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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Latest filing Mar 3, 2026
First filing on the tape Mar 29, 2012 · 24 filings
SEC status approved since Sep 23, 1993
RAUM
$522M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
70%
$363M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$522M
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
24 filings and snapshots on the tape
RAUM$522M as of Mar 3, 2026
Mar 29, 2012$255M then
HNW client RAUM$362M as of Mar 3, 2026
Feb 13, 2018$272M then
State-registered IARs (5.B.3)1 as of Mar 3, 2026
Mar 29, 20120 then
Employees (5.A)2 as of Mar 3, 2026
Feb 5, 20132 then
Private funds: no history
RAUM +7.8% over the last fiscal year+9.8% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 3, 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
- 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
- $522MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.7MderivedHNW RAUM over HNW clients
- Average account
- $2.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 30%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
- +7.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $133M, 13 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$362M69%
- Charitable organizations$156M30%
- Pension and profit-sharing plans$2.7M0.5%
- Individuals$977,9940.2%
- Corporations and businesses$33,3630.0%
- Individual clients
- n/areported
- HNW clients
- 34reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 188reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $133M for 13 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.7 fund_share=0.0 institutional_share=0.3 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••• D•••••• B••••Certified Financial Planner, Chartered Financial Analyst | Granite Bay, Ca | Jan 1, 1994 | 40 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J•••••• P••••• · Vice Presidentcontrolsince 07/2006 · owns less than 5%
- B••••• P•••• D•••••• · Trusteecontrolsince 06/2001 · owns 50% to 75%
Entity owners
- T•• B•••• F••••• T•••• · Shareholderdirect · 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.
What changed
consecutive filings, newest first
- Accounts · 198 to 188Mar 18, 2025 to Mar 3, 2026
- HNW clients · 36 to 34Mar 18, 2025 to Mar 3, 2026
- Assets in custody · $44.5M to $133MMar 18, 2025 to Mar 3, 2026
- Discretionary RAUM · $485M to $522MMar 18, 2025 to Mar 3, 2026
- HNW RAUM · $342M to $362MMar 18, 2025 to Mar 3, 2026
- Individual RAUM · $1.3M to $977,994Mar 18, 2025 to Mar 3, 2026
- Pension RAUM · $2.3M to $2.7MMar 18, 2025 to Mar 3, 2026
- RAUM · $485M to $522MMar 18, 2025 to Mar 3, 2026
- Accounts · 195 to 198Feb 28, 2024 to Mar 18, 2025
- HNW clients · 34 to 36Feb 28, 2024 to Mar 18, 2025
- Individual clients · 6.0 to unsetFeb 28, 2024 to Mar 18, 2025
- Assets in custody · $14.7M to $44.5MFeb 28, 2024 to Mar 18, 2025
- Financial planning clients · 1-10 to 1-10Feb 28, 2024 to Mar 18, 2025
- HQ city · unset to Feb 28, 2024 to Mar 18, 2025
- HQ state · unset to Feb 28, 2024 to Mar 18, 2025
- Discretionary RAUM · $473M to $485MFeb 28, 2024 to Mar 18, 2025
- HNW RAUM · $335M to $342MFeb 28, 2024 to Mar 18, 2025
- Individual RAUM · $3.7M to $1.3MFeb 28, 2024 to Mar 18, 2025
- Pension RAUM · $1.9M to $2.3MFeb 28, 2024 to Mar 18, 2025
- RAUM · $473M to $485MFeb 28, 2024 to Mar 18, 2025
- Accounts · 187 to 195Mar 2, 2023 to Feb 28, 2024
- Charity clients · 6 to 7Mar 2, 2023 to Feb 28, 2024
- HNW clients · 30 to 34Mar 2, 2023 to Feb 28, 2024
- Individual clients · 7 to 6Mar 2, 2023 to Feb 28, 2024
- Assets in custody · $13.2M to $14.7MMar 2, 2023 to Feb 28, 2024
- Discretionary RAUM · $395M to $473MMar 2, 2023 to Feb 28, 2024
- HNW RAUM · $266M to $335MMar 2, 2023 to Feb 28, 2024
- Individual RAUM · $3.8M to $3.7MMar 2, 2023 to Feb 28, 2024
- Pension RAUM · $1.8M to $1.9MMar 2, 2023 to Feb 28, 2024
- RAUM · $395M to $473MMar 2, 2023 to Feb 28, 2024
- Accounts · 193 to 187Feb 17, 2022 to Mar 2, 2023
- Charity clients · 5 to 6Feb 17, 2022 to Mar 2, 2023
- HNW clients · 27 to 30Feb 17, 2022 to Mar 2, 2023
- Individual clients · 11 to 7Feb 17, 2022 to Mar 2, 2023
- Assets in custody · $14.3M to $13.2MFeb 17, 2022 to Mar 2, 2023
- Discretionary RAUM · $475M to $395MFeb 17, 2022 to Mar 2, 2023
- HNW RAUM · $317M to $266MFeb 17, 2022 to Mar 2, 2023
- Individual RAUM · $9.0M to $3.8MFeb 17, 2022 to Mar 2, 2023
- Pension RAUM · $2.6M to $1.8MFeb 17, 2022 to Mar 2, 2023
- RAUM · $475M to $395MFeb 17, 2022 to Mar 2, 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
- Principal office phone
- (209) 224-8534reportedpublic record, Form ADV, Mar 3, 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
- $522Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026