DFX Intelligence

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L••• • F•••••• I••••••••• M•••••••

Independent wealth managerSEC-registered· San Rafael, California

Independent wealth manager, based in San Rafael, California, reporting $221M of regulatory assets.

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

As of 2026-03-03 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $221M
Advisors: 0
RAUM change, 1 year: +8.7%
Private clients: 100%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-03 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 3 Mar 2026, RAUM $203M to $221M (+8.7%) on the Form ADV filed 3 Mar 2026.

Every filed figure, and the identifiersCRD 10603 · SEC 801-16717 · 22 filingsShow

CRD 10603SEC 801-16717Legal name L•••• A•••• G•••First filing on the tape Feb 6, 2012, latest Mar 3, 2026SEC status approved since Jan 14, 1982IAPD

RAUM

$221M

reported, Item 5.F

Discretionary

43%

of RAUM

Private clients

100%

$221M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

22 filings and snapshots on the tape

RAUM +6.0% a year over three years · the tape starts Feb 6, 2012

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

RAUM$221M as of Mar 3, 2026

Feb 23, 2012$147M then

HNW client RAUM$221M as of Mar 3, 2026

Mar 25, 2019$0 then

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

Feb 23, 20120 then

Employees (5.A)2 as of Mar 3, 2026

Mar 21, 20131 then

Private funds: no history

RAUM +8.7% over the last fiscal year+6.0% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 3, 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: $2.8MderivedHNW RAUM over HNW clients
Average account: $1.7MderivedRAUM over accounts (5.F.2.f)
Discretionary: 43%derivedof RAUM
Institutional: 0.0%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: +8.7%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +3.9%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 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

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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% high-net-worth individuals

The breakdown by client type, and the client counts1 client typesShow

High-net-worth individuals$221M100%

Individual clients: 0reported
HNW clients: 79reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 134reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% 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

L•••• A••••• G••• · Owner Chief Compliance Officercontrol
since 08/1982 · 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.

What changed

consecutive filings, newest first

Accounts · 145 to 134
Feb 25, 2025 to Mar 3, 2026
HNW clients · 76 to 79
Feb 25, 2025 to Mar 3, 2026
Discretionary RAUM · $86.8M to $94.4M
Feb 25, 2025 to Mar 3, 2026
HNW RAUM · $203M to $221M
Feb 25, 2025 to Mar 3, 2026
Non-discretionary RAUM · $117M to $127M
Feb 25, 2025 to Mar 3, 2026

