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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

SEC-registered adviser

A••••••• F••••••••• L•••

Broker-dealer affiliated wealth managerFolsom, CaliforniaCRD 111167SEC 801-68255website IAPD

Latest filing Jul 29, 2026

First filing on the tape Nov 9, 2011 · 96 filings

SEC status approved since Aug 27, 2007

RAUM

$34B

reported, Item 5.F

Discretionary

99%

of RAUM

Private clients

96%

$32B individuals and HNW

Advisors

318

registered through the firm on IAPD

RAUM per advisor

$106M

derived; firm RAUM over IAPD count

Employees

493

165 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

96 filings and snapshots on the tape

RAUM$34B as of Jul 29, 2026

Feb 15, 2012$961M then

HNW client RAUM$25B as of Jul 29, 2026

Mar 15, 2018$1.0B then

State-registered IARs (5.B.3)221 as of Jul 29, 2026

Mar 25, 201316 then

Employees (5.A)493 as of Jul 29, 2026

Mar 25, 201336 then

Private funds: no history

RAUM +34% over the last fiscal year+31% a year over threeIARs 195 to 221

Practice profile

derived from the filing of Jul 29, 2026; every figure names its basis

Archetypes, each a printed rule

Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
Consolidator · three or more firms absorbed (half or more of their registered advisors moved to this adviser within 14 days) in 24 months
HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
retirement p••• adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $105MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 90derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.7MderivedHNW RAUM over HNW clients
Average account: $446,636derivedRAUM over accounts (5.F.2.f)
Discretionary: 99%derivedof RAUM
Institutional: 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 8.9derived36 offices incl. principal (1.F.5)
RAUM growth, one year: +34%derivedbetween the last two annual amendments
Advisor growth, one year: +13%derivedItem 5.B.3 between annual amendments
Client growth, one year: +11%derived
Compensation: percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
Wrap fee program: $30BreportedItem 5.I
Custody: $21.4M, 15 clientsreportedItem 9.A
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Firms absorbed, 24 months: 9derivedhalf or more of a firm's advisors moved here within 14 days
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)
compensates persons for client referrals (8.G.1)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
marketing includes testimonials (5.L.1.c)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$25B75%
Individuals$7.0B21%
Pension and profit-sharing plans$809M2.4%
Corporations and businesses$430M1.3%
Pooled investment vehicles$54.8M0.2%
Charitable organizations$30.6M0.1%

Individual clients: 19,503reported
HNW clients: 9,283reported
Pension plan clients: 259reported
Charitable clients: 107reported
Accounts: 75,126reported
Financial planning clients: 101-250reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: $21.4M for 15 clientsreported
Compensation: % of AUM, fixed, performancereported
Class basis: private_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=true related_bank=false bd_reps=145.0derived

