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
D•••• F•••••••• S•••••••
Legal name D•••• F•••••••• S••••••• I••
Latest filing Feb 11, 2026
First filing on the tape Mar 27, 2012 · 18 filings
SEC status approved since Jun 25, 1992
RAUM
$1.1B
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
98%
$1.1B individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$181M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$1.1B as of Feb 11, 2026
Mar 27, 2012$263M then
HNW client RAUM$997M as of Feb 11, 2026
Feb 15, 2018$497M then
State-registered IARs (5.B.3)4 as of Feb 11, 2026
Mar 27, 20120 then
Employees (5.A)4 as of Feb 11, 2026
Mar 25, 20133 then
Private funds: no history
RAUM +19% over the last fiscal year+16% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 11, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $181MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.5MderivedHNW RAUM over HNW clients
- Average account
- $3.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Custody
- $264M, 68 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$997M92%
- Individuals$67.1M6.2%
- Charitable organizations$18.4M1.7%
- Corporations and businesses$4.3M0.4%
- Individual clients
- 178reported
- HNW clients
- 154reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 335reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $264M for 68 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••• T••••• F•••••• | Lafayette, Ca | Jul 8, 1997 | 34 y | 0 |
| M•••••• A••• D•••• | Lafayette, Ca | Apr 29, 2010 | 36 y | 0 |
| T•••• M••••••• M••••• | Lafayette, Ca | Oct 14, 2015 | 11 y | 0 |
| C••• D•••••• | Lafayette, Ca | Mar 18, 2024 | 14 y | 0 |
| W••••• A• | Lafayette, Ca | Oct 6, 2025 | 31 y | 0 |
| D•••• A•••••••• P•••• | Lafayette, Ca | Apr 10, 2026 | 13 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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•••• A•••••••• P•••• from D••••••••• F••• A••••••• L•Apr 10, 2026 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• M••••••• A••• · Director/Presidentcontrolsince 03/1990 · owns 75% or more
- F••••••• W••••• T••••• · Chief Compliance Officercontrolsince 09/2004 · owns less than 5%
Related persons
Schedule D 7.A
- M•••••• A• D••••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lafayette, Ca | 6 | 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
- control person changedChange between filings · filing Feb 11, 2026D••••• M••••••• A••• (DIRECTOR/PRESIDENT) left Schedule A between the filings of 2012-03-27 and 2026-02-11peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 318 to 335Feb 6, 2025 to Feb 11, 2026
- Charity clients · 3 to 2Feb 6, 2025 to Feb 11, 2026
- HNW clients · 134 to 154Feb 6, 2025 to Feb 11, 2026
- Individual clients · 180 to 178Feb 6, 2025 to Feb 11, 2026
- Assets in custody · $228M to $264MFeb 6, 2025 to Feb 11, 2026
- Discretionary RAUM · $802M to $958MFeb 6, 2025 to Feb 11, 2026
- HNW RAUM · $829M to $997MFeb 6, 2025 to Feb 11, 2026
- Individual RAUM · $67.9M to $67.1MFeb 6, 2025 to Feb 11, 2026
- Non-discretionary RAUM · $113M to $129MFeb 6, 2025 to Feb 11, 2026
- RAUM · $914M to $1.1BFeb 6, 2025 to Feb 11, 2026
- Accounts · 313 to 318Jan 30, 2024 to Feb 6, 2025
- Charity clients · 4 to 3Jan 30, 2024 to Feb 6, 2025
- HNW clients · 131 to 134Jan 30, 2024 to Feb 6, 2025
- Individual clients · 177 to 180Jan 30, 2024 to Feb 6, 2025
- Financial planning clients · 251-500 to 251-500Jan 30, 2024 to Feb 6, 2025
- HQ city · unset to Jan 30, 2024 to Feb 6, 2025
- HQ state · unset to Jan 30, 2024 to Feb 6, 2025
- Discretionary RAUM · $733M to $802MJan 30, 2024 to Feb 6, 2025
- HNW RAUM · $752M to $829MJan 30, 2024 to Feb 6, 2025
- Individual RAUM · $61.9M to $67.9MJan 30, 2024 to Feb 6, 2025
- Non-discretionary RAUM · $97.2M to $113MJan 30, 2024 to Feb 6, 2025
- RAUM · $831M to $914MJan 30, 2024 to Feb 6, 2025
- Accounts · 300 to 313Feb 15, 2023 to Jan 30, 2024
- Charity clients · 3 to 4Feb 15, 2023 to Jan 30, 2024
- Corporate clients · unset to 1.0Feb 15, 2023 to Jan 30, 2024
- HNW clients · 116 to 131Feb 15, 2023 to Jan 30, 2024
- Individual clients · 181 to 177Feb 15, 2023 to Jan 30, 2024
- Assets in custody · $151M to $228MFeb 15, 2023 to Jan 30, 2024
- Discretionary RAUM · $639M to $733MFeb 15, 2023 to Jan 30, 2024
- HNW RAUM · $616M to $752MFeb 15, 2023 to Jan 30, 2024
- Individual RAUM · $67.1M to $61.9MFeb 15, 2023 to Jan 30, 2024
- Non-discretionary RAUM · $62.5M to $97.2MFeb 15, 2023 to Jan 30, 2024
- RAUM · $702M to $831MFeb 15, 2023 to Jan 30, 2024
- Accounts · 288 to 300Feb 14, 2022 to Feb 15, 2023
- HNW clients · 129 to 116Feb 14, 2022 to Feb 15, 2023
- Individual clients · 156 to 181Feb 14, 2022 to Feb 15, 2023
- Assets in custody · $182M to $151MFeb 14, 2022 to Feb 15, 2023
- Discretionary RAUM · $725M to $639MFeb 14, 2022 to Feb 15, 2023
- HNW RAUM · $722M to $616MFeb 14, 2022 to Feb 15, 2023
- Individual RAUM · $57.8M to $67.1MFeb 14, 2022 to Feb 15, 2023
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- Dixon Fnancial Services, Inc. · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Website
- d•••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 925-283-3104reportedpublic record, Form ADV, Feb 11, 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
- $181Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026