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R•• • C•• L••

Independent wealth managerSEC-registered· St. Helena, Californiawebsite

Independent wealth manager, based in St. Helena, California, reporting $655M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$655M
Form ADV
Advisors
0
IAPD
RAUM change, 1 year
+2.2%
Form ADV, consecutive annual filings
Private clients
93%
of RAUM, $611M
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 29 Jan 2026, RAUM $641M to $655M (+2.2%) on the Form ADV filed 29 Jan 2026.

Every filed figure, and the identifiersCRD 112172 · SEC 801-60283 · 18 filingsShow
CRD 112172SEC 801-60283First filing on the tape Mar 27, 2012, latest Jan 29, 2026SEC status approved since May 17, 2001IAPD
RAUM
$655M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$611M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape

RAUM +3.2% a year over three years · the tape starts Mar 27, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$655M as of Jan 29, 2026
Mar 27, 2012$198M then
HNW client RAUM$589M as of Jan 29, 2026
Mar 28, 2018$375M then
State-registered IARs (5.B.3)0 as of Jan 29, 2026
Mar 27, 20120 then
Employees (5.A)8 as of Jan 29, 2026
Mar 22, 20135 then
Private funds: no history
RAUM +2.2% over the last fiscal year+3.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 29, 2026; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$8.5MderivedHNW RAUM over HNW clients
Average account
$2.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year
+2.2%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+2.1%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Custody
$569M, 101 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
  • 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)
  • 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