Advisors registered through the firm

309 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
P•••••• C••• M••••••	Folsom, Ca	Feb 13, 2001	35 y	1
S••••• T••••• B••••••Certified Financial Planner	Folsom, Ca	Feb 13, 2001	33 y	1
S•••• T••••• H•••••Certified Financial Planner	Folsom, Ca	Feb 13, 2001	35 y	1
D•••• W•••••• S••••••Certified Financial Planner, Chartered Financial Analyst	Folsom, Ca	Feb 24, 2004	27 y	1
P•••••• A•••• H••••Certified Financial Planner	Folsom, Ca	Mar 30, 2005	27 y	2
B•••••• M• H••••Certified Financial Planner	Roseville, Ca	Mar 30, 2005	31 y	1
E••• C•••••• M••••••• H••••Certified Financial Planner	Folsom, Ca	Nov 12, 2007	25 y	3
J••••• S•••••••Certified Financial Planner, Personal Financial Specialist	Folsom, Ca	Dec 13, 2007	28 y	1
M•••••• C•••••••Certified Financial Planner	Folsom, Ca	Dec 13, 2007	20 y	1
L••••• K•• H•••••	Folsom, Ca	Apr 1, 2010	17 y	0
H••••• B••••• D••••••	Folsom, Ca	Dec 7, 2011	21 y	0
C•••• C• G•••••	Folsom, Ca	Oct 22, 2013	16 y	4
J•••• T••••••• S•••••••Certified Financial Planner	Folsom, Ca	Jan 16, 2014	14 y	2
A••• B•••• P•••••Certified Financial Planner, Chartered Financial Consultant	Highlands, Co	Jul 1, 2014	27 y	3
K•••• M••••• D••••Certified Financial Planner	Folsom, Ca	Feb 1, 2016	25 y	3
E••• S•••••••Certified Financial Planner, Chartered Financial Consultant	Lynnfield, Ma	Oct 5, 2017	16 y	0
A••• F•••• K•••Certified Financial Planner	Sacramento, Ca	Dec 1, 2017	30 y	5
S•••••••• D• B••••••	Cincinnati, Oh	Aug 21, 2018	11 y	1
E•• P•••••Certified Financial Planner	Folsom, Ca	Aug 21, 2018	24 y	2
B•••• D•••• J••••Certified Financial Planner	Cincinnati, Oh	Aug 21, 2018	28 y	4
C•••••• G•••• D••••	Cincinnati, Oh	Aug 21, 2018	38 y	1
B•••••• R••••Certified Financial Planner	Cincinnati, Oh	Aug 22, 2018	12 y	1
A••••• R•• S••••Certified Financial Planner, Chartered Financial Analyst	Folsom, Ca	Aug 27, 2018	19 y	2
M•••••• C• C•••••Certified Financial Planner	Cincinnati, Oh	Aug 27, 2018	18 y	1
A••••• J••••• S•••••Chartered Financial Consultant	Folsom, Ca	Aug 27, 2018	26 y	3
D•••• A••• B••••••••Certified Financial Planner	Folsom, Ca	Nov 30, 2018	10 y	1
H••• B• P•••••••Certified Financial Planner	Folsom, Ca	Feb 1, 2019	38 y	1
S•••••••• M•••• M•••••••••Certified Financial Planner	Folsom, Ca	Jul 18, 2019	16 y	4
S•••• R•••••• E••••Certified Financial Planner	Folsom, Ca	Sep 17, 2019	35 y	4
M•••••• D•••• D••••	Campbell, Ca	Oct 1, 2019	33 y	3
M•••••• J••• S••••	Lynnfield, Ma	Oct 9, 2019	12 y	0
D••••• E•••••• G••••••	Sacramento, Ca	Jan 7, 2020	13 y	1
G••• J•• K••••••	Sacramento, Ca	Jan 7, 2020	39 y	2
M••••••• B•••••• F••	Sacramento, Ca	Jan 7, 2020	29 y	1
C••••••••• T• J••••••	Sacramento, Ca	Jan 7, 2020	28 y	1
P••• K•••• Z••••••	Sacramento, Ca	Jan 7, 2020	28 y	1
J•••• E•••••• H•••	Sacramento, Ca	Jan 7, 2020	36 y	1
S••• L••••••• O•••••••	Sacramento, Ca	Jan 7, 2020	39 y	1
J•••••• P••• E•••	Sacramento, Ca	Jan 7, 2020	38 y	1
P•••••• C•••••• D••••	Sacramento, Ca	Jan 7, 2020	36 y	1

All 309 advisors at A••••••• F••••••••• L•••

Advisor movement

13 left, 41 joined in 12 months

net +28 in 12 months2 left in 90 days7 joined in 90 daysdeparture rate 4.1% of current headcount30 left over 36 months

Left, latest

C••••••• G••• W••••• to N•••••• A•••••••
Jul 31, 2026 · Affiliated broker-dealer or bank to another
D•••• A•••••• B•••••• to N•••••• A•••••••
Jul 31, 2026 · Affiliated broker-dealer or bank to another
J••••• M••••• to F•••••••••
Mar 30, 2026 · Other
J•••• A••••••••• to F•••• P••••••• W•••••• L••
Mar 26, 2026 · Affiliated broker-dealer or bank to independent RIA
D••••• W•••••• R••••• to O•••• A••••••• S•••••••• L••
Mar 9, 2026 · Affiliated broker-dealer or bank to another
E•••• B•••••• to C•••••• S••••• • C••• I•••
Feb 17, 2026 · Affiliated broker-dealer or bank to another
A••••• C•••••• G•••••• to T••••••• A•••• M••••••••• L••
Feb 3, 2026 · Affiliated broker-dealer or bank to independent RIA
D•••••• R••• to A•••• W••••• F••••• L••
Jan 9, 2026 · Affiliated broker-dealer or bank to independent RIA
R•••• C•••••••• L•••••• to F•••• C•••••• A••••••• S•••••••
Jan 9, 2026 · Affiliated broker-dealer or bank to another
A•••••• M••••• to M•••••• W••••• M••••••••• L•
Jan 5, 2026 · Affiliated broker-dealer or bank to independent RIA
K•••• S••••••••• S••••• to M••••• G••••• A••••••• I•••
Jan 5, 2026 · Affiliated broker-dealer or bank to independent RIA
K•••••••• H••••• to V•••• F•••••••• A•••••••• L••
Dec 22, 2025 · Affiliated broker-dealer or bank to independent RIA
J•••• A•• R•••• to A•••••• C•••••• L••
Oct 7, 2025 · Affiliated broker-dealer or bank to independent RIA
R••••• S•••• to W•••• G•••• C•••••• L••
Jun 16, 2025 · Affiliated broker-dealer or bank to a state-registered adviser
C••• S•••• L••• to P••••••• A•••••••• L••
Apr 4, 2025 · Affiliated broker-dealer or bank to independent RIA

