DFX Intelligence

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P•••••• S••••••••• I•••

Independent wealth managerSEC-registered· Folsom, Californiawebsite

Independent wealth manager, based in Folsom, California, reporting $671M of regulatory assets across 8 registered advisors.

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

As of 2026-04-02 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $671M
Advisors: 8
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +24%
Private clients: 100% of RAUM, $671M

Advisors (8)Advisor movement Where the RAUM sits

As of 2026-04-02 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +24% over the last fiscal year, to $671M.
2026-04-02
RAUM a year earlier $540MRAUM now $671M
12 published business contact points are on record, each with its source.
Contact points 12

Every filed figure, and the identifiersCRD 105052 · SEC 801-33162 · 29 filingsShow

CRD 105052SEC 801-33162Legal name P•••••• S•••••••• F•••••••• • I•••••••• S•••••••• I•••First filing on the tape Mar 20, 2012, latest Apr 2, 2026SEC status approved since Nov 25, 1988IAPD

RAUM

$671M

reported, Item 5.F

Discretionary

99%

of RAUM

Private clients

100%

$671M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$83.9M

derived; firm RAUM over IAPD count

Employees

6 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

29 filings and snapshots on the tape

RAUM$671M as of Apr 2, 2026

Mar 20, 2012$143M then

HNW client RAUM$533M as of Apr 2, 2026

Mar 8, 2018$106M then

State-registered IARs (5.B.3)6 as of Apr 2, 2026

Mar 20, 20120 then

Employees (5.A)11 as of Apr 2, 2026

Mar 14, 20137 then

Private funds: no history

RAUM +24% over the last fiscal year+19% a year over threeIARs 6 to 6

Practice profile

derived from the filing of Apr 2, 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

RAUM per advisor: $83.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 103derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.3MderivedHNW RAUM over HNW clients
Average account: $294,039derivedRAUM over accounts (5.F.2.f)
Discretionary: 99%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.4derivedItem 5.A over advisors
Advisors per office: 8.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +24%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +6.0%derived
Compensation: percentage of assets, hourlyreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Custody: $251M, 550 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)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$533M79%
Individuals$138M21%

Individual clients: 597reported
HNW clients: 230reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 2,282reported
Financial planning clients: 251-500reported
Wrap fee programs: noreported
Custody of client assets: $251M for 550 clientsreported
Compensation: % of AUM, hourlyreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

8 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
C•••• W• A••••Certified Financial Planner	Folsom, Ca	Jun 13, 2002	25 y	0
C•••••••• L••••• D•••••	Folsom, Ca	May 28, 2015	23 y	0
D•••• W•••••• W•••Certified Financial Planner	Folsom, Ca	Feb 23, 2016	17 y	2
S•••• F••••• M•••••••Certified Financial Planner	Folsom, Ca	Sep 22, 2016	17 y	0
J••• R••••• R•••••••Certified Financial Planner	Folsom, Ca	Aug 28, 2024	14 y	0
S•••••• M•••••• D••••••••	Folsom, Ca	Oct 30, 2024	25 y	0
M•••••• G••••••• Y••••Certified Financial Planner	Folsom, Ca	Sep 1, 2026	10 y	0
C••••• J••••• O••••••	Folsom, Ca	Sep 2, 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

none on the tape

Joined, latest

D•••• W•••••• W••• from C••••••••• F•••••••• N••••••
Feb 23, 2016 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

A••••• C••••• W• · Presidentcontrol
since 11/2013 · owns 50% to 75%
D•••••• C••••••••• L••••• · Chief Compliance Officercontrol
since 03/2014 · owns less than 5%
W•••• D••••• W•••••• · Financial Plannercontrol
since 01/2022 · owns 10% to 25%
D••••••••• S••••••• M•••••• · Director Of Client Services
since 06/2016 · owns 5% to 10%
R•••••••• J•••• R••••• · Financial Planner
since 06/2016 · owns 5% to 10%

