DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S•••••• P••••••• • I••••••••• L••
Latest filing Mar 15, 2026
First filing on the tape Mar 28, 2012 · 29 filings
SEC status approved since May 17, 2000
RAUM
$160M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$160M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$160M
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
29 filings and snapshots on the tape
RAUM$160M as of Mar 15, 2026
Mar 28, 2012$134M then
HNW client RAUM$156M as of Mar 15, 2026
Mar 19, 2018$180M then
State-registered IARs (5.B.3)1 as of Mar 15, 2026
Mar 28, 20120 then
Employees (5.A)2 as of Mar 15, 2026
Feb 28, 20132 then
Private funds: no history
RAUM -1.3% over the last fiscal year-0.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 15, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $160MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.8MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%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
- -1.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -12%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$156M98%
- Individuals$3.6M2.2%
- Individual clients
- 10reported
- HNW clients
- 20reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 80reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••• E••••• M•••Certified Financial Planner | La Conner, Wa | Mar 16, 2023 | 29 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
- S••••• S•••••• R••••• to R• W••••• A•••••••• L••Oct 19, 2007 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••• P•••• E••••• · Managing Member, Chief Compliance Officercontrolsince 04/1998 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 15, 2026discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 34 to 80Dec 1, 2025 to Mar 15, 2026
- HNW clients · 22 to 20Dec 1, 2025 to Mar 15, 2026
- Individual clients · 12 to 10Dec 1, 2025 to Mar 15, 2026
- Discretionary RAUM · $8.6M to $0Dec 1, 2025 to Mar 15, 2026
- HNW RAUM · $159M to $156MDec 1, 2025 to Mar 15, 2026
- Individual RAUM · $3.5M to $3.6MDec 1, 2025 to Mar 15, 2026
- Non-discretionary RAUM · $153M to $160MDec 1, 2025 to Mar 15, 2026
- RAUM · $162M to $160MDec 1, 2025 to Mar 15, 2026
- Accounts · 35 to 34Mar 27, 2024 to Mar 15, 2025
- Individual clients · 13 to 12Mar 27, 2024 to Mar 15, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 15, 2025
- HQ city · unset to Mar 27, 2024 to Mar 15, 2025
- HQ state · unset to Mar 27, 2024 to Mar 15, 2025
- Discretionary RAUM · $7.9M to $8.6MMar 27, 2024 to Mar 15, 2025
- HNW RAUM · $163M to $159MMar 27, 2024 to Mar 15, 2025
- Individual RAUM · $4.0M to $3.5MMar 27, 2024 to Mar 15, 2025
- Non-discretionary RAUM · $159M to $153MMar 27, 2024 to Mar 15, 2025
- RAUM · $167M to $162MMar 27, 2024 to Mar 15, 2025
- Accounts · 33 to 35Mar 16, 2023 to Mar 27, 2024
- Individual clients · 11 to 13Mar 16, 2023 to Mar 27, 2024
- HQ city · WALNUT CREEK to unsetMar 16, 2023 to Mar 27, 2024
- HQ state · CA to unsetMar 16, 2023 to Mar 27, 2024
- Discretionary RAUM · $7.0M to $7.9MMar 16, 2023 to Mar 27, 2024
- HNW RAUM · $159M to $163MMar 16, 2023 to Mar 27, 2024
- Individual RAUM · $2.6M to $4.0MMar 16, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $155M to $159MMar 16, 2023 to Mar 27, 2024
- RAUM · $162M to $167MMar 16, 2023 to Mar 27, 2024
- Accounts · 39 to 33Mar 18, 2022 to Mar 16, 2023
- HNW clients · 25 to 22Mar 18, 2022 to Mar 16, 2023
- Individual clients · 14 to 11Mar 18, 2022 to Mar 16, 2023
- Discretionary RAUM · $8.1M to $7.0MMar 18, 2022 to Mar 16, 2023
- HNW RAUM · $187M to $159MMar 18, 2022 to Mar 16, 2023
- Individual RAUM · $4.4M to $2.6MMar 18, 2022 to Mar 16, 2023
- Non-discretionary RAUM · $183M to $155MMar 18, 2022 to Mar 16, 2023
- RAUM · $191M to $162MMar 18, 2022 to Mar 16, 2023
- Accounts · 123 to 39Nov 1, 2021 to Mar 18, 2022
- HNW clients · 28 to 25Nov 1, 2021 to Mar 18, 2022
- Individual clients · 13 to 14Nov 1, 2021 to Mar 18, 2022
- Discretionary RAUM · $6.8M to $8.1MNov 1, 2021 to Mar 18, 2022
- HNW RAUM · $168M to $187MNov 1, 2021 to Mar 18, 2022
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
- (925) 934-8200reportedpublic record, Form ADV, Mar 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
- $160Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026