Joined, latest

G•••• H••••••••• from U••••• C•••••• F•••••••• A•••••••
Sep 16, 2026 · RIA to affiliated broker-dealer or bank
J•••• C••••••••• L•••••••• from H••••••• F•••••••• P•••••••• L••
Aug 20, 2026 · RIA to affiliated broker-dealer or bank
R•• E•••••• S•••• from M•• S••••••••• L••
Aug 5, 2026 · Other
N••••• A•• N••••• from R•• C•••••• M••••••• L••
Jul 24, 2026 · Affiliated broker-dealer or bank to another
B••••• S••••••• from K••• W••••• A•••••••
Jul 23, 2026 · RIA to affiliated broker-dealer or bank
S•••••••• C•••• S•••• from T••••••••• R••••••••• A•••••••• L••
Jul 15, 2026 · Affiliated broker-dealer or bank to another
M••••••• A••••••• R•••••• from A••••••• F•••••••• A•••••••• L•••
Jun 22, 2026 · RIA to affiliated broker-dealer or bank
E••••• S• P••••• from R•• C•••••• M••••••• L••
Jun 8, 2026 · Affiliated broker-dealer or bank to another
P••• R••••• C••••••• from A••••• S•••• F••••••••• L••
Jun 1, 2026 · RIA to affiliated broker-dealer or bank
Z•••••• B•••••• S••••• from A••••• S•••• F••••••••• L••
Jun 1, 2026 · RIA to affiliated broker-dealer or bank
A••••• S•••• from A••••• S•••• F••••••••• L••
Jun 1, 2026 · RIA to affiliated broker-dealer or bank
M•••• O••••• from A••••••••• F•••••••• S•••••••• L••
May 28, 2026 · Affiliated broker-dealer or bank to another
M••••• M••••••••• from V••••••• A•••••••• I•••
May 6, 2026 · Affiliated broker-dealer or bank to another
K•••• M•••• from N••• I••••••••• A•••••••• L••
Apr 10, 2026 · Other
D•••• W•••• from P••••••• F•••••••• S•••••••• I•••
Mar 6, 2026 · Affiliated broker-dealer or bank to another

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for N•••••• A•••••••
Jul 31, 2026 · Folsom, Ca
2 left for N•••••• A•••••••
Apr 10, 2024 · Folsom, Ca
4 left for C••••••• P•••••••
Apr 21, 2023 · Sacramento, Ca

3 joined from A••••• S•••• F••••••••• L••
Jun 25, 2026 · Bethesda, Md · Firm absorbed
4 joined from G•••••• F•••••••• A•••••••• I•••
Jan 28, 2026 · Denton, Tx · Firm absorbed
4 joined from F•• W••••• M••••••••• L••
Dec 31, 2025 · Needham, Ma · Firm absorbed
5 joined from S••••••••• C•••••• P••••••• L••
Oct 30, 2025 · Norwood, Ma · Firm absorbed
11 joined from S••••• B•••• I••••••••• A•••••••• L••
Sep 12, 2025 · Indianapolis, In · Firm absorbed
2 joined from S•••••••• S••••• B••••• L••
Jun 26, 2025 · Indianapolis, In
2 joined from G•••••• S•••• W••••• S•••••••• L•••
May 20, 2025 · Irving, Tx
3 joined from R••• W••••• M•••••••••
Mar 31, 2025 · Yuba City, Ca · Firm absorbed

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B••••• J•••• B•••••• · Chief Executive Officercontrol
since 10/2023 · owns less than 5%
E•••••••• P••••• J••• · Chief Operating Officercontrol
since 07/2017 · owns less than 5%
G•••••• C••••• C• · Chief Compliance Officercontrol
since 07/2017 · owns less than 5%
G••••••••• B••••• Y••• · Chief Legal Officercontrol
since 06/2021 · owns less than 5%
O•••• C••••••••• M•••••• · Chief Financial Officercontrol
since 04/2018 · owns less than 5%
S••••• A•••••• R•• · Chief Investment Officercontrol
since 03/2019 · owns less than 5%

