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
C••••••• S••••• C••••••• I•••
Latest filing Apr 17, 2026
First filing on the tape Jan 3, 2012 · 34 filings
SEC status approved since Feb 8, 2006
RAUM
$606M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
96%
$579M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$75.7M
derived; firm RAUM over IAPD count
Employees
17
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$606M as of Apr 17, 2026
Jan 3, 2012$98.1M then
HNW client RAUM$425M as of Apr 17, 2026
Jan 5, 2018$114M then
State-registered IARs (5.B.3)5 as of Apr 17, 2026
Jan 3, 20120 then
Employees (5.A)17 as of Apr 17, 2026
Jan 2, 201313 then
Private funds: no history
RAUM +6.1% over the last fiscal year+26% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Apr 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $75.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $484,928derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.1derivedItem 5.A over advisors
- Advisors per office
- 2.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $360M, 322 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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$425M70%
- Individuals$154M25%
- Corporations and businesses$22.7M3.7%
- Pension and profit-sharing plans$3.5M0.6%
- Charitable organizations$546,0840.1%
- Individual clients
- 381reported
- HNW clients
- 147reported
- Pension plan clients
- 7reported
- Charitable clients
- n/areported
- Accounts
- 1,249reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $360M for 322 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=14.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• F•••••• H••••• | Sausalito, Ca | Nov 19, 2009 | 22 y | 0 |
| E••••• T••••• S•••• | Sausalito, Ca | Jul 30, 2020 | 20 y | 0 |
| E••• L••• H•••••• | Santa Rosa, Ca | Mar 2, 2023 | 27 y | 4 |
| G•••••• J••••• H••••• | Santa Rosa, Ca | Mar 2, 2023 | 17 y | 2 |
| J••••• K•••• R•••••• | Sausalito, Ca | Apr 7, 2023 | 11 y | 0 |
| S•••• D•••• M••••••Chartered Financial Analyst | Sweet, Id | Dec 11, 2023 | 39 y | 1 |
| S••• P•••••• T•••• | Deer Park, Ny | May 14, 2024 | 15 y | 2 |
| J•• C•••••••• G••••• | Sausalito, Ca | Jun 20, 2025 | 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 headcount1 left over 36 months
Left, latest
- O••• G••••• to C•••••• S••••• C•••••• M••••••• L••Mar 13, 2024 · Other
Joined, latest
- S••• P•••••• T•••• from S••• I••••••••• C••••••May 14, 2024 · RIA to RIA
- S•••• D•••• M•••••• from M••••• C••••• I•••Dec 11, 2023 · Other
- G•••••• J••••• H••••• from L••••• F••••••••• I•••Mar 2, 2023 · Affiliated broker-dealer or bank to independent RIA
- E••• L••• H•••••• from L••••• F••••••••• I•••Mar 2, 2023 · Affiliated broker-dealer or bank to independent RIA
- O••• G••••• from 1••• A•••••••Jul 13, 2022 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from L••••• F••••••••• I•••Feb 24, 2023 · Santa Rosa, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• C••••••••• W•••••• · Chief Financial Officercontrolsince 08/2018 · owns less than 5%
- H•••••• J••• C••••••• · Founder, Trusteecontrolsince 07/2017 · owns less than 5%
- H•••••• J••••• F•••••• · President, Co-Trusteecontrolsince 08/2008 · owns 50% to 75%
- H•••••• J••• C••••••• · Trusteecontrolsince 01/2005 · owns 25% to 50% of J••• A•• J••• H••••• R•••••••• T•••• D•••• J•••••• 4• 2•••
- A••••• M••• · Managing Directorsince 07/2017 · owns less than 5%
- D•••••• J••••• M•••••• · Senior Managing Directorsince 10/2017 · owns less than 5%
- H•••••• K••••••• R••••• · Directorsince 05/2022 · owns less than 5%
- M••••••• S•••• D•••• · Managing Directorsince 07/2017 · owns less than 5%
- H•••••• J••••• F•••••• · Co-Trusteesince 03/2021 · owns F of J••• A•• J••• H••••• R•••••••• T•••• D•••• J•••••• 4• 2•••
Entity owners
