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•••••• F•••••••• G•••• I••
Latest filing Mar 2, 2026
First filing on the tape Feb 21, 2012 · 25 filings
SEC status approved since Jan 10, 1991
RAUM
$820M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
76%
$621M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$68.3M
derived; firm RAUM over IAPD count
Employees
17
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$820M as of Mar 2, 2026
Feb 21, 2012$313M then
HNW client RAUM$145M as of Mar 2, 2026
Mar 13, 2018$162M then
State-registered IARs (5.B.3)12 as of Mar 2, 2026
Feb 21, 20120 then
Employees (5.A)17 as of Mar 2, 2026
Mar 19, 201314 then
Private funds: no history
RAUM +14% over the last fiscal year+9.1% a year over threeIARs 11 to 12
Practice profile
derived from the filing of Mar 2, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $68.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.1MderivedHNW RAUM over HNW clients
- Average account
- $601,996derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 12.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +9.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, publications, educational seminarsreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Wrap fee program
- participatesreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$476M58%
- Pension and profit-sharing plans$155M19%
- High-net-worth individuals$145M18%
- Charitable organizations$37.5M4.6%
- Corporations and businesses$6.4M0.8%
- Individual clients
- 530reported
- HNW clients
- 16reported
- Pension plan clients
- 35reported
- Charitable clients
- 5reported
- Accounts
- 1,362reported
- Financial planning clients
- 500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.76 fund_share=0.0 institutional_share=0.23 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• R••••• S•••• | Eureka, Ca | Jan 21, 2013 | 20 y | 0 |
| F•••••••• R•••• C••••••• | Eureka, Ca | Apr 2, 2015 | 35 y | 2 |
| K••• J••••• O•• | Eureka, Ca | Oct 14, 2022 | 11 y | 0 |
| P•••••• A••••• | Eureka, Ca | Dec 25, 2023 | 13 y | 0 |
| M••• K•••••••• M••••• | Eureka, Ca | Jan 12, 2024 | 11 y | 0 |
| T••••• M••••••• S••••• | Eureka, Ca | Oct 12, 2024 | 9 y | 0 |
| G••••• L••• W•••• | Eureka, Ca | Jan 1, 2025 | 28 y | 0 |
| C•••• J•••••• S•••••• | Eureka, Ca | Jan 1, 2025 | 23 y | 0 |
| W•••• O••••• C••••••• | Eureka, Ca | Jan 1, 2025 | 42 y | 0 |
| J••• C•••••••• G•••• | Eureka, Ca | Jan 2, 2025 | 39 y | 0 |
| G•••••• M•• P•••• N•••••••• | Eureka, Ca | Feb 1, 2025 | 10 y | 0 |
| T••••• I•••• C••••• | Eureka, Ca | Apr 15, 2025 | 24 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
- R•••••• Y••••• M••• to E•••• C•••••• M••••••••• I•••Mar 29, 2021 · RIA to RIA
- A•• M•••• T•••••• to S•••••• N••••••• • C••••••• I•••••••••Apr 29, 2013 · Other
- J•••••• B•••• C••••• to P•••••• I••••••• A•••••••• L••Nov 10, 2005 · Other
Joined, latest
- F•••••••• R•••• C••••••• from J••• M••••• S••••••••• L••Apr 2, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• W••••• O••••• · Principal, Director, Certified Financial Plannercontrolsince 04/1987 · owns 25% to 50%
- C•••••• T•••••• I•••• · Principal, Director, Certified Financial Planner, Vice President, Cfocontrolsince 01/2018 · owns less than 5%
- G••••• J•••• C•••••••• · Principal, Director, Advisorcontrolsince 04/1987 · owns 10% to 25%
- R•••• C••••••• R••••• · Principal, Director, Advisorcontrolsince 02/1990 · owns 10% to 25%
- S••••• B••••• A••••••• · Principalcontrolsince 12/2010 · owns 5% to 10%
- W••••• G•••••• L••• · Principal, Director, Certified Financial Planner, Presidentcontrolsince 02/2004 · owns 10% to 25%