Entity owners

A•• P••••• G•• L•• · G•••Ral Partner
direct · owns less than 5%
A••••••• F•••••••• G••••• L••• · L•••••• Partner
direct · owns 75% or more
2•••••• O•••••• L•••••• · Owner
indirect · owns 75% or more of O•••••••• L••
A•• I••••••••• L••• · Owner
indirect · owns 75% or more of A••••••• F•••••••• G••••• L•••
A•• P••••• G•• L•• · Other G•••Ral Partners
indirect · owns F of A•• I••••••••• L•••
A••••••• F•••••••• H•••••••• L•• · Owner
indirect · owns 75% or more of A•• I••••••••• L•••
O•••••• T•••••••• P•••••• P••• B•••• · Owner
indirect · owns 75% or more of 2•••••• O•••••• L••••••
O•••••••• L•• · Owner
indirect · owns 25% to 50% of A••••••• F•••••••• H•••••••• L••

Related persons

Schedule D 7.A

A••••••• T•• S••••••••
insurancen
A• S•••••••••
broker-dealerinvestment adviserreal estatey

Advisers that list A••••••• F••••••••• L••• as a related person

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out
Folsom, Ca · principal	258	68	9	1
Sacramento, Ca	53	0	0
Indianapolis, In	24	1	2
Addison, Tx	21	4	2
Walnut Creek, Ca	13	5	0
Cincinnati, Oh	12	0	0
Rochester, Ny	11	11	0
Manasquan, Nj	10	0	0
Lynnfield, Ma	10	10	0
Houston, Tx	9	2	0
Campb•••, Ca	9	0	0
Lawrence, Ks	8	0	0
Vancouver, Wa	7	1	0
Waltham, Ma	6	4	0
Durham, Nc	6	1	0
Albuquerque, Nm	6	0	0
Norwood, Ma	6	6	0
Denver, Co	5	1	0
Riverwoods, Il	5	1	0
Roseville, Ca	5	0	0

Post-acquisition retention

advisors of absorbed firms still registered here after the move

Firms absorbed: 14 since 2015, 9 in 24 monthsderived
Advisors acquired: 69derived
Still registered after 90 days: 97% of 66derived
After 180 days: 92% of 66derived
After 365 days: 91% of 53derived
After 730 days: 87% of 23derived
Team lift-outs after: 14derivedteams that left this firm within two years of an absorption

Lower bound: a person who left the industry is on neither side of the tape, and a re-registration to an affiliated CRD of the same group counts as a departure.

Offices

Schedule D 1.F, the 25 largest

Addison, TX17 employees
Sacramento, CA12 employees
Blue Ash, OH11 employees
Lawrence, KS6 employees
Riverwoods, IL6 employees
Kennesaw, GA6 employees
Roseville, CA5 employees
St. Louis, MO4 employees
Houston, TX4 employees
Walnut Creek, CA3 employees
Roseville, CA3 employees
Albuquerque, NM3 employees
Denver, CO3 employees
Chico, CA3 employees
Waltham, MA2 employees
Bel Air, MD2 employees
Campb•••, CA2 employees
Cape Girardeau, MO2 employees
Dansville, NY2 employees
Grandville, MI2 employees
Indianapolis, IN2 employees
Larkspur, CA2 employees
Las Vegas, NV2 employees
Los Gatos, CA2 employees
Phoenix, AZ2 employees

