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SEC-registered adviser

P•••••••• F•••••••• G••••• I•••

Independent wealth managerCupertino, CaliforniaCRD 117378SEC 801-60693websiteIAPD
Latest filing Jun 8, 2026
First filing on the tape Mar 26, 2012 · 23 filings
SEC status approved since Nov 14, 2001
RAUM
$90.9M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$90.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$90.9M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$90.9M as of Jun 8, 2026
Mar 26, 2012$204M then
HNW client RAUM$73.5M as of Jun 8, 2026
Mar 30, 2018$70.6M then
State-registered IARs (5.B.3)1 as of Jun 8, 2026
Mar 26, 20120 then
Employees (5.A)1 as of Jun 8, 2026
Mar 8, 20136 then
Private funds: no history
RAUM -35% over the last fiscal year-7.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 8, 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$90.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
95derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$491,199derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-45%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+42%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$90.8MreportedItem 5.I
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$73.5M81%
  • Individuals$16.5M18%
  • Pension and profit-sharing plans$672,3120.7%
  • Corporations and businesses$199,3220.2%
Individual clients
56reported
HNW clients
39reported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
185reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••• D••••• M•••••••Cupertino, CaApr 28, 202524 y0
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••••• J•••• D••••• · President, Treasurercontrol
        since 01/2016 · owns 50% to 75%
      • S••••••••• S•••••• A••• · Vice President, Secretary & Chief Compliance Officercontrol
        since 01/2016 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      5 against comparable advisers; where to look, not conclusions
      • institutional to wealth shiftCombination · filing Apr 29, 2026
        institutional share fell 15 points or more while private-client share rose 15 points or more. RAUM $140,335,812 to $77,025,743, advisors 1 to 1, private clients 117 to 166, offices 0 to 0 (2025-04-24 to 2026-04-29)
        peers: independent wealth managers, under $100M (707)
      • institutional asset share shiftChange between filings · filing Apr 29, 2026
        institutional share of RAUM moved from 29.0% to 0.0% between the annual amendments of 2025-04-24 and 2026-04-29
        peers: independent wealth managers, under $100M (707)
      • client mix shiftChange between filings · filing Apr 29, 2026
        private-client share of RAUM moved from 71.0% to 100.0% between the annual amendments of 2025-04-24 and 2026-04-29
        peers: independent wealth managers, under $100M (707)
      • HNW share shiftChange between filings · filing Apr 29, 2026
        HNW share of RAUM moved from 60.0% to 77.0% between the annual amendments of 2025-04-24 and 2026-04-29
        peers: independent wealth managers, under $100M (707)
      • RAUM down 25 %Change between filings · filing Apr 29, 2026
        RAUM (Item 5.F) moved from $140,335,812 to $77,025,743 (-45.0%) between the annual amendments of 2025-04-24 and 2026-04-29; the peer median change was +8.0% (219 comparable advisers, 8.0th percentile of changes)
        peers: independent wealth managers, under $100M (219) · 7.8% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 179 to 185
        May 19, 2026 to Jun 8, 2026
      • HNW clients · 37 to 39
        May 19, 2026 to Jun 8, 2026
      • Individual clients · 129 to 56
        May 19, 2026 to Jun 8, 2026
      • Pension plan clients · unset to 1.0
        May 19, 2026 to Jun 8, 2026
      • Discretionary RAUM · $77.0M to $90.1M
        May 19, 2026 to Jun 8, 2026
      • HNW RAUM · $59.3M to $73.5M
        May 19, 2026 to Jun 8, 2026
      • Individual RAUM · $17.6M to $16.5M
        May 19, 2026 to Jun 8, 2026
      • Non-discretionary RAUM · $0 to $799,750
        May 19, 2026 to Jun 8, 2026
      • Pension RAUM · unset to 672312.0
        May 19, 2026 to Jun 8, 2026
      • RAUM · $77.0M to $90.9M
        May 19, 2026 to Jun 8, 2026
      • Employees · 2 to 1
        Apr 29, 2026 to May 19, 2026
      • Accounts · 121 to 179
        Apr 24, 2025 to Mar 31, 2026
      • Advisory activities · 3 to 2
        Apr 24, 2025 to Mar 31, 2026
      • Corporate clients · unset to 2.0
        Apr 24, 2025 to Mar 31, 2026
      • HNW clients · 47 to 37
        Apr 24, 2025 to Mar 31, 2026
      • Individual clients · 70 to 129
        Apr 24, 2025 to Mar 31, 2026
      • Assets in custody · 5083896.0 to unset
        Apr 24, 2025 to Mar 31, 2026
      • Financial planning clients · 1-10 to 0
        Apr 24, 2025 to Mar 31, 2026
      • Discretionary RAUM · $140M to $77.0M
        Apr 24, 2025 to Mar 31, 2026
      • HNW RAUM · $84.3M to $59.3M
        Apr 24, 2025 to Mar 31, 2026
      • Individual RAUM · $15.4M to $17.6M
        Apr 24, 2025 to Mar 31, 2026
      • Non-discretionary RAUM · $819,572 to $0
        Apr 24, 2025 to Mar 31, 2026
      • Pension RAUM · 39834252.0 to unset
        Apr 24, 2025 to Mar 31, 2026
      • RAUM · $140M to $77.0M
        Apr 24, 2025 to Mar 31, 2026
      • Accounts · 277 to 121
        Apr 10, 2024 to Apr 24, 2025
      • Advisory employees · 2 to 1
        Apr 10, 2024 to Apr 24, 2025
      • HNW clients · 42 to 47
        Apr 10, 2024 to Apr 24, 2025
      • Individual clients · 71 to 70
        Apr 10, 2024 to Apr 24, 2025
      • Assets in custody · $1.2M to $5.1M
        Apr 10, 2024 to Apr 24, 2025
      • Employees · 3 to 2
        Apr 10, 2024 to Apr 24, 2025
      • Financial planning clients · 1-10 to 1-10
        Apr 10, 2024 to Apr 24, 2025
      • HQ city · CAMPBELL to CUPERTINO
        Apr 10, 2024 to Apr 24, 2025
      • State-registered IARs · 2 to 1
        Apr 10, 2024 to Apr 24, 2025
      • Discretionary RAUM · $123M to $140M
        Apr 10, 2024 to Apr 24, 2025
      • HNW RAUM · $67.2M to $84.3M
        Apr 10, 2024 to Apr 24, 2025
      • Individual RAUM · $16.2M to $15.4M
        Apr 10, 2024 to Apr 24, 2025
      • Non-discretionary RAUM · $403,662 to $819,572
        Apr 10, 2024 to Apr 24, 2025
      • Pension RAUM · $39.6M to $39.8M
        Apr 10, 2024 to Apr 24, 2025
      • RAUM · $123M to $140M
        Apr 10, 2024 to Apr 24, 2025
      • Accounts · 298 to 277
        Mar 31, 2023 to Feb 1, 2024
      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
      408-377-4444reportedpublished by the firm, firm site, Sep 17, 2026
      Website
      p•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
      Principal office phone
      408-377-4444reportedpublic record, Form ADV, Jun 8, 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
      $90.9Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026