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
P•••••••• A•••••••• I•••
Latest filing Mar 10, 2026
First filing on the tape Mar 22, 2012 · 38 filings
SEC status approved since Feb 1, 1991
RAUM
$261M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
99%
$259M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$65.3M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$261M as of Mar 10, 2026
Mar 22, 2012$121M then
HNW client RAUM$197M as of Mar 10, 2026
Mar 24, 2018$111M then
State-registered IARs (5.B.3)3 as of Mar 10, 2026
Mar 22, 20120 then
Employees (5.A)7 as of Mar 10, 2026
Feb 27, 20135 then
Private funds: no history
RAUM +16% over the last fiscal year+9.9% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 10, 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
- 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
- $65.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $346,359derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.4%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $46.2M, 70 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)
- 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 testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$197M75%
- Individuals$61.7M24%
- Charitable organizations$1.4M0.5%
- Pension and profit-sharing plans$1.2M0.5%
- Individual clients
- 158reported
- HNW clients
- 80reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 754reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $46.2M for 70 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••• M•••••Certified Financial Planner | Fresno, Ca | Jul 23, 2008 | 18 y | 0 |
| A••••• J•••• M••••• F•••••Certified Financial Planner | Fresno, Ca | Mar 6, 2015 | 11 y | 0 |
| H••• A••• G•••••••• M••••••• | Fresno, Ca | Sep 10, 2026 | 15 y | 0 |
| A•••• V••••••• | Fresno, Ca | Sep 11, 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 headcount1 left over 36 months
Left, latest
- J•••• C•••••••• V••• to P••••••• A•••••••• L••Jan 2, 2024 · Other
- J••••• N•••• to A••••• W••••• M••••••••• L••Jan 3, 2023 · RIA to RIA
- D•••• P•••••• W•••• to P•••••••• F••••••••Jul 22, 2021 · RIA to a state-registered adviser
- D••••• J••••• S•••• to P••••••• A••••••• G••••• I•••Jul 18, 2011 · Other
- R••••• J••••• L•••••••• to R• S•••••• F••••••••• L••Apr 25, 2011 · Other
- A••••• C•••••• W•••••• to W•••• F•••• A•••••••Feb 2, 2009 · Other
Joined, latest
- J••••• N•••• from M••••• O• O•••• I••••••• S•••••••• I•••May 20, 2016 · Other
- A••••• C•••••• W•••••• from C•••••••• G••••• M•••••• I•••Jan 14, 2009 · Other
- R••••• J••••• L•••••••• from C•••••• S••••• • C••• I•••Jan 13, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• T••• · President, Chief Executive Officer, Chief Operating Officer, Chief Financial Officercontrolsince 01/2014 · owns less than 5%
- W••••• J•••••• · Chief Compliance Officercontrolsince 03/2018 · owns less than 5%
- M•••••• T••• · Trusteecontrolsince 09/2021 · owns F of E•••• F••••• T••••
Entity owners
- E•••• F••••• T•••• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Fresno, Ca · principal | 4 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 10, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 755 to 754Jun 25, 2025 to Mar 10, 2026
- Advisory employees · 5 to 4Jun 25, 2025 to Mar 10, 2026
- HNW clients · 68 to 80Jun 25, 2025 to Mar 10, 2026
- Individual clients · 171 to 158Jun 25, 2025 to Mar 10, 2026
- Assets in custody · $37.3M to $46.2MJun 25, 2025 to Mar 10, 2026
- State-registered IARs · 2 to 3Jun 25, 2025 to Mar 10, 2026
- HNW RAUM · $156M to $197MJun 25, 2025 to Mar 10, 2026
- Individual RAUM · $66.0M to $61.7MJun 25, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $224M to $261MJun 25, 2025 to Mar 10, 2026
- Pension RAUM · $974,007 to $1.2MJun 25, 2025 to Mar 10, 2026
- RAUM · $224M to $261MJun 25, 2025 to Mar 10, 2026
- Advisory activities · 3 to 5Mar 6, 2025 to Jun 25, 2025
- Financial planning clients · 101-250 to 101-250Mar 6, 2025 to Jun 25, 2025
- Accounts · 819 to 755May 1, 2024 to Mar 5, 2025
- Advisory employees · 3 to 5May 1, 2024 to Mar 5, 2025
- Advisory activities · 4 to 3May 1, 2024 to Mar 5, 2025
- HNW clients · 63 to 68May 1, 2024 to Mar 5, 2025
- Individual clients · 192 to 171May 1, 2024 to Mar 5, 2025
- Assets in custody · $26.5M to $37.3MMay 1, 2024 to Mar 5, 2025
- Employees · 6 to 7May 1, 2024 to Mar 5, 2025
- Financial planning clients · 251-500 to 101-250May 1, 2024 to Mar 5, 2025
- HNW RAUM · $140M to $156MMay 1, 2024 to Mar 5, 2025
- Individual RAUM · $64.2M to $66.0MMay 1, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $206M to $224MMay 1, 2024 to Mar 5, 2025
- Pension RAUM · $907,052 to $974,007May 1, 2024 to Mar 5, 2025
- RAUM · $206M to $224MMay 1, 2024 to Mar 5, 2025
- Accounts · 839 to 819Aug 21, 2023 to Feb 15, 2024
- HNW clients · 62 to 63Aug 21, 2023 to Feb 15, 2024
- Individual clients · 209 to 192Aug 21, 2023 to Feb 15, 2024
- Assets in custody · $27.1M to $26.5MAug 21, 2023 to Feb 15, 2024
- Employees · 5 to 6Aug 21, 2023 to Feb 15, 2024
- Financial planning clients · 101-250 to 251-500Aug 21, 2023 to Feb 15, 2024
- State-registered IARs · 3 to 2Aug 21, 2023 to Feb 15, 2024
- HNW RAUM · $130M to $140MAug 21, 2023 to Feb 15, 2024
- Individual RAUM · $64.9M to $64.2MAug 21, 2023 to Feb 15, 2024
- Non-discretionary RAUM · $197M to $206MAug 21, 2023 to Feb 15, 2024
- Pension RAUM · $831,440 to $907,052Aug 21, 2023 to Feb 15, 2024
- RAUM · $197M to $206MAug 21, 2023 to Feb 15, 2024
- Accounts · 823 to 839Nov 21, 2022 to Feb 23, 2023
- HNW clients · 71 to 62Nov 21, 2022 to Feb 23, 2023
Signals
4 dated events
- J•••• C•••••••• V••• left P•••••••• A•••••••• I••• for P••••••• A•••••••• L•• (registered 2024-02-07)Jan 2, 2024 · Advisor changed firm · fact
- J••••• N•••• left P•••••••• A•••••••• I••• for A••••• W••••• M••••••••• L•• (registered 2023-02-01)Jan 3, 2023 · Advisor changed firm · fact
- James Michael Leffler (President / Chief Executive Officer) no longer on Schedule A of P•••••••• A•••••••• I••• (listed 2021-02-26, absent 2021-10-08)Oct 8, 2021 · Control person left · inference
- Edward Kenneth Hatfield (Director Of Client Relations) no longer on Schedule A of P•••••••• A•••••••• I••• (listed 2020-03-12, absent 2020-04-28)Apr 28, 2020 · 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
- Firm profile
- linkedin.com/company/15391054reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 559-432-8400reportedpublic record, Form ADV, Mar 10, 2026
- Team page
- portadvisors.com/teamreportedpublished by the firm, firm site, Sep 17, 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
- $65.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026