, and the identifiersCRD 104649 · SEC 801-8374 · 17 filingsShow

CRD 104649SEC 801-8374First filing on the tape Mar 19, 2012, latest Feb 9, 2026SEC status approved since Feb 3, 1972IAPD

RAUM

$282M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

75%

$213M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

17 filings and snapshots on the tape

RAUM +11% a year over three years · the tape starts Mar 19, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$282M as of Feb 9, 2026

Mar 19, 2012$98.7M then

HNW client RAUM$203M as of Feb 9, 2026

Mar 2, 2018$121M then

State-registered IARs (5.B.3)0 as of Feb 9, 2026

Mar 19, 20120 then

Employees (5.A)2 as of Feb 9, 2026

Mar 4, 20133 then

Private funds: no history

RAUM +2.6% over the last fiscal year+11% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Feb 9, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.0MderivedHNW RAUM over HNW clients
Average account: $3.5MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 6.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year: +2.6%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: -6.3%derived
Compensation: percentage of assets, hourlyreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody: $681,108, 1 clientreportedItem 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

72% high-net-worth individuals, 18% corporations and businesses, and 3 other client types

The breakdown by client type, and the client counts5 client typesShow

High-net-worth individuals$203M72%
Corporations and businesses$51.2M18%
Pension and profit-sharing plans$15.6M5.5%
Individuals$9.7M3.4%
Charitable organizations$2.5M0.9%

Individual clients: 23reported
HNW clients: 51reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 80reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $681,108 for 1 clientreported
Compensation: % of AUM, hourlyreported
Class basis: RAUM: 75% private clients, 0% pooled funds, 6% institutions; no related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

H••••••••• R••••••• C•••••• · Sole Prop./Chief Compliance Officercontrol
since 02/1972 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

account count collapseChange between filings · filing Feb 9, 2026
accounts (Item 5.F.2.f) moved from 235.0 to 80.0 (-66.0%) between the annual amendments of 2025-03-21 and 2026-02-09; the peer median change was +5.0% (3683 comparable advisers, 1.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (3,683) · 1.3% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 235 to 80
Mar 21, 2025 to Feb 9, 2026
Individual clients · 28 to 23
Mar 21, 2025 to Feb 9, 2026
Assets in custody · $763,963 to $681,108
Mar 21, 2025 to Feb 9, 2026
Discretionary RAUM · $275M to $282M
Mar 21, 2025 to Feb 9, 2026
HNW RAUM · $203M to $203M
Mar 21, 2025 to Feb 9, 2026

