DFX Intelligence
RIA Intelligence
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SEC-registered adviser
M••• • A••• W••••• C••••••• A•• M••••••••• L••
Latest filing Apr 15, 2026
First filing on the tape Jul 24, 2018 · 14 filings
SEC status approved since Aug 24, 2018
RAUM
$338M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$334M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$169M
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
14 filings and snapshots on the tape
RAUM$338M as of Apr 15, 2026
Apr 2, 2019$114M then
HNW client RAUM$289M as of Apr 15, 2026
Apr 2, 2019$103M then
State-registered IARs (5.B.3)2 as of Apr 15, 2026
Apr 2, 20192 then
Employees (5.A)4 as of Apr 15, 2026
Apr 2, 20193 then
Private funds: no history
RAUM +16% over the last fiscal year+23% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 15, 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
- $169MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 110derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM 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
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.4%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $70.6M, 111 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)
- 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)
- 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
- High-net-worth individuals$289M86%
- Individuals$44.9M13%
- Corporations and businesses$3.8M1.1%
- Individual clients
- 109reported
- HNW clients
- 111reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 222reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $70.6M for 111 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 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 |
|---|---|---|---|---|
| J••• T•••• A••• | Campbell, Ca | Sep 7, 1999 | 37 y | 0 |
| B•• T••••• M••• | Campbell, Ca | Sep 7, 1999 | 37 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
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
- A•••• J•••• T•••• · Managing Membercontrolsince 01/1999 · owns 50% to 75%
- M•••• B••• T••••• · Managing Member/ Chief Compliance Officercontrolsince 01/1999 · owns 50% to 75%
Related persons
Schedule D 7.A
- M••• • A••• C•••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Campbell, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 205 to 222Mar 17, 2025 to Mar 12, 2026
- HNW clients · 83 to 111Mar 17, 2025 to Mar 12, 2026
- Individual clients · 120 to 109Mar 17, 2025 to Mar 12, 2026
- Assets in custody · unset to 70609456.0Mar 17, 2025 to Mar 12, 2026
- Custody of client assets · false to trueMar 17, 2025 to Mar 12, 2026
- Discretionary RAUM · $292M to $338MMar 17, 2025 to Mar 12, 2026
- HNW RAUM · $221M to $289MMar 17, 2025 to Mar 12, 2026
- Individual RAUM · $68.4M to $44.9MMar 17, 2025 to Mar 12, 2026
- RAUM · $292M to $338MMar 17, 2025 to Mar 12, 2026
- Accounts · 480 to 205Mar 4, 2025 to Mar 17, 2025
- Corporate clients · unset to 2.0Mar 4, 2025 to Mar 17, 2025
- HNW clients · 79 to 83Mar 4, 2025 to Mar 17, 2025
- Individual clients · 118 to 120Mar 4, 2025 to Mar 17, 2025
- Assets in custody · 55213129.0 to unsetMar 4, 2025 to Mar 17, 2025
- Custody of client assets · true to falseMar 4, 2025 to Mar 17, 2025
- Financial planning clients · 1-10 to 1-10Mar 4, 2025 to Mar 17, 2025
- Discretionary RAUM · $238M to $292MMar 4, 2025 to Mar 17, 2025
- HNW RAUM · $188M to $221MMar 4, 2025 to Mar 17, 2025
- Individual RAUM · $46.6M to $68.4MMar 4, 2025 to Mar 17, 2025
- RAUM · $238M to $292MMar 4, 2025 to Mar 17, 2025
- Employees · 3 to 4Mar 26, 2024 to Mar 4, 2025
- Other offices · 1 to 0Mar 26, 2024 to Mar 4, 2025
- Accounts · 470 to 480Apr 3, 2023 to Mar 26, 2024
- HNW clients · 70 to 79Apr 3, 2023 to Mar 26, 2024
- Individual clients · 120 to 118Apr 3, 2023 to Mar 26, 2024
- Discretionary RAUM · $184M to $238MApr 3, 2023 to Mar 26, 2024
- HNW RAUM · $133M to $188MApr 3, 2023 to Mar 26, 2024
- Individual RAUM · $49.2M to $46.6MApr 3, 2023 to Mar 26, 2024
- RAUM · $184M to $238MApr 3, 2023 to Mar 26, 2024
- Accounts · 437 to 470Mar 22, 2022 to Mar 24, 2023
- Individual clients · 110 to 120Mar 22, 2022 to Mar 24, 2023
- Assets in custody · $52.4M to $55.2MMar 22, 2022 to Mar 24, 2023
- Discretionary RAUM · $214M to $184MMar 22, 2022 to Mar 24, 2023
- HNW RAUM · $160M to $133MMar 22, 2022 to Mar 24, 2023
- Individual RAUM · $52.4M to $49.2MMar 22, 2022 to Mar 24, 2023
- RAUM · $214M to $184MMar 22, 2022 to Mar 24, 2023
- Accounts · 421 to 437Mar 25, 2021 to Mar 22, 2022
- HNW clients · 52 to 70Mar 25, 2021 to Mar 22, 2022
- Individual clients · 130 to 110Mar 25, 2021 to Mar 22, 2022
- Assets in custody · $65.7M to $52.4MMar 25, 2021 to Mar 22, 2022
Signals
1 dated events
- M••• • A••• W••••• C••••••• A•• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 24, 2018 · First SEC registration · fact
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
- 408-377-7414reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 408-377-7459reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- M•••A•••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 408-377-7414reportedpublic record, Form ADV, Apr 15, 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
- $169Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026