90% high-net-worth individuals, 3.9% charitable organizations, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow
  • High-net-worth individuals$589M90%
  • Charitable organizations$25.3M3.9%
  • Individuals$21.3M3.3%
  • Corporations and businesses$18.9M2.9%
Individual clients
28reported
HNW clients
69reported
Pension plan clients
0reported
Charitable clients
8reported
Accounts
259reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$569M for 101 clientsreported
Compensation
% of AUMreported
Class basis
RAUM: 93% private clients, 0% pooled funds, 4% institutions; no related broker-dealer; no related bankderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H•••• D••••••• M••••••••• · Chief Compliance Officer & Chief Operating Officercontrol
        since 10/2016 · owns less than 5%
      • O•••••• J•••• M•••• · Managing Member & Portfolio Managercontrol
        since 01/2007 · owns 75% or more
      • R••••••• V•••••• L•• · Director Of Operationscontrol
        since 10/2016 · owns less than 5%
      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 · 250 to 259
        Mar 31, 2025 to Jan 29, 2026
      • Corporate clients · 5 to 7
        Mar 31, 2025 to Jan 29, 2026
      • Individual clients · 26 to 28
        Mar 31, 2025 to Jan 29, 2026
      • Assets in custody · $557M to $569M
        Mar 31, 2025 to Jan 29, 2026
      • Discretionary RAUM · $641M to $655M
        Mar 31, 2025 to Jan 29, 2026
      Full history · 80 changes
      • HNW RAUM · $586M to $589M
        Mar 31, 2025 to Jan 29, 2026
      • Individual RAUM · $8.2M to $21.3M
        Mar 31, 2025 to Jan 29, 2026
      • RAUM · $641M to $655M
        Mar 31, 2025 to Jan 29, 2026
      • Accounts · 249 to 250
        Mar 27, 2024 to Mar 31, 2025
      • Charity clients · 9 to 8
        Mar 27, 2024 to Mar 31, 2025
      • Corporate clients · 4 to 5
        Mar 27, 2024 to Mar 31, 2025
      • Assets in custody · $529M to $557M
        Mar 27, 2024 to Mar 31, 2025
      • Financial planning clients · unset to
        Mar 27, 2024 to Mar 31, 2025
      • Discretionary RAUM · $615M to $641M
        Mar 27, 2024 to Mar 31, 2025
      • HNW RAUM · $554M to $586M
        Mar 27, 2024 to Mar 31, 2025
      • Individual RAUM · $7.4M to $8.2M
        Mar 27, 2024 to Mar 31, 2025
      • RAUM · $615M to $641M
        Mar 27, 2024 to Mar 31, 2025
      • Accounts · 239 to 249
        Mar 31, 2023 to Mar 27, 2024
      • Individual clients · 24 to 26
        Mar 31, 2023 to Mar 27, 2024
      • Assets in custody · $510M to $529M
        Mar 31, 2023 to Mar 27, 2024
      • Discretionary RAUM · $596M to $615M
        Mar 31, 2023 to Mar 27, 2024
      • HNW RAUM · $527M to $554M
        Mar 31, 2023 to Mar 27, 2024
      • Individual RAUM · $6.8M to $7.4M
        Mar 31, 2023 to Mar 27, 2024
      • RAUM · $596M to $615M
        Mar 31, 2023 to Mar 27, 2024
      • Accounts · 246 to 239
        Mar 31, 2022 to Mar 31, 2023
      • Charity clients · 11 to 9
        Mar 31, 2022 to Mar 31, 2023
      • Individual clients · 22 to 24
        Mar 31, 2022 to Mar 31, 2023
      • Assets in custody · $562M to $510M
        Mar 31, 2022 to Mar 31, 2023
      • Discretionary RAUM · $664M to $596M
        Mar 31, 2022 to Mar 31, 2023
      • HNW RAUM · $587M to $527M
        Mar 31, 2022 to Mar 31, 2023
      • Individual RAUM · $7.5M to $6.8M
        Mar 31, 2022 to Mar 31, 2023
      • RAUM · $664M to $596M
        Mar 31, 2022 to Mar 31, 2023
      • Accounts · 247 to 246
        Mar 31, 2021 to Mar 31, 2022
      • Advisory employees · 2 to 3
        Mar 31, 2021 to Mar 31, 2022
      • HNW clients · 70 to 69
        Mar 31, 2021 to Mar 31, 2022
      • Individual clients · 21 to 22
        Mar 31, 2021 to Mar 31, 2022
      • Assets in custody · $449M to $562M
        Mar 31, 2021 to Mar 31, 2022
      • Employees · 7 to 8
        Mar 31, 2021 to Mar 31, 2022
      • Discretionary RAUM · $531M to $664M
        Mar 31, 2021 to Mar 31, 2022
      • HNW RAUM · $460M to $587M
        Mar 31, 2021 to Mar 31, 2022
      • Individual RAUM · $5.5M to $7.5M
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $531M to $664M
        Mar 31, 2021 to Mar 31, 2022
      • Accounts · 235 to 247
        Jun 30, 2020 to Mar 31, 2021
      • Charity clients · 9 to 11
        Jun 30, 2020 to Mar 31, 2021
      • Corporate clients · 3 to 4
        Jun 30, 2020 to Mar 31, 2021
      • HNW clients · 69 to 70
        Jun 30, 2020 to Mar 31, 2021
      • Individual clients · 19 to 21
        Jun 30, 2020 to Mar 31, 2021
      • Assets in custody · $410M to $449M
        Jun 30, 2020 to Mar 31, 2021
      • Employees · 6 to 7
        Jun 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $488M to $531M
        Jun 30, 2020 to Mar 31, 2021
      • HNW RAUM · $421M to $460M
        Jun 30, 2020 to Mar 31, 2021
      • Individual RAUM · $4.6M to $5.5M
        Jun 30, 2020 to Mar 31, 2021
      • RAUM · $488M to $531M
        Jun 30, 2020 to Mar 31, 2021
      • Accounts · 214 to 235
        Mar 26, 2019 to Mar 27, 2020
      • Charity clients · 7 to 9
        Mar 26, 2019 to Mar 27, 2020
      • HNW clients · 68 to 69
        Mar 26, 2019 to Mar 27, 2020
      • Individual clients · 17 to 19
        Mar 26, 2019 to Mar 27, 2020
      • Assets in custody · $335M to $410M
        Mar 26, 2019 to Mar 27, 2020
      • Discretionary RAUM · $401M to $488M
        Mar 26, 2019 to Mar 27, 2020
      • HNW RAUM · $349M to $421M
        Mar 26, 2019 to Mar 27, 2020
      • Individual RAUM · $4.9M to $4.6M
        Mar 26, 2019 to Mar 27, 2020
      • RAUM · $401M to $488M
        Mar 26, 2019 to Mar 27, 2020
      • Accounts · 199 to 214
        Mar 28, 2018 to Mar 26, 2019
      • Corporate clients · 2 to 3
        Mar 28, 2018 to Mar 26, 2019
      • HNW clients · 64 to 68
        Mar 28, 2018 to Mar 26, 2019
      • Assets in custody · $364M to $335M
        Mar 28, 2018 to Mar 26, 2019
      • Discretionary RAUM · $433M to $401M
        Mar 28, 2018 to Mar 26, 2019
      • HNW RAUM · $375M to $349M
        Mar 28, 2018 to Mar 26, 2019
      • Individual RAUM · $4.6M to $4.9M
        Mar 28, 2018 to Mar 26, 2019
      • RAUM · $433M to $401M
        Mar 28, 2018 to Mar 26, 2019
      • Accounts · 204 to 199
        Mar 15, 2017 to Mar 28, 2018
      • Charity clients · unset to 7.0
        Mar 15, 2017 to Mar 28, 2018
      • Corporate clients · unset to 2.0
        Mar 15, 2017 to Mar 28, 2018
      • HNW clients · unset to 64.0
        Mar 15, 2017 to Mar 28, 2018
      • Individual clients · unset to 17.0
        Mar 15, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 0.0
        Mar 15, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 15, 2017 to Mar 28, 2018
      • Assets in custody · unset to 363567363.0
        Mar 15, 2017 to Mar 28, 2018
      • Custody of client assets · false to true
        Mar 15, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 15, 2017 to Mar 28, 2018
      Signals
      1 dated events
      • ••• Locked
        Mar 31, 2022 · RAUM change · 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
      Business phone
      ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Jan 29, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Jan 29, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months.