DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
F•••• A•• M••• F••••••••
Legal name W•••••• A•••• M••••••••• L••
Latest filing Jul 14, 2026
First filing on the tape Feb 24, 2025 · 4 filings
SEC status approved since Feb 28, 2025
RAUM
$165M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$165M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$55.1M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$165M as of Jul 14, 2026
Feb 24, 2025$142M then
HNW client RAUM$151M as of Jul 14, 2026
Feb 24, 2025$121M then
State-registered IARs (5.B.3)3 as of Jul 14, 2026
Feb 24, 20253 then
Employees (5.A)4 as of Jul 14, 2026
Feb 24, 20255 then
Private funds: no history
RAUM +16% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Jul 14, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $55.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $450,436derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 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
- +4.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $52.2M, 62 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$151M91%
- Individuals$14.6M8.8%
- Individual clients
- 49reported
- HNW clients
- 73reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 367reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $52.2M for 62 clientsreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• M•••••• W••••••Chartered Financial Analyst | Piedmont, Ca | Feb 19, 2016 | 11 y | 1 |
| A••••• M••••••• D••• V•• D•••Certified Financial Planner | Piedmont, Ca | Mar 21, 2025 | 28 y | 0 |
| E••• S••• W••••••Certified Financial Planner | Piedmont, Ca | May 19, 2025 | 25 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
- W••••••• E•••• S••• · Managing Member Managercontrolsince 02/2016 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Piedmont, Ca | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Jul 14, 2026pension consulting (Item 5.G.6): yes on the filing of 2026-04-28, no on the filing of 2026-07-14peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Advisory activities · 3 to 2Apr 28, 2026 to Jul 14, 2026
- Accounts · 346 to 367Feb 24, 2025 to Mar 3, 2026
- HNW clients · 64 to 73Feb 24, 2025 to Mar 3, 2026
- Individual clients · 53 to 49Feb 24, 2025 to Mar 3, 2026
- Assets in custody · $43.2M to $52.2MFeb 24, 2025 to Mar 3, 2026
- Employees · 5 to 4Feb 24, 2025 to Mar 3, 2026
- Discretionary RAUM · $142M to $165MFeb 24, 2025 to Mar 3, 2026
- HNW RAUM · $121M to $151MFeb 24, 2025 to Mar 3, 2026
- Individual RAUM · $20.7M to $14.6MFeb 24, 2025 to Mar 3, 2026
- Pension RAUM · 356000.0 to unsetFeb 24, 2025 to Mar 3, 2026
- RAUM · $142M to $165MFeb 24, 2025 to Mar 3, 2026
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 email
- ew@firstandmainfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 510-601-1935reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- firstandmainfinancial.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (510) 601-1935reportedpublic record, Form ADV, Jul 14, 2026
- Team page
- firstandmainfinancial.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $55.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026