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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Former SEC-registered adviser
F•••••••• C••••••••• G••••• I•••
Latest filing Jan 21, 2026
First filing on the tape Mar 17, 2012 · 24 filings
SEC status approved since Jan 31, 2000
RAUM
$625M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$625M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$625M as of Jan 21, 2026
Mar 17, 2012$132M then
HNW client RAUM$550M as of Jan 21, 2026
Mar 7, 2018$201M then
State-registered IARs (5.B.3)3 as of Jan 21, 2026
Mar 17, 20120 then
Employees (5.A)7 as of Jan 21, 2026
Mar 25, 20135 then
Private funds: no history
RAUM +30% over the last fiscal year+18% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jan 21, 2026; every figure names its basis
- RAUM per advisor
- $208MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 110derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $609,959derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 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
- 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$550M88%
- Individuals$74.6M12%
- Individual clients
- 169reported
- HNW clients
- 162reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,024reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
5 left, 0 joined in 12 months
net -5 in 12 months0 left in 90 days0 joined in 90 days5 left over 36 months
Left, latest
- J••• D••••• H•••••••• to A••••• W•••••May 5, 2026 · RIA to RIA
- F••••• P•••• K••• to A••••• W•••••May 5, 2026 · RIA to RIA
- J••••••• I••••• C••••• S•••• to A••••• W•••••May 5, 2026 · RIA to RIA
- K••••••• M•••• W••••• to A••••• W•••••May 5, 2026 · RIA to RIA
- B•••• P•• to A••••• W•••••May 5, 2026 · RIA to RIA
- L••••• A•• P•••••••• to L•• F•••••••• L••Jan 2, 2018 · Other
- L••••• H••• M••••• to M••••• S••••••Jun 12, 2013 · Other
Joined, latest
- L••••• A•• P•••••••• from P•••••• W••••• A••••••• G••••Nov 9, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for A••••• W•••••May 5, 2026 · Corte Madera, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• J•••• D••••• · Managing Partner/President/Chief Compliance Officercontrolsince 01/2006 · owns 75% or more
- P••• B•••• · Secretarysince 01/2006 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Corte Madera, Ca | 0 | 0 | 3 | ||
| Larkspur, Ca · principal | 0 | 0 | 2 |
Offices
Schedule D 1.F, the 25 largest
- Berkeley, CA1 employees
- San Francisco, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 986 to 1,024Feb 20, 2025 to Jan 21, 2026
- HNW clients · 145 to 162Feb 20, 2025 to Jan 21, 2026
- Employees · 8 to 7Feb 20, 2025 to Jan 21, 2026
- Discretionary RAUM · $481M to $625MFeb 20, 2025 to Jan 21, 2026
- HNW RAUM · $411M to $550MFeb 20, 2025 to Jan 21, 2026
- Individual RAUM · $69.6M to $74.6MFeb 20, 2025 to Jan 21, 2026
- RAUM · $481M to $625MFeb 20, 2025 to Jan 21, 2026
- Accounts · 884 to 986Dec 6, 2024 to Feb 20, 2025
- HNW clients · 133 to 145Dec 6, 2024 to Feb 20, 2025
- Individual clients · 160 to 169Dec 6, 2024 to Feb 20, 2025
- Employees · 7 to 8Dec 6, 2024 to Feb 20, 2025
- Financial planning clients · 51-100 to 51-100Dec 6, 2024 to Feb 20, 2025
- Discretionary RAUM · $427M to $481MDec 6, 2024 to Feb 20, 2025
- HNW RAUM · $360M to $411MDec 6, 2024 to Feb 20, 2025
- Individual RAUM · $67.7M to $69.6MDec 6, 2024 to Feb 20, 2025
- RAUM · $427M to $481MDec 6, 2024 to Feb 20, 2025
- HQ city · CORTE MADERA to LARKSPURFeb 13, 2024 to Dec 6, 2024
- Accounts · 1,250 to 884Feb 20, 2023 to Feb 13, 2024
- HNW clients · 131 to 133Feb 20, 2023 to Feb 13, 2024
- Individual clients · 159 to 160Feb 20, 2023 to Feb 13, 2024
- Discretionary RAUM · $385M to $427MFeb 20, 2023 to Feb 13, 2024
- HNW RAUM · $319M to $360MFeb 20, 2023 to Feb 13, 2024
- Individual RAUM · $66.3M to $67.7MFeb 20, 2023 to Feb 13, 2024
- RAUM · $385M to $427MFeb 20, 2023 to Feb 13, 2024
- Accounts · 1,173 to 1,250Oct 24, 2022 to Feb 20, 2023
- HNW clients · 141 to 131Oct 24, 2022 to Feb 20, 2023
- Individual clients · 140 to 159Oct 24, 2022 to Feb 20, 2023
- Discretionary RAUM · $434M to $385MOct 24, 2022 to Feb 20, 2023
- HNW RAUM · $375M to $319MOct 24, 2022 to Feb 20, 2023
- Individual RAUM · $59.0M to $66.3MOct 24, 2022 to Feb 20, 2023
- RAUM · $434M to $385MOct 24, 2022 to Feb 20, 2023
- Accounts · 764 to 1,173Feb 26, 2021 to Mar 3, 2022
- HNW clients · 133 to 141Feb 26, 2021 to Mar 3, 2022
- Individual clients · 120 to 140Feb 26, 2021 to Mar 3, 2022
- Discretionary RAUM · $371M to $434MFeb 26, 2021 to Mar 3, 2022
- HNW RAUM · $321M to $375MFeb 26, 2021 to Mar 3, 2022
- Individual RAUM · $50.0M to $59.0MFeb 26, 2021 to Mar 3, 2022
- RAUM · $371M to $434MFeb 26, 2021 to Mar 3, 2022
- Accounts · 993 to 764May 11, 2020 to Feb 26, 2021
- HNW clients · 121 to 133May 11, 2020 to Feb 26, 2021
Signals
8 dated events
- F•••••••• C••••••••• G••••• I••• no longer on the SEC adviser roster (last listed 2026-05-01, RAUM $624.6M)Jun 1, 2026 · Left the SEC roster · derived
- J••• D••••• H•••••••• left F•••••••• C••••••••• G••••• I••• for A••••• W••••• (registered 2026-04-23)May 5, 2026 · Advisor changed firm · fact
- F•••••••• C••••••••• G••••• I•••'s advisors moved to A••••• W••••• (Corte Madera, CA): 5 of 5 registered, on the same dayMay 5, 2026 · Firm absorbed (people side) · derived
- F••••• P•••• K••• left F•••••••• C••••••••• G••••• I••• for A••••• W••••• (registered 2026-04-09)May 5, 2026 · Advisor changed firm · fact
- K••••••• M•••• W••••• left F•••••••• C••••••••• G••••• I••• for A••••• W••••• (registered 2026-04-13)May 5, 2026 · Advisor changed firm · fact
- B•••• P•• left F•••••••• C••••••••• G••••• I••• for A••••• W••••• (registered 2026-04-13)May 5, 2026 · Advisor changed firm · fact
- J••••••• I••••• C••••• S•••• left F•••••••• C••••••••• G••••• I••• for A••••• W••••• (registered 2026-04-09)May 5, 2026 · Advisor changed firm · fact
- F•••••••• C••••••••• G••••• I••• reported RAUM $624.6M, up 30% from $480.8M (2025-02-20 to 2026-01-21)Jan 21, 2026 · 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026