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.
SEC-registered adviser
California Financial Advisors
Legal name Maloon, Powers, Pitre, Higgins & Dennehy, LLC
Latest filing May 26, 2026
First filing on the tape Mar 14, 2012 · 22 filings
SEC status approved since Feb 18, 1998
RAUM
$2.3B
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
100%
$2.3B individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$151M
derived; firm RAUM over IAPD count
Employees
14
14 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$2.3B as of May 26, 2026
Mar 14, 2012$763M then
HNW client RAUM$1.9B as of May 26, 2026
Mar 26, 2018$78.7M then
State-registered IARs (5.B.3)14 as of May 26, 2026
Mar 14, 20120 then
Employees (5.A)14 as of May 26, 2026
Feb 26, 20137 then
Private funds: no history
RAUM +13% over the last fiscal year+15% a year over threeIARs 11 to 14offices 0 to 2
Practice profile
derived from the filing of May 26, 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
- 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
- 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)
- RAUM per advisor
- $151MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 101derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $638,111derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 5.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +27%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Financial planning clients
- 1,500reportedItem 5.H
- Custody
- $1.7B, 2,307 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)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.9B82%
- Individuals$400M18%
- Corporations and businesses$6.0M0.3%
- Charitable organizations$557,1040.0%
- Individual clients
- 851reported
- HNW clients
- 666reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 3,547reported
- Financial planning clients
- 1,500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.7B for 2,307 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
15 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael Francis MaloonCertified Financial Planner, Chartered Financial Consultant | San Ramon, Ca | Mar 9, 1998 | 38 y | 0 |
| John Albert CordanoChartered Financial Consultant | San Ramon, Ca | Mar 9, 1998 | 34 y | 0 |
| Mark Anthony PitreCertified Financial Planner | San Ramon, Ca | Mar 9, 1998 | 35 y | 0 |
| Thomas James PowersCertified Financial Planner, Chartered Financial Consultant | San Ramon, Ca | Mar 9, 1998 | 37 y | 0 |
| Raymond Michael TanChartered Financial Consultant | San Ramon, Ca | Mar 9, 1998 | 28 y | 1 |
| Michelle Perry Higgins | San Ramon, Ca | Mar 9, 1998 | 30 y | 0 |
| Ryan Douglas Dennehy | San Ramon, Ca | Feb 16, 2017 | 14 y | 0 |
| Madeline Maloon WilliamsCertified Financial Planner | San Ramon, Ca | Sep 2, 2019 | 11 y | 0 |
| Kayla Rae FernandezCertified Financial Planner | San Ramon, Ca | Sep 28, 2020 | 10 y | 0 |
| Kyle Donald Dennehy | San Ramon, Ca | Jun 20, 2022 | 11 y | 0 |
| Jonathan Lawrence Becker | San Ramon, Ca | Dec 15, 2024 | 21 y | 1 |
| Nicholas Parker Venezia | San Ramon, Ca | Mar 29, 2025 | 11 y | 0 |
| Sean Michael Maloon | San Ramon, Ca | May 5, 2025 | 13 y | 0 |
| Jackson Riley Sendell | San Ramon, Ca | Feb 18, 2026 | 13 y | 1 |
| Gabriella Marie Stamps | San Ramon, Ca | Aug 31, 2026 | 10 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- Jackson Riley Sendell from Praetorian Guard, A Division Of Praetorian Wealth Management,IncFeb 18, 2026 · RIA to RIA
- Jonathan Lawrence Becker from Ameriprise Financial Services, LLCDec 15, 2024 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Douglas Ryan Dennehy · Member Operations Officercontrolsince 03/2022 · owns 10% to 25%
- Perry Michelle Higgins · Membercontrolsince 01/2000 · owns 10% to 25%
