DFX Intelligence
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SEC-registered adviser
B•••••• F•••• A• I••
Latest filing Mar 19, 2026
First filing on the tape Apr 24, 2012 · 19 filings
SEC status approved since Feb 7, 1986
RAUM
$223M
reported, Item 5.F
Discretionary
43%
of RAUM
Private clients
56%
$125M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$223M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$223M as of Mar 19, 2026
Apr 24, 2012$144M then
HNW client RAUM$125M as of Mar 19, 2026
Mar 12, 2018$133M then
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Apr 24, 20120 then
Employees (5.A)1 as of Mar 19, 2026
Jun 20, 20133 then
Private funds: no history
RAUM -15% over the last fiscal year+1.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $223MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 11derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $11.4MderivedHNW RAUM over HNW clients
- Average account
- $18.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 43%derivedof RAUM
- Institutional
- 44%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -15%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -21%derived
- Compensation
- percentage of assets, performance-basedreportedItem 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)
- 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$125M56%
- Charitable organizations$98.0M44%
- Individual clients
- 0reported
- HNW clients
- 11reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 12reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.56 fund_share=0.0 institutional_share=0.44 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 |
|---|---|---|---|---|
| F•••• A•••• B•••••• | Burlingame, Ca | Oct 21, 2025 | 40 y | 1 |
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
- F•••• A•••• B•••••• from D••••• • B••••••Oct 21, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• C••••••• N••• · Secretarycontrolsince 03/1980 · owns 50% to 75%
- B••••••• F••••• A•••• · President, Chief Compliance Officercontrolsince 03/1980 · owns 50% to 75%
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
- high institutional concentrationStatic outlier · filing Mar 19, 2026institutional share of RAUM of 44% against a peer median of 0% (5679 comparable advisers, 98.0th percentile, 14.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,679) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 16 to 12Mar 20, 2025 to Mar 19, 2026
- Charity clients · 2 to 1Mar 20, 2025 to Mar 19, 2026
- HNW clients · 10 to 11Mar 20, 2025 to Mar 19, 2026
- Individual clients · 4 to 0Mar 20, 2025 to Mar 19, 2026
- Employees · 3 to 1Mar 20, 2025 to Mar 19, 2026
- Financial planning clients · to 11-25Mar 20, 2025 to Mar 19, 2026
- Discretionary RAUM · $96.2M to $96.5MMar 20, 2025 to Mar 19, 2026
- HNW RAUM · $160M to $125MMar 20, 2025 to Mar 19, 2026
- Individual RAUM · $1.5M to $0Mar 20, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $166M to $127MMar 20, 2025 to Mar 19, 2026
- RAUM · $263M to $223MMar 20, 2025 to Mar 19, 2026
- HNW clients · 9 to 10Mar 20, 2024 to Mar 20, 2025
- Individual clients · 5 to 4Mar 20, 2024 to Mar 20, 2025
- Financial planning clients · unset to Mar 20, 2024 to Mar 20, 2025
- Discretionary RAUM · $90.1M to $96.2MMar 20, 2024 to Mar 20, 2025
- HNW RAUM · $146M to $160MMar 20, 2024 to Mar 20, 2025
- Individual RAUM · $2.2M to $1.5MMar 20, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $149M to $166MMar 20, 2024 to Mar 20, 2025
- RAUM · $239M to $263MMar 20, 2024 to Mar 20, 2025
- Discretionary RAUM · $77.3M to $90.1MMar 7, 2023 to Mar 20, 2024
- HNW RAUM · $135M to $146MMar 7, 2023 to Mar 20, 2024
- Individual RAUM · $1.9M to $2.2MMar 7, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $138M to $149MMar 7, 2023 to Mar 20, 2024
- RAUM · $215M to $239MMar 7, 2023 to Mar 20, 2024
- Accounts · 15 to 16Mar 7, 2022 to Mar 7, 2023
- Individual clients · 4 to 5Mar 7, 2022 to Mar 7, 2023
- Discretionary RAUM · $83.9M to $77.3MMar 7, 2022 to Mar 7, 2023
- HNW RAUM · $145M to $135MMar 7, 2022 to Mar 7, 2023
- Individual RAUM · $1.9M to $1.9MMar 7, 2022 to Mar 7, 2023
- Non-discretionary RAUM · $161M to $138MMar 7, 2022 to Mar 7, 2023
- RAUM · $245M to $215MMar 7, 2022 to Mar 7, 2023
- Accounts · 12 to 15Mar 12, 2021 to Mar 7, 2022
- Individual clients · 1 to 4Mar 12, 2021 to Mar 7, 2022
- Discretionary RAUM · $72.1M to $83.9MMar 12, 2021 to Mar 7, 2022
- HNW RAUM · $136M to $145MMar 12, 2021 to Mar 7, 2022
- Individual RAUM · $756,965 to $1.9MMar 12, 2021 to Mar 7, 2022
- Non-discretionary RAUM · $149M to $161MMar 12, 2021 to Mar 7, 2022
- RAUM · $221M to $245MMar 12, 2021 to Mar 7, 2022
- Accounts · 15 to 12Jun 25, 2020 to Mar 12, 2021
- Charity clients · unset to 2.0Jun 25, 2020 to Mar 12, 2021
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
- 650-862-2369reportedpublic record, Form ADV, Mar 19, 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
- $223Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026