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
M••• G••••• E•••••••••
Latest filing Aug 11, 2026
First filing on the tape Dec 20, 2011 · 33 filings
SEC status approved since Mar 8, 2001
RAUM
$210M
reported, Item 5.F
Discretionary
3.6%
of RAUM
Private clients
93%
$196M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$210M as of Aug 11, 2026
Mar 24, 2012$107M then
HNW client RAUM$177M as of Aug 11, 2026
Mar 15, 2018$163M then
State-registered IARs (5.B.3)1 as of Aug 11, 2026
Mar 24, 20120 then
Employees (5.A)6 as of Aug 11, 2026
Mar 27, 20131 then
Private funds: no history
RAUM +4.8% over the last fiscal year+4.2% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Aug 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $385,187derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 3.6%derivedof RAUM
- Institutional
- 6.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.9%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissions, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $201M, 111 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$177M84%
- Individuals$19.2M9.1%
- Charitable organizations$9.1M4.3%
- Pension and profit-sharing plans$4.8M2.3%
- Individual clients
- 69reported
- HNW clients
- 39reported
- Pension plan clients
- 1reported
- Charitable clients
- 2reported
- Accounts
- 546reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $201M for 111 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• G••••• G••••• | Fair Oaks, Ca | Mar 30, 2001 | 38 y | 1 |
| F•••• D••• C•••••• | Fair Oaks, Ca | Jun 27, 2017 | 30 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
none on the tape
Joined, latest
- M••• G••••• G••••• from T••••••••• F•••••••• A•••••••• L••Mar 30, 2001 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• M•••• G••••• · Ownercontrolsince 05/2019 · owns F of M••• G•••••• T•••••• O• T•• C••••
- C•••••••• T••• · Chief Compliance Officersince 03/2006 · owns less than 5%
Entity owners
- M••• G•••••• T•••••• O• T•• C•••• · 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 |
|---|---|---|---|---|---|
| Fair Oaks, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 500 to 546Mar 12, 2025 to Mar 16, 2026
- HNW clients · 33 to 39Mar 12, 2025 to Mar 16, 2026
- Individual clients · 70 to 69Mar 12, 2025 to Mar 16, 2026
- Assets in custody · $201M to $201MMar 12, 2025 to Mar 16, 2026
- Discretionary RAUM · $1.4M to $7.6MMar 12, 2025 to Mar 16, 2026
- HNW RAUM · $168M to $177MMar 12, 2025 to Mar 16, 2026
- Individual RAUM · $20.4M to $19.2MMar 12, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $199M to $203MMar 12, 2025 to Mar 16, 2026
- Pension RAUM · $4.1M to $4.8MMar 12, 2025 to Mar 16, 2026
- Pooled vehicle RAUM · 0.0 to unsetMar 12, 2025 to Mar 16, 2026
- RAUM · $201M to $210MMar 12, 2025 to Mar 16, 2026
- Accounts · 457 to 500Mar 19, 2024 to Mar 12, 2025
- HNW clients · 36 to 33Mar 19, 2024 to Mar 12, 2025
- Individual clients · 65 to 70Mar 19, 2024 to Mar 12, 2025
- Assets in custody · $204M to $201MMar 19, 2024 to Mar 12, 2025
- Financial planning clients · 1-10 to 1-10Mar 19, 2024 to Mar 12, 2025
- Discretionary RAUM · $1.4M to $1.4MMar 19, 2024 to Mar 12, 2025
- HNW RAUM · $179M to $168MMar 19, 2024 to Mar 12, 2025
- Individual RAUM · $17.2M to $20.4MMar 19, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $203M to $199MMar 19, 2024 to Mar 12, 2025
- Pension RAUM · $3.7M to $4.1MMar 19, 2024 to Mar 12, 2025
- RAUM · $204M to $201MMar 19, 2024 to Mar 12, 2025
- Accounts · 587 to 457Mar 21, 2023 to Mar 13, 2024
- Charity clients · 1 to 2Mar 21, 2023 to Mar 13, 2024
- Corporate clients · 1 to 0Mar 21, 2023 to Mar 13, 2024
- HNW clients · 44 to 36Mar 21, 2023 to Mar 13, 2024
- Individual clients · 94 to 65Mar 21, 2023 to Mar 13, 2024
- Assets in custody · $186M to $204MMar 21, 2023 to Mar 13, 2024
- Discretionary RAUM · $5.6M to $1.4MMar 21, 2023 to Mar 13, 2024
- HNW RAUM · $157M to $179MMar 21, 2023 to Mar 13, 2024
- Individual RAUM · $23.1M to $17.2MMar 21, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $180M to $203MMar 21, 2023 to Mar 13, 2024
- Pension RAUM · $3.3M to $3.7MMar 21, 2023 to Mar 13, 2024
- RAUM · $186M to $204MMar 21, 2023 to Mar 13, 2024
- Accounts · 524 to 587Apr 19, 2022 to Mar 21, 2023
- Corporate clients · 0 to 1Apr 19, 2022 to Mar 21, 2023
- Individual clients · 95 to 94Apr 19, 2022 to Mar 21, 2023
- Assets in custody · $219M to $186MApr 19, 2022 to Mar 21, 2023
- Financial planning clients · 26-50 to 1-10Apr 19, 2022 to Mar 21, 2023
- Discretionary RAUM · $5.3M to $5.6MApr 19, 2022 to Mar 21, 2023
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
- 916-961-2200reportedpublic record, Form ADV, Aug 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
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026