Full history · 80 changes

RAUM · $203M to $221M
Feb 25, 2025 to Mar 3, 2026
Accounts · 144 to 145
Mar 13, 2024 to Feb 25, 2025
HNW clients · 70 to 76
Mar 13, 2024 to Feb 25, 2025
Financial planning clients · 0 to 0
Mar 13, 2024 to Feb 25, 2025
Discretionary RAUM · $88.5M to $86.8M
Mar 13, 2024 to Feb 25, 2025
HNW RAUM · $194M to $203M
Mar 13, 2024 to Feb 25, 2025
Non-discretionary RAUM · $106M to $117M
Mar 13, 2024 to Feb 25, 2025
RAUM · $194M to $203M
Mar 13, 2024 to Feb 25, 2025
Accounts · 129 to 144
Aug 11, 2023 to Mar 13, 2024
HNW clients · 69 to 70
Aug 11, 2023 to Mar 13, 2024
Discretionary RAUM · $93.7M to $88.5M
Aug 11, 2023 to Mar 13, 2024
HNW RAUM · $186M to $194M
Aug 11, 2023 to Mar 13, 2024
Non-discretionary RAUM · $92.1M to $106M
Aug 11, 2023 to Mar 13, 2024
RAUM · $186M to $194M
Aug 11, 2023 to Mar 13, 2024
Accounts · 134 to 129
Mar 2, 2022 to Mar 3, 2023
HNW clients · 76 to 69
Mar 2, 2022 to Mar 3, 2023
Financial planning clients · unset to 0
Mar 2, 2022 to Mar 3, 2023
Discretionary RAUM · $99.9M to $93.7M
Mar 2, 2022 to Mar 3, 2023
HNW RAUM · $216M to $186M
Mar 2, 2022 to Mar 3, 2023
Non-discretionary RAUM · $116M to $92.1M
Mar 2, 2022 to Mar 3, 2023
RAUM · $216M to $186M
Mar 2, 2022 to Mar 3, 2023
Accounts · 140 to 134
Feb 22, 2021 to Mar 2, 2022
HNW clients · 81 to 76
Feb 22, 2021 to Mar 2, 2022
State-registered IARs · 1 to 0
Feb 22, 2021 to Mar 2, 2022
Discretionary RAUM · $83.2M to $99.9M
Feb 22, 2021 to Mar 2, 2022
HNW RAUM · $179M to $216M
Feb 22, 2021 to Mar 2, 2022
Non-discretionary RAUM · $95.9M to $116M
Feb 22, 2021 to Mar 2, 2022
RAUM · $179M to $216M
Feb 22, 2021 to Mar 2, 2022
Accounts · 66 to 140
Jun 29, 2020 to Feb 22, 2021
HNW clients · 66 to 81
Jun 29, 2020 to Feb 22, 2021
Individual clients · unset to 0.0
Jun 29, 2020 to Feb 22, 2021
Employees · 1 to 2
Jun 29, 2020 to Feb 22, 2021
State-registered IARs · 0 to 1
Jun 29, 2020 to Feb 22, 2021
Discretionary RAUM · $84.9M to $83.2M
Jun 29, 2020 to Feb 22, 2021
HNW RAUM · $178M to $179M
Jun 29, 2020 to Feb 22, 2021
Non-discretionary RAUM · $93.1M to $95.9M
Jun 29, 2020 to Feb 22, 2021
RAUM · $178M to $179M
Jun 29, 2020 to Feb 22, 2021
Accounts · 157 to 66
Mar 25, 2019 to Mar 17, 2020
Charity clients · 0.0 to unset
Mar 25, 2019 to Mar 17, 2020
Corporate clients · 0.0 to unset
Mar 25, 2019 to Mar 17, 2020
HNW clients · 0 to 66
Mar 25, 2019 to Mar 17, 2020
Individual clients · 80.0 to unset
Mar 25, 2019 to Mar 17, 2020
Pension plan clients · 0.0 to unset
Mar 25, 2019 to Mar 17, 2020
Pooled vehicle clients · unset to 0.0
Mar 25, 2019 to Mar 17, 2020
Financial planning clients · 0 to unset
Mar 25, 2019 to Mar 17, 2020
Other offices · 1 to 0
Mar 25, 2019 to Mar 17, 2020
Discretionary RAUM · $63.9M to $84.9M
Mar 25, 2019 to Mar 17, 2020
HNW RAUM · $0 to $178M
Mar 25, 2019 to Mar 17, 2020
Individual RAUM · $163M to $0
Mar 25, 2019 to Mar 17, 2020
Non-discretionary RAUM · $99.1M to $93.1M
Mar 25, 2019 to Mar 17, 2020
Pooled vehicle RAUM · unset to 0.0
Mar 25, 2019 to Mar 17, 2020
RAUM · $163M to $178M
Mar 25, 2019 to Mar 17, 2020
Accounts · 77 to 157
Oct 23, 2018 to Mar 25, 2019
Advisory activities · 2 to 1
Oct 23, 2018 to Mar 25, 2019
Charity clients · unset to 0.0
Oct 23, 2018 to Mar 25, 2019
Corporate clients · unset to 0.0
Oct 23, 2018 to Mar 25, 2019
HNW clients · unset to 0.0
Oct 23, 2018 to Mar 25, 2019
Individual clients · 77 to 80
Oct 23, 2018 to Mar 25, 2019
Pension plan clients · unset to 0.0
Oct 23, 2018 to Mar 25, 2019
Employees · 2 to 1
Oct 23, 2018 to Mar 25, 2019
Financial planning clients · 51-100 to 0
Oct 23, 2018 to Mar 25, 2019
Discretionary RAUM · $83.2M to $63.9M
Oct 23, 2018 to Mar 25, 2019
HNW RAUM · unset to 0.0
Oct 23, 2018 to Mar 25, 2019
Individual RAUM · $188M to $163M
Oct 23, 2018 to Mar 25, 2019
Non-discretionary RAUM · $105M to $99.1M
Oct 23, 2018 to Mar 25, 2019
Pension RAUM · unset to 0.0
Oct 23, 2018 to Mar 25, 2019
RAUM · $188M to $163M
Oct 23, 2018 to Mar 25, 2019
Accounts · 172 to 77
Feb 2, 2017 to Mar 16, 2018
Advisory activities · 1 to 2
Feb 2, 2017 to Mar 16, 2018
Individual clients · unset to 77.0
Feb 2, 2017 to Mar 16, 2018
Employees · 1 to 2
Feb 2, 2017 to Mar 16, 2018
Other offices · unset to 1.0
Feb 2, 2017 to Mar 16, 2018
Discretionary RAUM · $97.3M to $83.2M
Feb 2, 2017 to Mar 16, 2018
Individual RAUM · unset to 187918785.0
Feb 2, 2017 to Mar 16, 2018
Non-discretionary RAUM · $80.3M to $105M
Feb 2, 2017 to Mar 16, 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, Mar 3, 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.