- Francis Michael Maloon · Membercontrolsince 01/1998 · owns 10% to 25%
- Anthony Mark Pitre · Membercontrolsince 01/1998 · owns 10% to 25%
- James Thomas Powers · Membercontrolsince 01/1998 · owns 10% to 25%
- Alicia Minyen · Chief Compliance Officersince 03/2026 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list California Financial Advisors as a related person
- 1027 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Ramon, Ca · principal | 15 | 2 | 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 13, 2026HNW share of RAUM moved from 20.0% to 82.0% between the annual amendments of 2025-03-24 and 2026-03-13peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 3,335 to 3,547Mar 24, 2025 to Feb 24, 2026
- Advisory employees · 11 to 14Mar 24, 2025 to Feb 24, 2026
- Charity clients · 2 to 1Mar 24, 2025 to Feb 24, 2026
- Corporate clients · 9 to 7Mar 24, 2025 to Feb 24, 2026
- HNW clients · 41 to 666Mar 24, 2025 to Feb 24, 2026
- Individual clients · 1,484 to 851Mar 24, 2025 to Feb 24, 2026
- Assets in custody · $59.3M to $1.7BMar 24, 2025 to Feb 24, 2026
- Employees · 11 to 14Mar 24, 2025 to Feb 24, 2026
- State-registered IARs · 11 to 14Mar 24, 2025 to Feb 24, 2026
- Other offices · 0 to 2Mar 24, 2025 to Feb 24, 2026
- Discretionary RAUM · $1.7B to $2.0BMar 24, 2025 to Feb 24, 2026
- HNW RAUM · $398M to $1.9BMar 24, 2025 to Feb 24, 2026
- Individual RAUM · $1.6B to $400MMar 24, 2025 to Feb 24, 2026
- Non-discretionary RAUM · $268M to $253MMar 24, 2025 to Feb 24, 2026
- RAUM · $2.0B to $2.3BMar 24, 2025 to Feb 24, 2026
- Accounts · 1,490 to 3,335Dec 17, 2024 to Mar 24, 2025
- Corporate clients · 7 to 9Dec 17, 2024 to Mar 24, 2025
- HNW clients · 35 to 41Dec 17, 2024 to Mar 24, 2025
- Individual clients · 1,446 to 1,484Dec 17, 2024 to Mar 24, 2025
- Assets in custody · $1.4B to $59.3MDec 17, 2024 to Mar 24, 2025
- Financial planning clients · More than 500 to More than 500Dec 17, 2024 to Mar 24, 2025
- Discretionary RAUM · $1.5B to $1.7BDec 17, 2024 to Mar 24, 2025
- HNW RAUM · $277M to $398MDec 17, 2024 to Mar 24, 2025
- Individual RAUM · $1.5B to $1.6BDec 17, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $277M to $268MDec 17, 2024 to Mar 24, 2025
- RAUM · $1.7B to $2.0BDec 17, 2024 to Mar 24, 2025
- Assets in custody · unset to 1432644296.0Aug 8, 2024 to Dec 17, 2024
- Custody of client assets · false to trueAug 8, 2024 to Dec 17, 2024
- Legal name · MALOON, POWERS, PITRE & HIGGINS, LLC to MALOON, POWERS, PITRE, HIGGINS & DENNEHY, LLCMar 20, 2024 to Aug 8, 2024
- Accounts · 3,122 to 1,490Mar 27, 2023 to Mar 20, 2024
- Charity clients · 1 to 2Mar 27, 2023 to Mar 20, 2024
- Corporate clients · 5 to 7Mar 27, 2023 to Mar 20, 2024
- HNW clients · 27 to 35Mar 27, 2023 to Mar 20, 2024
- Individual clients · 1,288 to 1,446Mar 27, 2023 to Mar 20, 2024
- Discretionary RAUM · $1.3B to $1.5BMar 27, 2023 to Mar 20, 2024
- HNW RAUM · $201M to $277MMar 27, 2023 to Mar 20, 2024
- Individual RAUM · $1.3B to $1.5BMar 27, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $227M to $277MMar 27, 2023 to Mar 20, 2024
- RAUM · $1.5B to $1.7BMar 27, 2023 to Mar 20, 2024
- Accounts · 2,949 to 3,122May 23, 2022 to Mar 27, 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
- Business email
- info@calfinad.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 925-275-1000reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/16053146/adminreportedpublic record, Form ADV, Sep 17, 2026
- Website
- CALFINAD.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 925.275.1000reportedpublic record, Form ADV, May 26, 2026
- Team page
- CALFINAD.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
- $151Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026