DFX Intelligence
RIA Intelligence
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SEC-registered adviser
E•••••• F•••••••• G••••• I•••
Latest filing Jun 29, 2026
First filing on the tape Mar 17, 2012 · 23 filings
SEC status approved since Oct 24, 2003
RAUM
$626M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
96%
$603M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$125M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$626M as of Jun 29, 2026
Mar 17, 2012$246M then
HNW client RAUM$515M as of Jun 29, 2026
Mar 21, 2018$75.7M then
State-registered IARs (5.B.3)5 as of Jun 29, 2026
Mar 17, 20120 then
Employees (5.A)8 as of Jun 29, 2026
Mar 21, 20138 then
Private funds: no history
RAUM +13% over the last fiscal year+10% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Jun 29, 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
- RAUM per advisor
- $125MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 86derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%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 assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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
- 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$515M82%
- Individuals$88.3M14%
- Corporations and businesses$20.5M3.3%
- Pension and profit-sharing plans$2.7M0.4%
- Individual clients
- 264reported
- HNW clients
- 164reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 434reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• S•••• S••••••Certified Financial Planner | Fairfield, Ca | Nov 21, 2002 | 36 y | 0 |
| D••••• P••• P••• | Naples, Fl | Nov 21, 2002 | 35 y | 0 |
| L•• F•••• M••••••• | Fairfield, Ca | Oct 17, 2007 | 23 y | 2 |
| P•••• A••• M•••••Certified Financial Planner | Fairfield, Ca | Apr 15, 2014 | 16 y | 0 |
| M•••••• J•••••• H••••••• | Fairfield, Ca | Jan 4, 2020 | 28 y | 1 |
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
- M•••••• J•••••• H••••••• from P•••• S••••••••• L••Jan 4, 2020 · Affiliated broker-dealer or bank to independent RIA
- L•• F•••• M••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 17, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• L••• F•••• · Secretarycontrolsince 01/2023 · owns 5% to 10%
- M•••••• P••••• A••• · Treasurercontrolsince 01/2023 · owns 5% to 10%
- P•••• D•••••• P••• · Assistant Secretarycontrolsince 01/2023 · owns 5% to 10%
- S••••••• M•••• S•••• · President, Chief Compliance Officercontrolsince 08/2005 · owns 50% to 75%
- H•••••••• M••••••• J•••••• · Assistant Cfosince 07/2021 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fairfield, Ca · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Napa, CA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 495 to 434Mar 20, 2025 to Mar 19, 2026
- Corporate clients · 0 to 4Mar 20, 2025 to Mar 19, 2026
- HNW clients · 149 to 164Mar 20, 2025 to Mar 19, 2026
- Individual clients · 335 to 264Mar 20, 2025 to Mar 19, 2026
- Pension plan clients · 11 to 2Mar 20, 2025 to Mar 19, 2026
- Discretionary RAUM · $552M to $613MMar 20, 2025 to Mar 19, 2026
- HNW RAUM · $409M to $515MMar 20, 2025 to Mar 19, 2026
- Individual RAUM · $137M to $88.3MMar 20, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $2.5M to $13.3MMar 20, 2025 to Mar 19, 2026
- Pension RAUM · $8.1M to $2.7MMar 20, 2025 to Mar 19, 2026
- RAUM · $554M to $626MMar 20, 2025 to Mar 19, 2026
- HNW clients · 148 to 149Mar 18, 2024 to Mar 20, 2025
- Individual clients · 342 to 335Mar 18, 2024 to Mar 20, 2025
- Pension plan clients · 5 to 11Mar 18, 2024 to Mar 20, 2025
- Financial planning clients · 51-100 to 51-100Mar 18, 2024 to Mar 20, 2025
- Discretionary RAUM · $531M to $552MMar 18, 2024 to Mar 20, 2025
- HNW RAUM · $415M to $409MMar 18, 2024 to Mar 20, 2025
- Individual RAUM · $137M to $137MMar 18, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $28.4M to $2.5MMar 18, 2024 to Mar 20, 2025
- Pension RAUM · $6.1M to $8.1MMar 18, 2024 to Mar 20, 2025
- RAUM · $559M to $554MMar 18, 2024 to Mar 20, 2025
- Accounts · 437 to 495Sep 1, 2023 to Mar 18, 2024
- HNW clients · 23 to 148Sep 1, 2023 to Mar 18, 2024
- Individual clients · 414 to 342Sep 1, 2023 to Mar 18, 2024
- Pension plan clients · 22 to 5Sep 1, 2023 to Mar 18, 2024
- Discretionary RAUM · $466M to $531MSep 1, 2023 to Mar 18, 2024
- HNW RAUM · $189M to $415MSep 1, 2023 to Mar 18, 2024
- Individual RAUM · $265M to $137MSep 1, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $0 to $28.4MSep 1, 2023 to Mar 18, 2024
- Pension RAUM · $11.1M to $6.1MSep 1, 2023 to Mar 18, 2024
- RAUM · $466M to $559MSep 1, 2023 to Mar 18, 2024
- Accounts · 518 to 437Mar 15, 2022 to Mar 18, 2023
- HNW clients · 15 to 23Mar 15, 2022 to Mar 18, 2023
- Individual clients · 481 to 414Mar 15, 2022 to Mar 18, 2023
- Discretionary RAUM · $468M to $466MMar 15, 2022 to Mar 18, 2023
- HNW RAUM · $98.0M to $189MMar 15, 2022 to Mar 18, 2023
- Individual RAUM · $345M to $265MMar 15, 2022 to Mar 18, 2023
- Pension RAUM · $25.2M to $11.1MMar 15, 2022 to Mar 18, 2023
- RAUM · $468M to $466MMar 15, 2022 to Mar 18, 2023
- Accounts · 1,170 to 518Aug 8, 2021 to Mar 15, 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
- Business phone
- 707-428-5500reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- E••••••FG.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 707-428-5500reportedpublic record, Form ADV, Jun 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $125Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026