- S••••• J•••••• R••••• · Principal, Director, Chief Compliance Officersince 01/2020 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Eureka, Ca · principal | 12 | 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
- HNW share shiftChange between filings · filing Mar 2, 2026HNW share of RAUM moved from 41.0% to 18.0% between the annual amendments of 2025-03-18 and 2026-03-02peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 1,311 to 1,362Mar 18, 2025 to Mar 2, 2026
- Advisory employees · 11 to 12Mar 18, 2025 to Mar 2, 2026
- Charity clients · 4 to 5Mar 18, 2025 to Mar 2, 2026
- HNW clients · 141 to 16Mar 18, 2025 to Mar 2, 2026
- Individual clients · 407 to 530Mar 18, 2025 to Mar 2, 2026
- Pension plan clients · 23 to 35Mar 18, 2025 to Mar 2, 2026
- State-registered IARs · 11 to 12Mar 18, 2025 to Mar 2, 2026
- Discretionary RAUM · $610M to $698MMar 18, 2025 to Mar 2, 2026
- HNW RAUM · $294M to $145MMar 18, 2025 to Mar 2, 2026
- Individual RAUM · $288M to $476MMar 18, 2025 to Mar 2, 2026
- Non-discretionary RAUM · $111M to $122MMar 18, 2025 to Mar 2, 2026
- Pension RAUM · $111M to $155MMar 18, 2025 to Mar 2, 2026
- RAUM · $721M to $820MMar 18, 2025 to Mar 2, 2026
- Accounts · 1,216 to 1,311Aug 2, 2024 to Mar 18, 2025
- Corporate clients · 3 to 7Aug 2, 2024 to Mar 18, 2025
- HNW clients · 8 to 141Aug 2, 2024 to Mar 18, 2025
- Individual clients · 508 to 407Aug 2, 2024 to Mar 18, 2025
- Pension plan clients · 33 to 23Aug 2, 2024 to Mar 18, 2025
- Financial planning clients · More than 500 to More than 500Aug 2, 2024 to Mar 18, 2025
- Discretionary RAUM · $565M to $610MAug 2, 2024 to Mar 18, 2025
- HNW RAUM · $64.8M to $294MAug 2, 2024 to Mar 18, 2025
- Individual RAUM · $429M to $288MAug 2, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $108M to $111MAug 2, 2024 to Mar 18, 2025
- Pension RAUM · $109M to $111MAug 2, 2024 to Mar 18, 2025
- RAUM · $672M to $721MAug 2, 2024 to Mar 18, 2025
- Accounts · 1,148 to 1,216Apr 27, 2023 to Mar 19, 2024
- Advisory employees · 10 to 11Apr 27, 2023 to Mar 19, 2024
- HNW clients · 162 to 8Apr 27, 2023 to Mar 19, 2024
- Individual clients · 338 to 508Apr 27, 2023 to Mar 19, 2024
- Pension plan clients · 32 to 33Apr 27, 2023 to Mar 19, 2024
- Financial planning clients · 251-500 to More than 500Apr 27, 2023 to Mar 19, 2024
- State-registered IARs · 10 to 11Apr 27, 2023 to Mar 19, 2024
- Discretionary RAUM · $538M to $565MApr 27, 2023 to Mar 19, 2024
- HNW RAUM · $317M to $64.8MApr 27, 2023 to Mar 19, 2024
- Individual RAUM · $117M to $429MApr 27, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $94.3M to $108MApr 27, 2023 to Mar 19, 2024
- Pension RAUM · $112M to $109MApr 27, 2023 to Mar 19, 2024
- RAUM · $632M to $672MApr 27, 2023 to Mar 19, 2024
- Accounts · 1,137 to 1,148Mar 11, 2022 to Mar 28, 2023
- Advisory employees · 9 to 10Mar 11, 2022 to Mar 28, 2023
Signals
1 dated events
- P•••••• F•••••••• G•••• I•• reported RAUM $757.3M, up 27% from $596.6M (2021-09-02 to 2022-03-11)Mar 11, 2022 · RAUM change · derived
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
- pfg@premierfinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 707-443-2741reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 707-443-9411reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- P••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 707-443-2741reportedpublic record, Form ADV, Mar 2, 2026
- Contact form
- premierfinancial.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- premierfinancial.com/teamreportedpublished 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
- $68.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026