DFX Intelligence

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S•••••• C•••••• P•••••••• L••

Independent wealth managerSEC-registered· Mill Valley, Californiawebsite

Independent wealth manager, based in Mill Valley, California, reporting $132M of regulatory assets across 2 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: $132M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: +5.3%
Private clients: 100%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

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

What matters now

+5.3%
RAUM, one year
RAUM $125M to $132M (+5.3%) on the Form ADV filed 2 Apr 2026, while advisors on the filing held at 2.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 105702 · SEC 801-33527 · 21 filingsShow

CRD 105702SEC 801-33527First filing on the tape Mar 27, 2012, latest Apr 2, 2026SEC status approved since Dec 23, 1988IAPD

RAUM

$132M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$132M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$66.0M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM +7.5% a year over three years · the tape starts Mar 27, 2012

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

RAUM$132M as of Apr 2, 2026

Mar 27, 2012$108M then

HNW client RAUM$104M as of Apr 2, 2026

Mar 29, 2018$49.5M then

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

Mar 27, 20120 then

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

Mar 22, 20131 then

Private funds: no history

RAUM +5.3% over the last fiscal year+7.5% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Apr 2, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure3 rulesShow

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
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $66.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 112derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $502,937derivedHNW RAUM over HNW clients
Average account: $458,311derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +5.3%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +117%derived
Compensation: percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publicationsreportedItem 5.G
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 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

79% high-net-worth individuals, 21% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$104M79%
Individuals$27.9M21%

Individual clients: 16reported
HNW clients: 207reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 288reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourly, commissionsreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bank; 200% of advisors also broker-dealer representativesderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
M•••••• J••••• S••••••	Mill Valley, Ca	Apr 3, 2009	22 y	0
S••••• J••••• S••••••	Mill Valley, Ca	Apr 22, 2015	40 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S••••••• S•••••• J••••• · Managing Member/Chief Compliance Officercontrol
since 04/2015 · 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
Mill Valley, Ca · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

client count surgeChange between filings · filing Apr 2, 2026
individual and HNW clients (Item 5.D) moved from 103.0 to 223.0 (+117.0%) between the annual amendments of 2025-04-01 and 2026-04-02; the peer median change was +3.0% (3308 comparable advisers, 99.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (3,308) · 99% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 311 to 288
Apr 1, 2025 to Apr 2, 2026
HNW clients · 91 to 207
Apr 1, 2025 to Apr 2, 2026
Individual clients · 12 to 16
Apr 1, 2025 to Apr 2, 2026
Discretionary RAUM · $125M to $132M
Apr 1, 2025 to Apr 2, 2026
HNW RAUM · $101M to $104M
Apr 1, 2025 to Apr 2, 2026

