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•• I••••••••• A•••••••• I•••
Latest filing Mar 9, 2026
First filing on the tape Dec 20, 2011 · 25 filings
SEC status approved since Feb 26, 2018
RAUM
$365M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$365M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$122M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$365M as of Mar 9, 2026
Dec 20, 2011$44.5M then
HNW client RAUM$283M as of Mar 9, 2026
Dec 17, 2018$106M then
State-registered IARs (5.B.3)3 as of Mar 9, 2026
Dec 20, 20110 then
Employees (5.A)5 as of Mar 9, 2026
Dec 17, 20184 then
Private funds: no history
RAUM +23% over the last fiscal year+30% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 9, 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
- 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
- $122MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $484,196derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $98.2M, 115 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$283M78%
- Individuals$82.0M22%
- Individual clients
- 70reported
- HNW clients
- 92reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 753reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $98.2M for 115 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 |
|---|---|---|---|---|
| B•••• G•••••Certified Financial Planner | Petaluma, Ca | Aug 25, 2010 | 16 y | 0 |
| T•••• L•••• S••••••Certified Financial Planner | Petaluma, Ca | Jan 30, 2017 | 11 y | 0 |
| M•••••• M• K••••••••Certified Financial Planner | Petaluma, Ca | May 10, 2023 | 13 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
- M•••••• M• K•••••••• from M••••••May 10, 2023 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• B•••• · President And Chief Compliance Officercontrolsince 08/2010 · owns 75% or more
- S••••••• T••••• L•••• · Chief Investment Officercontrolsince 09/2021 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Petaluma, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San Jose, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 694 to 753Jun 2, 2025 to Nov 25, 2025
- HNW clients · 86 to 92Jun 2, 2025 to Nov 25, 2025
- Individual clients · 88 to 70Jun 2, 2025 to Nov 25, 2025
- Assets in custody · $78.6M to $98.2MJun 2, 2025 to Nov 25, 2025
- Financial planning clients · 101-250 to 0Jun 2, 2025 to Nov 25, 2025
- Discretionary RAUM · $297M to $365MJun 2, 2025 to Nov 25, 2025
- HNW RAUM · $258M to $283MJun 2, 2025 to Nov 25, 2025
- Individual RAUM · $39.6M to $82.0MJun 2, 2025 to Nov 25, 2025
- RAUM · $297M to $365MJun 2, 2025 to Nov 25, 2025
- Financial planning clients · 101-250 to 101-250Nov 8, 2024 to Jun 2, 2025
- Accounts · 171 to 694May 17, 2024 to Nov 8, 2024
- HNW clients · 82 to 86May 17, 2024 to Nov 8, 2024
- Individual clients · 89 to 88May 17, 2024 to Nov 8, 2024
- Assets in custody · $64.7M to $78.6MMay 17, 2024 to Nov 8, 2024
- Employees · 3 to 5May 17, 2024 to Nov 8, 2024
- Financial planning clients · 0 to 101-250May 17, 2024 to Nov 8, 2024
- Discretionary RAUM · $225M to $297MMay 17, 2024 to Nov 8, 2024
- HNW RAUM · $189M to $258MMay 17, 2024 to Nov 8, 2024
- Individual RAUM · $36.0M to $39.6MMay 17, 2024 to Nov 8, 2024
- RAUM · $225M to $297MMay 17, 2024 to Nov 8, 2024
- Accounts · 509 to 171Dec 16, 2022 to Dec 5, 2023
- HNW clients · 81 to 82Dec 16, 2022 to Dec 5, 2023
- Individual clients · 80 to 89Dec 16, 2022 to Dec 5, 2023
- Assets in custody · $56.3M to $64.7MDec 16, 2022 to Dec 5, 2023
- Employees · 4 to 3Dec 16, 2022 to Dec 5, 2023
- Discretionary RAUM · $168M to $225MDec 16, 2022 to Dec 5, 2023
- HNW RAUM · $140M to $189MDec 16, 2022 to Dec 5, 2023
- Individual RAUM · $28.0M to $36.0MDec 16, 2022 to Dec 5, 2023
- RAUM · $168M to $225MDec 16, 2022 to Dec 5, 2023
- Accounts · 489 to 509May 5, 2022 to Dec 1, 2022
- Advisory activities · 3 to 2May 5, 2022 to Dec 1, 2022
- HNW clients · 82 to 81May 5, 2022 to Dec 1, 2022
- Individual clients · 77 to 80May 5, 2022 to Dec 1, 2022
- Assets in custody · $72.6M to $56.3MMay 5, 2022 to Dec 1, 2022
- Discretionary RAUM · $209M to $168MMay 5, 2022 to Dec 1, 2022
- HNW RAUM · $178M to $140MMay 5, 2022 to Dec 1, 2022
- Individual RAUM · $30.6M to $28.0MMay 5, 2022 to Dec 1, 2022
- RAUM · $209M to $168MMay 5, 2022 to Dec 1, 2022
- Accounts · 503 to 489Oct 31, 2021 to Feb 8, 2022
- Advisory employees · 4 to 3Oct 31, 2021 to Feb 8, 2022
Signals
3 dated events
- Mason Blair Mccarthy (President/Chief Compliance Officer) no longer on Schedule A of F•• I••••••••• A•••••••• I••• (listed 2022-12-16, absent 2023-12-05)Dec 5, 2023 · Control person left · inference
- L•••• T•••• S•••••• (Chief Investment Officer) appeared on Schedule A of F•• I••••••••• A•••••••• I•••Oct 31, 2021 · Control person joined · fact
- F•• I••••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Jan 23, 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
- 707-703-4414reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 707-795-0500reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-408-4683reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/fpc-investment-advisory-inc-reportedpublic record, Form ADV, Sep 18, 2026
- Website
- f••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (707) 795-0500reportedpublic record, Form ADV, Mar 9, 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
- $122Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026