Full history · 80 changes

Individual RAUM · $9.1M to $9.7M
Mar 21, 2025 to Feb 9, 2026
Pension RAUM · $13.4M to $15.6M
Mar 21, 2025 to Feb 9, 2026
RAUM · $275M to $282M
Mar 21, 2025 to Feb 9, 2026
Accounts · 224 to 235
Feb 29, 2024 to Mar 21, 2025
HNW clients · 56 to 51
Feb 29, 2024 to Mar 21, 2025
Individual clients · 29 to 28
Feb 29, 2024 to Mar 21, 2025
Financial planning clients · 0 to 0
Feb 29, 2024 to Mar 21, 2025
Discretionary RAUM · $240M to $275M
Feb 29, 2024 to Mar 21, 2025
HNW RAUM · $184M to $203M
Feb 29, 2024 to Mar 21, 2025
Individual RAUM · $8.5M to $9.1M
Feb 29, 2024 to Mar 21, 2025
Pension RAUM · $11.9M to $13.4M
Feb 29, 2024 to Mar 21, 2025
RAUM · $240M to $275M
Feb 29, 2024 to Mar 21, 2025
Accounts · 220 to 224
May 1, 2023 to Feb 29, 2024
HNW clients · 51 to 56
May 1, 2023 to Feb 29, 2024
Individual clients · 26 to 29
May 1, 2023 to Feb 29, 2024
Assets in custody · $593,287 to $763,963
May 1, 2023 to Feb 29, 2024
Discretionary RAUM · $207M to $240M
May 1, 2023 to Feb 29, 2024
HNW RAUM · $158M to $184M
May 1, 2023 to Feb 29, 2024
Individual RAUM · $7.2M to $8.5M
May 1, 2023 to Feb 29, 2024
Pension RAUM · $10.4M to $11.9M
May 1, 2023 to Feb 29, 2024
RAUM · $207M to $240M
May 1, 2023 to Feb 29, 2024
Accounts · 204 to 220
Mar 16, 2022 to May 1, 2023
HNW clients · 52 to 51
Mar 16, 2022 to May 1, 2023
Individual clients · 30 to 26
Mar 16, 2022 to May 1, 2023
Assets in custody · $682,819 to $593,287
Mar 16, 2022 to May 1, 2023
Discretionary RAUM · $266M to $207M
Mar 16, 2022 to May 1, 2023
HNW RAUM · $198M to $158M
Mar 16, 2022 to May 1, 2023
Individual RAUM · $8.8M to $7.2M
Mar 16, 2022 to May 1, 2023
Pension RAUM · $13.0M to $10.4M
Mar 16, 2022 to May 1, 2023
RAUM · $266M to $207M
Mar 16, 2022 to May 1, 2023
Accounts · 201 to 204
Mar 24, 2021 to Mar 16, 2022
HNW clients · 46 to 52
Mar 24, 2021 to Mar 16, 2022
Individual clients · 32 to 30
Mar 24, 2021 to Mar 16, 2022
Assets in custody · $528,154 to $682,819
Mar 24, 2021 to Mar 16, 2022
Discretionary RAUM · $197M to $266M
Mar 24, 2021 to Mar 16, 2022
HNW RAUM · $142M to $198M
Mar 24, 2021 to Mar 16, 2022
Individual RAUM · $11.0M to $8.8M
Mar 24, 2021 to Mar 16, 2022
Pension RAUM · $8.9M to $13.0M
Mar 24, 2021 to Mar 16, 2022
RAUM · $197M to $266M
Mar 24, 2021 to Mar 16, 2022
Accounts · 167 to 201
Jun 24, 2020 to Mar 24, 2021
HNW clients · 47 to 46
Jun 24, 2020 to Mar 24, 2021
Individual clients · 29 to 32
Jun 24, 2020 to Mar 24, 2021
Assets in custody · $414,670 to $528,154
Jun 24, 2020 to Mar 24, 2021
Discretionary RAUM · $171M to $197M
Jun 24, 2020 to Mar 24, 2021
HNW RAUM · $124M to $142M
Jun 24, 2020 to Mar 24, 2021
Individual RAUM · $8.1M to $11.0M
Jun 24, 2020 to Mar 24, 2021
Pension RAUM · $8.8M to $8.9M
Jun 24, 2020 to Mar 24, 2021
RAUM · $171M to $197M
Jun 24, 2020 to Mar 24, 2021
Accounts · 211 to 167
Mar 14, 2019 to Mar 26, 2020
HNW clients · 54 to 47
Mar 14, 2019 to Mar 26, 2020
Individual clients · 26 to 29
Mar 14, 2019 to Mar 26, 2020
Assets in custody · $1.1M to $414,670
Mar 14, 2019 to Mar 26, 2020
Discretionary RAUM · $152M to $171M
Mar 14, 2019 to Mar 26, 2020
HNW RAUM · $109M to $124M
Mar 14, 2019 to Mar 26, 2020
Individual RAUM · $6.8M to $8.1M
Mar 14, 2019 to Mar 26, 2020
Pension RAUM · $9.2M to $8.8M
Mar 14, 2019 to Mar 26, 2020
RAUM · $152M to $171M
Mar 14, 2019 to Mar 26, 2020
Accounts · 89 to 211
Mar 2, 2018 to Mar 14, 2019
HNW clients · 42 to 54
Mar 2, 2018 to Mar 14, 2019
Individual clients · 42 to 26
Mar 2, 2018 to Mar 14, 2019
Assets in custody · $4.7M to $1.1M
Mar 2, 2018 to Mar 14, 2019
Discretionary RAUM · $178M to $152M
Mar 2, 2018 to Mar 14, 2019
HNW RAUM · $121M to $109M
Mar 2, 2018 to Mar 14, 2019
Individual RAUM · $14.5M to $6.8M
Mar 2, 2018 to Mar 14, 2019
Pension RAUM · $9.7M to $9.2M
Mar 2, 2018 to Mar 14, 2019
RAUM · $178M to $152M
Mar 2, 2018 to Mar 14, 2019
Accounts · 216 to 89
Feb 9, 2017 to Mar 2, 2018
HNW clients · unset to 42.0
Feb 9, 2017 to Mar 2, 2018
Individual clients · unset to 42.0
Feb 9, 2017 to Mar 2, 2018
Pooled vehicle clients · unset to 0.0
Feb 9, 2017 to Mar 2, 2018
Assets in custody · unset to 4744872.0
Feb 9, 2017 to Mar 2, 2018
Custody of client assets · false to true
Feb 9, 2017 to Mar 2, 2018
Other offices · unset to 0.0
Feb 9, 2017 to Mar 2, 2018
Discretionary RAUM · $152M to $178M
Feb 9, 2017 to Mar 2, 2018
HNW RAUM · unset to 121184646.0
Feb 9, 2017 to Mar 2, 2018

Signals

No event on the tape.

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

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Feb 9, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.