- J••• A•• J••• H••••• R•••••••• T•••• D•••• J•••••• 4• 2••• · Shareholderdirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Sausalito, Ca · principal | 7 | 0 | 0 | ||
| Santa Rosa, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Santa Rosa, CA3 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,225 to 1,249May 27, 2025 to Dec 19, 2025
- Advisory employees · 6 to 5May 27, 2025 to Dec 19, 2025
- BD registered reps · 18 to 14May 27, 2025 to Dec 19, 2025
- Corporate clients · 7 to 11May 27, 2025 to Dec 19, 2025
- HNW clients · 149 to 147May 27, 2025 to Dec 19, 2025
- Individual clients · 377 to 381May 27, 2025 to Dec 19, 2025
- Pension plan clients · unset to 7.0May 27, 2025 to Dec 19, 2025
- Commission compensation · true to falseMay 27, 2025 to Dec 19, 2025
- Assets in custody · $130M to $360MMay 27, 2025 to Dec 19, 2025
- Employees · 20 to 17May 27, 2025 to Dec 19, 2025
- State-registered IARs · 6 to 5May 27, 2025 to Dec 19, 2025
- Discretionary RAUM · $539M to $575MMay 27, 2025 to Dec 19, 2025
- HNW RAUM · $406M to $425MMay 27, 2025 to Dec 19, 2025
- Individual RAUM · $142M to $154MMay 27, 2025 to Dec 19, 2025
- Non-discretionary RAUM · $31.6M to $30.9MMay 27, 2025 to Dec 19, 2025
- Pension RAUM · $2.6M to $3.5MMay 27, 2025 to Dec 19, 2025
- RAUM · $571M to $606MMay 27, 2025 to Dec 19, 2025
- Financial planning clients · 0 to 0Jan 21, 2025 to May 27, 2025
- Accounts · 1,256 to 1,225Dec 11, 2023 to Dec 23, 2024
- Advisory employees · 7 to 6Dec 11, 2023 to Dec 23, 2024
- BD registered reps · 20 to 18Dec 11, 2023 to Dec 23, 2024
- HNW clients · 142 to 149Dec 11, 2023 to Dec 23, 2024
- Individual clients · 381 to 377Dec 11, 2023 to Dec 23, 2024
- Pension plan clients · 5.0 to unsetDec 11, 2023 to Dec 23, 2024
- Assets in custody · $55.9M to $130MDec 11, 2023 to Dec 23, 2024
- Employees · 23 to 20Dec 11, 2023 to Dec 23, 2024
- State-registered IARs · 7 to 6Dec 11, 2023 to Dec 23, 2024
- Other offices · 4 to 2Dec 11, 2023 to Dec 23, 2024
- Discretionary RAUM · $452M to $539MDec 11, 2023 to Dec 23, 2024
- HNW RAUM · $342M to $406MDec 11, 2023 to Dec 23, 2024
- Individual RAUM · $125M to $142MDec 11, 2023 to Dec 23, 2024
- Non-discretionary RAUM · $36.9M to $31.6MDec 11, 2023 to Dec 23, 2024
- Pension RAUM · $2.7M to $2.6MDec 11, 2023 to Dec 23, 2024
- RAUM · $488M to $571MDec 11, 2023 to Dec 23, 2024
- Accounts · 559 to 1,256Mar 2, 2023 to Dec 11, 2023
- Advisory employees · 3 to 7Mar 2, 2023 to Dec 11, 2023
- Advisory activities · 1 to 2Mar 2, 2023 to Dec 11, 2023
- BD registered reps · 13 to 20Mar 2, 2023 to Dec 11, 2023
- Corporate clients · unset to 7.0Mar 2, 2023 to Dec 11, 2023
- HNW clients · 89 to 142Mar 2, 2023 to Dec 11, 2023
Signals
4 dated events
- O••• G••••• left C••••••• S••••• C••••••• I••• for C•••••• S••••• C•••••• M••••••• L•• (registered 2024-03-13)Mar 13, 2024 · Advisor changed firm · fact
- C••••••• S••••• C••••••• I••• reported RAUM $488.4M, up 63% from $299.7M (2023-03-02 to 2023-12-11)Dec 11, 2023 · RAUM change · derived
- 2 advisors left L••••• F••••••••• I••• (Santa Rosa, CA) for C••••••• S••••• C••••••• I••• on the same dayFeb 24, 2023 · Team lift-out · derived
- Mary Dolores Helmer (Trustee) no longer on Schedule A of C••••••• S••••• C••••••• I••• (listed 2021-12-16, absent 2022-01-13)Jan 13, 2022 · Control person left · inference
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 phone
- 415-962-2526reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- w••.c•••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-962-2526reportedpublic record, Form ADV, Apr 17, 2026
- Contact form
- c•••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- c•••.comreportedpublished 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
- $75.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026