Full history · 80 changes

Individual RAUM · $24.0M to $27.9M
Apr 1, 2025 to Apr 2, 2026
RAUM · $125M to $132M
Apr 1, 2025 to Apr 2, 2026
Accounts · 197 to 311
Mar 29, 2024 to Apr 1, 2025
Financial planning clients · 1-10 to 1-10
Mar 29, 2024 to Apr 1, 2025
Discretionary RAUM · $115M to $125M
Mar 29, 2024 to Apr 1, 2025
HNW RAUM · $92.7M to $101M
Mar 29, 2024 to Apr 1, 2025
Individual RAUM · $22.3M to $24.0M
Mar 29, 2024 to Apr 1, 2025
RAUM · $115M to $125M
Mar 29, 2024 to Apr 1, 2025
Accounts · 250 to 197
Mar 27, 2023 to Mar 29, 2024
HNW clients · 89 to 91
Mar 27, 2023 to Mar 29, 2024
Individual clients · 23 to 12
Mar 27, 2023 to Mar 29, 2024
Discretionary RAUM · $106M to $115M
Mar 27, 2023 to Mar 29, 2024
HNW RAUM · $74.0M to $92.7M
Mar 27, 2023 to Mar 29, 2024
Individual RAUM · $32.1M to $22.3M
Mar 27, 2023 to Mar 29, 2024
RAUM · $106M to $115M
Mar 27, 2023 to Mar 29, 2024
Accounts · 267 to 250
Mar 23, 2022 to Mar 27, 2023
HNW clients · 24 to 89
Mar 23, 2022 to Mar 27, 2023
Individual clients · 94 to 23
Mar 23, 2022 to Mar 27, 2023
Discretionary RAUM · $145M to $106M
Mar 23, 2022 to Mar 27, 2023
HNW RAUM · $71.2M to $74.0M
Mar 23, 2022 to Mar 27, 2023
Individual RAUM · $74.2M to $32.1M
Mar 23, 2022 to Mar 27, 2023
RAUM · $145M to $106M
Mar 23, 2022 to Mar 27, 2023
Accounts · 246 to 267
Mar 31, 2021 to Mar 23, 2022
HNW clients · 22 to 24
Mar 31, 2021 to Mar 23, 2022
Individual clients · 92 to 94
Mar 31, 2021 to Mar 23, 2022
Discretionary RAUM · $106M to $145M
Mar 31, 2021 to Mar 23, 2022
HNW RAUM · $51.7M to $71.2M
Mar 31, 2021 to Mar 23, 2022
Individual RAUM · $54.3M to $74.2M
Mar 31, 2021 to Mar 23, 2022
RAUM · $106M to $145M
Mar 31, 2021 to Mar 23, 2022
Accounts · 111 to 246
Jun 29, 2020 to Mar 31, 2021
HNW clients · 21 to 22
Jun 29, 2020 to Mar 31, 2021
Individual clients · 90 to 92
Jun 29, 2020 to Mar 31, 2021
Discretionary RAUM · $111M to $106M
Jun 29, 2020 to Mar 31, 2021
HNW RAUM · $51.5M to $51.7M
Jun 29, 2020 to Mar 31, 2021
Individual RAUM · $59.6M to $54.3M
Jun 29, 2020 to Mar 31, 2021
RAUM · $111M to $106M
Jun 29, 2020 to Mar 31, 2021
Accounts · 208 to 111
Mar 29, 2019 to Mar 30, 2020
HNW clients · 32 to 21
Mar 29, 2019 to Mar 30, 2020
Individual clients · 83 to 90
Mar 29, 2019 to Mar 30, 2020
Discretionary RAUM · $104M to $111M
Mar 29, 2019 to Mar 30, 2020
HNW RAUM · $50.9M to $51.5M
Mar 29, 2019 to Mar 30, 2020
Individual RAUM · $53.5M to $59.6M
Mar 29, 2019 to Mar 30, 2020
RAUM · $104M to $111M
Mar 29, 2019 to Mar 30, 2020
Accounts · 165 to 208
Mar 29, 2018 to Mar 29, 2019
Individual clients · 133 to 83
Mar 29, 2018 to Mar 29, 2019
Discretionary RAUM · $104M to $104M
Mar 29, 2018 to Mar 29, 2019
HNW RAUM · $49.5M to $50.9M
Mar 29, 2018 to Mar 29, 2019
Individual RAUM · $54.8M to $53.5M
Mar 29, 2018 to Mar 29, 2019
RAUM · $104M to $104M
Mar 29, 2018 to Mar 29, 2019
Accounts · 236 to 165
Mar 31, 2017 to Mar 29, 2018
HNW clients · unset to 32.0
Mar 31, 2017 to Mar 29, 2018
Individual clients · unset to 133.0
Mar 31, 2017 to Mar 29, 2018
Other offices · unset to 0.0
Mar 31, 2017 to Mar 29, 2018
Discretionary RAUM · $107M to $104M
Mar 31, 2017 to Mar 29, 2018
HNW RAUM · unset to 49456567.0
Mar 31, 2017 to Mar 29, 2018
Individual RAUM · unset to 54805867.0
Mar 31, 2017 to Mar 29, 2018
RAUM · $107M to $104M
Mar 31, 2017 to Mar 29, 2018
Accounts · 232 to 236
Mar 29, 2016 to Mar 31, 2017
Discretionary RAUM · $105M to $107M
Mar 29, 2016 to Mar 31, 2017
RAUM · $105M to $107M
Mar 29, 2016 to Mar 31, 2017
Accounts · 205 to 232
Dec 2, 2015 to Mar 29, 2016
Discretionary RAUM · $0 to $105M
Dec 2, 2015 to Mar 29, 2016
Non-discretionary RAUM · $110M to $0
Dec 2, 2015 to Mar 29, 2016
RAUM · $110M to $105M
Dec 2, 2015 to Mar 29, 2016
Business name · S•••••• C•••••• P••••••• to S•••••• C•••••• P•••••••• L••
Apr 30, 2015 to Jun 1, 2015
Legal name · S•••••• S••••• J••••• to S•••••• C•••••• P•••••••• L••
Apr 30, 2015 to Jun 1, 2015
Succession · true to false
Apr 30, 2015 to Jun 1, 2015
Accounts · 213 to 205
Mar 19, 2015 to Apr 30, 2015
Advisory employees · 1 to 2
Mar 19, 2015 to Apr 30, 2015
BD registered reps · 1 to 2
Mar 19, 2015 to Apr 30, 2015
Employees · 1 to 2
Mar 19, 2015 to Apr 30, 2015
State-registered IARs · 1 to 2
Mar 19, 2015 to Apr 30, 2015
Organization form · Sole Proprietorship to Limited Liability Company
Mar 19, 2015 to Apr 30, 2015
Non-discretionary RAUM · $110M to $110M
Mar 19, 2015 to Apr 30, 2015
RAUM · $110M to $110M
Mar 19, 2015 to Apr 30, 2015

Signals

1 dated events

••• Locked
Apr 30, 2015 · Succession (Item 4) · 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 phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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 16, 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: $66.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026