What changed

consecutive filings, newest first

Accounts · 64,930 to 75,126
Dec 11, 2025 to Mar 20, 2026
Advisory employees · 151 to 165
Dec 11, 2025 to Mar 20, 2026
BD registered reps · 140 to 145
Dec 11, 2025 to Mar 20, 2026
Charity clients · 72 to 107
Dec 11, 2025 to Mar 20, 2026
Corporate clients · 105 to 143
Dec 11, 2025 to Mar 20, 2026
HNW clients · 7,242 to 9,283
Dec 11, 2025 to Mar 20, 2026
Individual clients · 18,776 to 19,503
Dec 11, 2025 to Mar 20, 2026
Pension plan clients · 130 to 259
Dec 11, 2025 to Mar 20, 2026
Pooled vehicle clients · 0 to 2
Dec 11, 2025 to Mar 20, 2026
Assets in custody · $19.8M to $21.4M
Dec 11, 2025 to Mar 20, 2026
Employees · 466 to 493
Dec 11, 2025 to Mar 20, 2026
State-registered IARs · 195 to 221
Dec 11, 2025 to Mar 20, 2026
Discretionary RAUM · $25B to $33B
Dec 11, 2025 to Mar 20, 2026
HNW RAUM · $18B to $25B
Dec 11, 2025 to Mar 20, 2026
Individual RAUM · $6.6B to $7.0B
Dec 11, 2025 to Mar 20, 2026
Non-discretionary RAUM · $266M to $489M
Dec 11, 2025 to Mar 20, 2026
Pension RAUM · $598M to $809M
Dec 11, 2025 to Mar 20, 2026
Pooled vehicle RAUM · $0 to $54.8M
Dec 11, 2025 to Mar 20, 2026
RAUM · $25B to $34B
Dec 11, 2025 to Mar 20, 2026
Advisory activities · 7 to 8
Jul 1, 2025 to Dec 11, 2025
Financial planning clients · 101-250 to 101-250
May 30, 2025 to Jul 1, 2025
Accounts · 66,085 to 64,930
Dec 11, 2024 to Mar 31, 2025
Advisory employees · 156 to 151
Dec 11, 2024 to Mar 31, 2025
BD registered reps · 100 to 140
Dec 11, 2024 to Mar 31, 2025
Charity clients · 33 to 72
Dec 11, 2024 to Mar 31, 2025
Corporate clients · 54 to 105
Dec 11, 2024 to Mar 31, 2025
HNW clients · 5,782 to 7,242
Dec 11, 2024 to Mar 31, 2025
Individual clients · 17,181 to 18,776
Dec 11, 2024 to Mar 31, 2025
Pension plan clients · 242 to 130
Dec 11, 2024 to Mar 31, 2025
Assets in custody · $26.1M to $19.8M
Dec 11, 2024 to Mar 31, 2025
Employees · 392 to 466
Dec 11, 2024 to Mar 31, 2025
State-registered IARs · 233 to 195
Dec 11, 2024 to Mar 31, 2025
Discretionary RAUM · $19B to $25B
Dec 11, 2024 to Mar 31, 2025
HNW RAUM · $13B to $18B
Dec 11, 2024 to Mar 31, 2025
Individual RAUM · $6.0B to $6.6B
Dec 11, 2024 to Mar 31, 2025
Non-discretionary RAUM · $712M to $266M
Dec 11, 2024 to Mar 31, 2025
Pension RAUM · $562M to $598M
Dec 11, 2024 to Mar 31, 2025
RAUM · $19B to $25B
Dec 11, 2024 to Mar 31, 2025
Assets in custody · unset to 26149258.0
May 31, 2024 to Oct 10, 2024
Custody of client assets · false to true
May 31, 2024 to Oct 10, 2024