Related persons

Schedule D 7.A

J••• R• R•••••••
insurancey

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Folsom, Ca · principal	8	2	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 2,126 to 2,282
Mar 12, 2025 to Mar 10, 2026
Advisory employees · 5 to 6
Mar 12, 2025 to Mar 10, 2026
HNW clients · 187 to 230
Mar 12, 2025 to Mar 10, 2026
Individual clients · 593 to 597
Mar 12, 2025 to Mar 10, 2026
Assets in custody · $168M to $251M
Mar 12, 2025 to Mar 10, 2026
Employees · 10 to 11
Mar 12, 2025 to Mar 10, 2026
Financial planning clients · 101-250 to 251-500
Mar 12, 2025 to Mar 10, 2026
Discretionary RAUM · $539M to $663M
Mar 12, 2025 to Mar 10, 2026
HNW RAUM · $408M to $533M
Mar 12, 2025 to Mar 10, 2026
Individual RAUM · $132M to $138M
Mar 12, 2025 to Mar 10, 2026
Non-discretionary RAUM · $576,371 to $8.1M
Mar 12, 2025 to Mar 10, 2026
RAUM · $540M to $671M
Mar 12, 2025 to Mar 10, 2026
Accounts · 2,021 to 2,126
Mar 26, 2024 to Mar 12, 2025
Advisory employees · 7 to 5
Mar 26, 2024 to Mar 12, 2025
HNW clients · 172 to 187
Mar 26, 2024 to Mar 12, 2025
Individual clients · 582 to 593
Mar 26, 2024 to Mar 12, 2025
Assets in custody · $133M to $168M
Mar 26, 2024 to Mar 12, 2025
Financial planning clients · 101-250 to 101-250
Mar 26, 2024 to Mar 12, 2025
Discretionary RAUM · $468M to $539M
Mar 26, 2024 to Mar 12, 2025
HNW RAUM · $343M to $408M
Mar 26, 2024 to Mar 12, 2025
Individual RAUM · $125M to $132M
Mar 26, 2024 to Mar 12, 2025
Non-discretionary RAUM · $512,248 to $576,371
Mar 26, 2024 to Mar 12, 2025
RAUM · $468M to $540M
Mar 26, 2024 to Mar 12, 2025
Accounts · 1,902 to 2,021
Jul 25, 2023 to Mar 26, 2024
HNW clients · 141 to 172
Jul 25, 2023 to Mar 26, 2024
Individual clients · 600 to 582
Jul 25, 2023 to Mar 26, 2024
Assets in custody · $297M to $133M
Jul 25, 2023 to Mar 26, 2024
Financial planning clients · 251-500 to 101-250
Jul 25, 2023 to Mar 26, 2024
Discretionary RAUM · $398M to $468M
Jul 25, 2023 to Mar 26, 2024
HNW RAUM · $272M to $343M
Jul 25, 2023 to Mar 26, 2024
Individual RAUM · $126M to $125M
Jul 25, 2023 to Mar 26, 2024
Non-discretionary RAUM · $478,243 to $512,248
Jul 25, 2023 to Mar 26, 2024
RAUM · $398M to $468M
Jul 25, 2023 to Mar 26, 2024
Accounts · 1,861 to 1,902
Feb 23, 2022 to Feb 22, 2023
Advisory employees · 6 to 7
Feb 23, 2022 to Feb 22, 2023
HNW clients · 153 to 141
Feb 23, 2022 to Feb 22, 2023
Individual clients · 563 to 600
Feb 23, 2022 to Feb 22, 2023
Assets in custody · $255M to $297M
Feb 23, 2022 to Feb 22, 2023
Employees · 9 to 10
Feb 23, 2022 to Feb 22, 2023
Financial planning clients · 101-250 to 251-500
Feb 23, 2022 to Feb 22, 2023

Signals

1 dated events

••• Locked
Feb 22, 2023 · Control person joined · 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: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Apr 2, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Apr 2, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Team page: ••• Lockedreportedpublished 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: $83.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026