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.
SEC-registered adviser
Apple & Associates
Latest filing Mar 4, 2026
First filing on the tape Feb 6, 2012 · 6 filings
SEC status approved since Jan 26, 2026
RAUM
$138M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$131M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$45.9M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$138M as of Mar 4, 2026
Feb 6, 2012$66.8M then
HNW client RAUM$86.7M as of Mar 4, 2026
Jan 15, 2026$77.0M then
State-registered IARs (5.B.3)3 as of Mar 4, 2026
Jan 15, 20263 then
Employees (5.A)4 as of Mar 4, 2026
Jan 15, 20264 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 4, 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
- $45.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 80derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $262,293derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $54.9M, 146 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$86.7M63%
- Individuals$44.7M32%
- Pension and profit-sharing plans$3.2M2.3%
- Corporations and businesses$3.1M2.3%
- Individual clients
- 199reported
- HNW clients
- 40reported
- Pension plan clients
- 8reported
- Charitable clients
- n/areported
- Accounts
- 525reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $54.9M for 146 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| Daniel Bryce AppleCertified Financial Planner | Grass Valley, Ca | May 12, 2003 | 40 y | 3 |
| Liam Bryce Apple | Grass Valley, Ca | Sep 21, 2022 | 11 y | 0 |
| Dean Avraham BardonCertified Financial Planner | Bend, Or | Feb 20, 2024 | 19 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
- Dean Avraham Bardon from MML Investors Services, LLCFeb 20, 2024 · Other
- Daniel Bryce Apple from Apple & AssociatesMay 12, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Bryce Daniel Apple · Partnercontrolsince 01/2001 · owns 50% to 75%
- Lee Michelle Apple · Partner/Chief Compliance Officercontrolsince 01/2001 · owns 50% to 75%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Grass Valley, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 538 to 525Jan 15, 2026 to Mar 4, 2026
- HNW clients · 32 to 40Jan 15, 2026 to Mar 4, 2026
- Individual clients · 214 to 199Jan 15, 2026 to Mar 4, 2026
- Assets in custody · $37.8M to $54.9MJan 15, 2026 to Mar 4, 2026
- Discretionary RAUM · $138M to $138MJan 15, 2026 to Mar 4, 2026
- HNW RAUM · $77.0M to $86.7MJan 15, 2026 to Mar 4, 2026
- Individual RAUM · $54.9M to $44.7MJan 15, 2026 to Mar 4, 2026
- Pension RAUM · $3.1M to $3.2MJan 15, 2026 to Mar 4, 2026
- RAUM · $138M to $138MJan 15, 2026 to Mar 4, 2026
- Accounts · 986 to 538Apr 17, 2012 to Jan 15, 2026
- Advisory employees · unset to 3.0Apr 17, 2012 to Jan 15, 2026
- BD registered reps · unset to 0.0Apr 17, 2012 to Jan 15, 2026
- HNW clients · unset to 32.0Apr 17, 2012 to Jan 15, 2026
- Individual clients · unset to 214.0Apr 17, 2012 to Jan 15, 2026
- Pension plan clients · unset to 8.0Apr 17, 2012 to Jan 15, 2026
- Assets in custody · unset to 37840700.0Apr 17, 2012 to Jan 15, 2026
- Custody of client assets · false to trueApr 17, 2012 to Jan 15, 2026
- Employees · unset to 4.0Apr 17, 2012 to Jan 15, 2026
- Financial planning clients · 0 to 1-10Apr 17, 2012 to Jan 15, 2026
- State-registered IARs · unset to 3.0Apr 17, 2012 to Jan 15, 2026
- Other offices · unset to 1.0Apr 17, 2012 to Jan 15, 2026
- Discretionary RAUM · $47.2M to $138MApr 17, 2012 to Jan 15, 2026
- HNW RAUM · unset to 76957711.0Apr 17, 2012 to Jan 15, 2026
- Individual RAUM · unset to 54921615.0Apr 17, 2012 to Jan 15, 2026
- Non-discretionary RAUM · $19.6M to $0Apr 17, 2012 to Jan 15, 2026
- Pension RAUM · unset to 3093570.0Apr 17, 2012 to Jan 15, 2026
- RAUM · $66.8M to $138MApr 17, 2012 to Jan 15, 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
- customer.support@appleandassociates.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 530-272-1345reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 530-798-8322reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/apple-associatesreportedpublic record, Form ADV, Sep 17, 2026
- Website
- APPLEANDASSOCIATES.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (530)-272-1346reportedpublic record, Form ADV, Mar 4, 2026
- Contact form
- appleandassociates.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- appleandassociates.com/meet-the-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
- $45.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026