DFX Intelligence
RIA Intelligence
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SEC-registered adviser
D••••• A•••• M•••••••••
Legal name D••••• A•••• M••••••••• • N••••••• C•••••••••
Latest filing Mar 30, 2026
First filing on the tape Mar 20, 2012 · 16 filings
SEC status approved since Apr 10, 1996
RAUM
$218M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$218M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$109M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$218M as of Mar 30, 2026
Mar 20, 2012$103M then
HNW client RAUM$192M as of Mar 30, 2026
Mar 30, 2018$81.0M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 20, 20120 then
Employees (5.A)3 as of Mar 30, 2026
Apr 1, 20132 then
Private funds: no history
RAUM +10% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $109MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 79derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $551,456derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.3%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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$192M88%
- Individuals$25.6M12%
- Individual clients
- 78reported
- HNW clients
- 80reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 395reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• R•••• D••••• | Petaluma, Ca | Apr 30, 2026 | 10 y | 1 |
| C••••••••• M••••• D•••••Certified Financial Planner | Petaluma, Ca | Apr 30, 2026 | 36 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• C••••••••• M••••• · Owner/Financial Advisor/Chief Compliance Officercontrolsince 02/1994 · owns 25% to 50%
- M••••••••• M•••••• · Owner/Adminstratorsince 09/1995 · owns 25% to 50%
Entity owners
- D•••••• S••••• R•••• · Owner/Registered Advisor Representativedirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Petaluma, Ca · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 385 to 395Mar 26, 2025 to Mar 30, 2026
- HNW clients · 73 to 80Mar 26, 2025 to Mar 30, 2026
- Individual clients · 83 to 78Mar 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $196M to $216MMar 26, 2025 to Mar 30, 2026
- HNW RAUM · $169M to $192MMar 26, 2025 to Mar 30, 2026
- Individual RAUM · $27.9M to $25.6MMar 26, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $1.1M to $1.4MMar 26, 2025 to Mar 30, 2026
- RAUM · $197M to $218MMar 26, 2025 to Mar 30, 2026
- Accounts · 374 to 385Mar 28, 2024 to Mar 26, 2025
- HNW clients · 70 to 73Mar 28, 2024 to Mar 26, 2025
- Financial planning clients · 26-50 to 26-50Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $177M to $196MMar 28, 2024 to Mar 26, 2025
- HNW RAUM · $149M to $169MMar 28, 2024 to Mar 26, 2025
- Individual RAUM · $28.8M to $27.9MMar 28, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $1.0M to $1.1MMar 28, 2024 to Mar 26, 2025
- RAUM · $178M to $197MMar 28, 2024 to Mar 26, 2025
- Accounts · 380 to 374Mar 27, 2023 to Mar 28, 2024
- HNW clients · 71 to 70Mar 27, 2023 to Mar 28, 2024
- Individual clients · 92 to 83Mar 27, 2023 to Mar 28, 2024
- Discretionary RAUM · $155M to $177MMar 27, 2023 to Mar 28, 2024
- HNW RAUM · $128M to $149MMar 27, 2023 to Mar 28, 2024
- Individual RAUM · $28.2M to $28.8MMar 27, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $1.5M to $1.0MMar 27, 2023 to Mar 28, 2024
- RAUM · $156M to $178MMar 27, 2023 to Mar 28, 2024
- HNW clients · 74 to 71Mar 31, 2022 to Mar 23, 2023
- Individual clients · 93 to 92Mar 31, 2022 to Mar 23, 2023
- Financial planning clients · 11-25 to 26-50Mar 31, 2022 to Mar 23, 2023
- Discretionary RAUM · $171M to $155MMar 31, 2022 to Mar 23, 2023
- HNW RAUM · $146M to $128MMar 31, 2022 to Mar 23, 2023
- Individual RAUM · $28.9M to $28.2MMar 31, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $3.4M to $1.5MMar 31, 2022 to Mar 23, 2023
- RAUM · $175M to $156MMar 31, 2022 to Mar 23, 2023
- Accounts · 363 to 380Mar 26, 2021 to Mar 31, 2022
- Advisory activities · 3 to 2Mar 26, 2021 to Mar 31, 2022
- HNW clients · 65 to 74Mar 26, 2021 to Mar 31, 2022
- Individual clients · 91 to 93Mar 26, 2021 to Mar 31, 2022
- Pension plan clients · 1.0 to unsetMar 26, 2021 to Mar 31, 2022
- Discretionary RAUM · $146M to $171MMar 26, 2021 to Mar 31, 2022
- HNW RAUM · $119M to $146MMar 26, 2021 to Mar 31, 2022
- Individual RAUM · $28.6M to $28.9MMar 26, 2021 to Mar 31, 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
- Principal office phone
- 707-766-9254reportedpublic record, Form ADV, Mar 30, 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
- $109Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026