Signals

60 dated events

G•••• H••••••••• registered as an investment adviser representative at A••••••• F••••••••• L•••
Sep 16, 2026 · Advisor registered · fact
C••••••• G••• W••••• left A••••••• F••••••••• L••• for N•••••• A••••••• (registered 2026-07-31)
Jul 31, 2026 · Advisor changed firm · fact
2 advisors left A••••••• F••••••••• L••• (Folsom, CA) for N•••••• A••••••• on the same day
Jul 31, 2026 · Team lift-out · derived
D•••• A•••••• B•••••• left A••••••• F••••••••• L••• for N•••••• A••••••• (registered 2026-07-31)
Jul 31, 2026 · Advisor changed firm · fact
A••••• S•••• F••••••••• L••'s advisors moved to A••••••• F••••••••• L••• (Bethesda, MD): 3 of 3 registered, on the same day
Jun 25, 2026 · Firm absorbed (people side) · derived
J••••• M••••• left A••••••• F••••••••• L••• for Fisher\Smb (registered 2026-04-14)
Mar 30, 2026 · Advisor changed firm · fact
J•••• A••••••••• left A••••••• F••••••••• L••• for F•••• P••••••• W•••••• L•• (registered 2026-04-02)
Mar 26, 2026 · Advisor changed firm · fact
A••••••• F••••••••• L••• reported RAUM $33.6B, up 34% from $25.1B (2025-12-11 to 2026-03-20)
Mar 20, 2026 · RAUM change · derived
D••••• W•••••• R••••• left A••••••• F••••••••• L••• for O•••• A••••••• S•••••••• L•• (registered 2026-03-06)
Mar 9, 2026 · Advisor changed firm · fact
E•••• B•••••• left A••••••• F••••••••• L••• for C•••••• S••••• • C••• I••• (registered 2026-03-06)
Feb 17, 2026 · Advisor changed firm · fact
A••••• C•••••• G•••••• left A••••••• F••••••••• L••• for T••••••• A•••• M••••••••• L•• (registered 2026-02-08)
Feb 3, 2026 · Advisor changed firm · fact
G•••••• F•••••••• A•••••••• I•••'s advisors moved to A••••••• F••••••••• L••• (Denton, TX): 4 of 4 registered, on the same day
Jan 28, 2026 · Firm absorbed (people side) · derived
R•••• C•••••••• L•••••• left A••••••• F••••••••• L••• for F•••• C•••••• A••••••• S••••••• (registered 2026-08-11)
Jan 9, 2026 · Advisor changed firm · fact
D•••••• R••• left A••••••• F••••••••• L••• for A•••• W••••• F••••• L•• (registered 2026-02-24)
Jan 9, 2026 · Advisor changed firm · fact
K•••• S••••••••• S••••• left A••••••• F••••••••• L••• for M••••• G••••• A••••••• I••• (registered 2026-02-13)
Jan 5, 2026 · Advisor changed firm · fact
A•••••• M••••• left A••••••• F••••••••• L••• for M•••••• W••••• M••••••••• L• (registered 2026-03-19)
Jan 5, 2026 · Advisor changed firm · fact
F•• W••••• M••••••••• L••'s advisors moved to A••••••• F••••••••• L••• (Needham, MA): 4 of 4 registered, on the same day
Dec 31, 2025 · Firm absorbed (people side) · derived
K•••••••• H••••• left A••••••• F••••••••• L••• for V•••• F•••••••• A•••••••• L•• (registered 2026-08-13)
Dec 22, 2025 · Advisor changed firm · fact
S••••••••• C•••••• P••••••• L••'s advisors moved to A••••••• F••••••••• L••• (Norwood, MA): 5 of 5 registered, on the same day
Oct 30, 2025 · Firm absorbed (people side) · derived
J•••• A•• R•••• left A••••••• F••••••••• L••• for A•••••• C•••••• L•• (registered 2025-11-05)
Oct 7, 2025 · Advisor changed firm · fact
S••••• B•••• I••••••••• A•••••••• L••'s advisors moved to A••••••• F••••••••• L••• (Indianapolis, IN): 11 of 15 registered, on the same day
Sep 12, 2025 · Firm absorbed (people side) · derived
2 advisors left S•••••••• S••••• B••••• L•• (Indianapolis, IN) for A••••••• F••••••••• L••• on the same day
Jun 26, 2025 · Team lift-out · derived
R••••• S•••• left A••••••• F••••••••• L••• for W•••• G•••• C•••••• L•• (registered 2025-07-11)
Jun 16, 2025 · Advisor changed firm · fact
2 advisors left G•••••• S•••• W••••• S•••••••• L••• (Irving, TX) for A••••••• F••••••••• L••• within 10 days
May 20, 2025 · Team lift-out · derived
C••• S•••• L••• left A••••••• F••••••••• L••• for P••••••• A•••••••• L•• (registered 2025-04-10)
Apr 4, 2025 · Advisor changed firm · fact
A••••••• F••••••••• L••• reported RAUM $25.1B, up 30% from $19.3B (2024-12-11 to 2025-03-31)
Mar 31, 2025 · RAUM change · derived
R••• W••••• M•••••••••'s advisors moved to A••••••• F••••••••• L••• (Yuba City, CA): 3 of 3 registered, on the same day
Mar 31, 2025 · Firm absorbed (people side) · derived
S••••••• H••••••• left A••••••• F••••••••• L••• for X••• S••••••• (registered 2025-02-14)
Feb 18, 2025 · Advisor changed firm · fact
B•••• B••••• left A••••••• F••••••••• L••• for O•••• W•••••• I••• (registered 2025-02-14)
Jan 21, 2025 · Advisor changed firm · fact
W••••••••• A••••••• L••'s advisors moved to A••••••• F••••••••• L••• (Indianapolis, IN): 3 of 3 registered, on the same day
Dec 31, 2024 · Firm absorbed (people side) · derived

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

Website: allworthfinancial.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 916-482-2196reportedpublic record, Form ADV, Jul 29, 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: Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $106Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026