DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
SEC-registered adviser
M••••••• A•••• M••••••••• I•••
Latest filing Mar 11, 2026
First filing on the tape Nov 9, 2011 · 34 filings
SEC status approved since Feb 1, 2002
RAUM
$422M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$422M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$211M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$422M as of Mar 11, 2026
Mar 21, 2012$121M then
HNW client RAUM$377M as of Mar 11, 2026
Feb 12, 2018$197M then
State-registered IARs (5.B.3)2 as of Mar 11, 2026
Mar 21, 20120 then
Employees (5.A)4 as of Mar 11, 2026
Feb 14, 20134 then
Private funds: no history
RAUM +12% over the last fiscal year+9.0% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 11, 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
- $211MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 109derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $507,697derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.4%derived
- Compensation
- percentage of assets, hourlyreportedItem 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)
- 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$377M89%
- Individuals$45.8M11%
- Individual clients
- 49reported
- HNW clients
- 169reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 832reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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•••••• P•••• M•••••••Certified Financial Planner | Redwood Shores, Ca | Aug 2, 2005 | 40 y | 0 |
| R••• S•••••• M•••••••Certified Financial Planner | Redwood Shores, Ca | Feb 23, 2021 | 10 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
- A••••• B••••••• to B••••••• I••••••••• S•••••••• I••• •••••Feb 14, 2014 · Other
Joined, latest
- A••••• B••••••• from C•••••• S••••• • C••• I•••Mar 18, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• S••••••• P•••• · President/Chief Compliance Officercontrolsince 11/2004 · owns 75% or more
Related persons
Schedule D 7.A
- S•••••• P• M•••••••• C••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Redwood Shores, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 829 to 832Mar 10, 2025 to Mar 11, 2026
- HNW clients · 162 to 169Mar 10, 2025 to Mar 11, 2026
- Individual clients · 59 to 49Mar 10, 2025 to Mar 11, 2026
- Discretionary RAUM · $378M to $422MMar 10, 2025 to Mar 11, 2026
- HNW RAUM · $340M to $377MMar 10, 2025 to Mar 11, 2026
- Individual RAUM · $38.3M to $45.8MMar 10, 2025 to Mar 11, 2026
- RAUM · $378M to $422MMar 10, 2025 to Mar 11, 2026
- Accounts · 732 to 829Mar 8, 2024 to Mar 10, 2025
- HNW clients · 159 to 162Mar 8, 2024 to Mar 10, 2025
- Individual clients · 62 to 59Mar 8, 2024 to Mar 10, 2025
- Financial planning clients · 51-100 to 51-100Mar 8, 2024 to Mar 10, 2025
- Discretionary RAUM · $366M to $378MMar 8, 2024 to Mar 10, 2025
- HNW RAUM · $330M to $340MMar 8, 2024 to Mar 10, 2025
- Individual RAUM · $36.7M to $38.3MMar 8, 2024 to Mar 10, 2025
- RAUM · $366M to $378MMar 8, 2024 to Mar 10, 2025
- Accounts · 730 to 732Dec 2, 2023 to Mar 8, 2024
- HNW clients · 154 to 159Dec 2, 2023 to Mar 8, 2024
- Individual clients · 65 to 62Dec 2, 2023 to Mar 8, 2024
- Discretionary RAUM · $326M to $366MDec 2, 2023 to Mar 8, 2024
- HNW RAUM · $292M to $330MDec 2, 2023 to Mar 8, 2024
- Individual RAUM · $34.6M to $36.7MDec 2, 2023 to Mar 8, 2024
- RAUM · $326M to $366MDec 2, 2023 to Mar 8, 2024
- Accounts · 727 to 730Oct 20, 2022 to Feb 24, 2023
- HNW clients · 151 to 154Oct 20, 2022 to Feb 24, 2023
- Individual clients · 73 to 65Oct 20, 2022 to Feb 24, 2023
- Financial planning clients · 26-50 to 51-100Oct 20, 2022 to Feb 24, 2023
- Discretionary RAUM · $374M to $326MOct 20, 2022 to Feb 24, 2023
- HNW RAUM · $329M to $292MOct 20, 2022 to Feb 24, 2023
- Individual RAUM · $45.3M to $34.6MOct 20, 2022 to Feb 24, 2023
- RAUM · $374M to $326MOct 20, 2022 to Feb 24, 2023
- Accounts · 763 to 727Feb 23, 2021 to Feb 1, 2022
- HNW clients · 140 to 151Feb 23, 2021 to Feb 1, 2022
- Individual clients · 85 to 73Feb 23, 2021 to Feb 1, 2022
- Financial planning clients · 51-100 to 26-50Feb 23, 2021 to Feb 1, 2022
- Discretionary RAUM · $330M to $374MFeb 23, 2021 to Feb 1, 2022
- HNW RAUM · $278M to $329MFeb 23, 2021 to Feb 1, 2022
- Individual RAUM · $52.4M to $45.3MFeb 23, 2021 to Feb 1, 2022
- RAUM · $330M to $374MFeb 23, 2021 to Feb 1, 2022
- HNW clients · 128 to 140Jul 2, 2020 to Feb 23, 2021
- Individual clients · 97 to 85Jul 2, 2020 to Feb 23, 2021
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
- 650-610-9540reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- m•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (650) 610-9540reportedpublic record, Form ADV, Mar 11, 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
- $211Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026