DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S••••••• F•••••••• M•••••••••
Legal name F••••••••• B••••• S•
Latest filing Mar 27, 2026
First filing on the tape Mar 30, 2012 · 18 filings
SEC status approved since Jul 1, 2003
RAUM
$278M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$278M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$139M
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
18 filings and snapshots on the tape
RAUM$278M as of Mar 27, 2026
Mar 30, 2012$92.4M then
HNW client RAUM$249M as of Mar 27, 2026
Mar 28, 2018$108M then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 30, 20120 then
Employees (5.A)4 as of Mar 27, 2026
Mar 28, 20132 then
Private funds: no history
RAUM +8.6% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $139MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%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
- +8.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$249M89%
- Individuals$29.4M11%
- Individual clients
- 57reported
- HNW clients
- 93reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 150reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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 |
|---|---|---|---|---|
| B••••• S•• F•••••••••Certified Financial Planner | San Rafael, Ca | Dec 9, 2016 | 34 y | 1 |
| L••••• A••••• F•••••••••Certified Financial Planner | San Rafael, Ca | Feb 11, 2025 | 11 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
- B••••• S•• F••••••••• from U••••• S••••••••• A•••••••• I•••Dec 9, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••••• B•••••• S•• · Chief Compliance Officer/Ownercontrolsince 07/2003 · 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 |
|---|---|---|---|---|---|
| San Rafael, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HNW clients · 87 to 93Apr 24, 2025 to Mar 27, 2026
- Individual clients · 63 to 57Apr 24, 2025 to Mar 27, 2026
- Discretionary RAUM · $249M to $271MApr 24, 2025 to Mar 27, 2026
- HNW RAUM · $223M to $249MApr 24, 2025 to Mar 27, 2026
- Individual RAUM · $32.9M to $29.4MApr 24, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $6.7M to $7.1MApr 24, 2025 to Mar 27, 2026
- RAUM · $256M to $278MApr 24, 2025 to Mar 27, 2026
- Accounts · 143 to 150Mar 27, 2024 to Apr 24, 2025
- Advisory employees · 1 to 2Mar 27, 2024 to Apr 24, 2025
- HNW clients · 80 to 87Mar 27, 2024 to Apr 24, 2025
- Financial planning clients · 1-10 to 1-10Mar 27, 2024 to Apr 24, 2025
- Discretionary RAUM · $223M to $249MMar 27, 2024 to Apr 24, 2025
- HNW RAUM · $195M to $223MMar 27, 2024 to Apr 24, 2025
- Individual RAUM · $32.6M to $32.9MMar 27, 2024 to Apr 24, 2025
- Non-discretionary RAUM · $5.3M to $6.7MMar 27, 2024 to Apr 24, 2025
- RAUM · $228M to $256MMar 27, 2024 to Apr 24, 2025
- Accounts · 140 to 143Mar 27, 2023 to Mar 27, 2024
- HNW clients · 71 to 80Mar 27, 2023 to Mar 27, 2024
- Individual clients · 69 to 63Mar 27, 2023 to Mar 27, 2024
- Discretionary RAUM · $180M to $223MMar 27, 2023 to Mar 27, 2024
- HNW RAUM · $153M to $195MMar 27, 2023 to Mar 27, 2024
- Individual RAUM · $33.2M to $32.6MMar 27, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $5.7M to $5.3MMar 27, 2023 to Mar 27, 2024
- RAUM · $186M to $228MMar 27, 2023 to Mar 27, 2024
- Accounts · 128 to 140Mar 28, 2022 to Mar 27, 2023
- HNW clients · 74 to 71Mar 28, 2022 to Mar 27, 2023
- Individual clients · 54 to 69Mar 28, 2022 to Mar 27, 2023
- Employees · 3 to 4Mar 28, 2022 to Mar 27, 2023
- Discretionary RAUM · $205M to $180MMar 28, 2022 to Mar 27, 2023
- HNW RAUM · $181M to $153MMar 28, 2022 to Mar 27, 2023
- Individual RAUM · $31.0M to $33.2MMar 28, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $7.0M to $5.7MMar 28, 2022 to Mar 27, 2023
- RAUM · $212M to $186MMar 28, 2022 to Mar 27, 2023
- Accounts · 127 to 128Mar 29, 2021 to Mar 28, 2022
- HNW clients · 67 to 74Mar 29, 2021 to Mar 28, 2022
- Individual clients · 60 to 54Mar 29, 2021 to Mar 28, 2022
- Employees · 2 to 3Mar 29, 2021 to Mar 28, 2022
- Discretionary RAUM · $180M to $205MMar 29, 2021 to Mar 28, 2022
- HNW RAUM · $154M to $181MMar 29, 2021 to Mar 28, 2022
- Individual RAUM · $32.8M to $31.0MMar 29, 2021 to Mar 28, 2022
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
- Website
- S•••••••FINANCIALMGMT.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 415-472-7300reportedpublic record, Form ADV, Mar 27, 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
- $139Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026