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P•••••• A•••• M••••••••• I•••

Independent wealth managerSEC-registered· Orinda, Californiawebsite

Independent wealth manager, based in Orinda, California, reporting $116M of regulatory assets across 1 registered advisors.

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

Regulatory AUM
$116M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
+4.6%
Form ADV, consecutive annual filings
Private clients
99% of RAUM, $115M
Form ADV
Advisors (1)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 107863 · SEC 801-131994 · 6 filingsShow
CRD 107863SEC 801-131994First filing on the tape Mar 22, 2012, latest Feb 17, 2026SEC status approved since Feb 18, 2025IAPD
RAUM
$116M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$115M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$116M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$116M as of Feb 17, 2026
Mar 22, 2012$40.2M then
HNW client RAUM$103M as of Feb 17, 2026
Jan 17, 2025$94.0M then
State-registered IARs (5.B.3)1 as of Feb 17, 2026
Mar 22, 20120 then
Employees (5.A)2 as of Feb 17, 2026
Jan 17, 20252 then
Private funds: no history
RAUM +4.6% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 17, 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$116MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
60derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.7MderivedHNW RAUM over HNW clients
Average account
$1.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-17%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$103M89%
  • Individuals$12.0M10%
  • Pension and profit-sharing plans$691,2220.6%
Individual clients
32reported
HNW clients
28reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
60reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
E••••• Y••• C•••• C•••Chartered Financial AnalystOrinda, CaDec 5, 202537 y0
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••• E•••••• Y••• C•••• · President, Chief Compliance Officercontrol
        since 05/1989 · owns 75% or more
      • L••• L••••• M•••• · Chief Financial Officercontrol
        since 09/2005 · owns less than 5%
      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 · 72 to 60
        Jan 17, 2025 to Feb 17, 2026
      • HNW clients · 29 to 28
        Jan 17, 2025 to Feb 17, 2026
      • Individual clients · 43 to 32
        Jan 17, 2025 to Feb 17, 2026
      • Discretionary RAUM · $111M to $116M
        Jan 17, 2025 to Feb 17, 2026
      • HNW RAUM · $94.0M to $103M
        Jan 17, 2025 to Feb 17, 2026
      • Individual RAUM · $16.8M to $12.0M
        Jan 17, 2025 to Feb 17, 2026
      • Pension RAUM · unset to 691222.0
        Jan 17, 2025 to Feb 17, 2026
      • RAUM · $111M to $116M
        Jan 17, 2025 to Feb 17, 2026
      • Accounts · 125 to 72
        May 29, 2012 to Jan 17, 2025
      • Advisory employees · unset to 1.0
        May 29, 2012 to Jan 17, 2025
      • HNW clients · unset to 29.0
        May 29, 2012 to Jan 17, 2025
      • Individual clients · unset to 43.0
        May 29, 2012 to Jan 17, 2025
      • Employees · unset to 2.0
        May 29, 2012 to Jan 17, 2025
      • Financial planning clients · 0 to 0
        May 29, 2012 to Jan 17, 2025
      • State-registered IARs · 0 to 1
        May 29, 2012 to Jan 17, 2025
      • Other offices · unset to 0.0
        May 29, 2012 to Jan 17, 2025
      • Discretionary RAUM · $44.1M to $111M
        May 29, 2012 to Jan 17, 2025
      • HNW RAUM · unset to 93976362.0
        May 29, 2012 to Jan 17, 2025
      • Individual RAUM · unset to 16753993.0
        May 29, 2012 to Jan 17, 2025
      • RAUM · $44.1M to $111M
        May 29, 2012 to Jan 17, 2025
      • Accounts · 126 to 125
        Mar 22, 2012 to Apr 19, 2012
      • Discretionary RAUM · $40.2M to $44.1M
        Mar 22, 2012 to Apr 19, 2012
      • RAUM · $40.2M to $44.1M
        Mar 22, 2012 to Apr 19, 2012
      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
      Business email
      ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
      Business phone
      ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Feb 17, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Feb 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
      $116Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026