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
S••••• F•••••••• A•••••••
Legal name S••••• F•••••••• A••••••• I•••••••••
Latest filing Mar 3, 2026
First filing on the tape Jul 23, 2019 · 12 filings
SEC status approved since Aug 22, 2019
RAUM
$145M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
95%
$137M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$72.5M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$145M as of Mar 3, 2026
Mar 16, 2020$105M then
HNW client RAUM$96.1M as of Mar 3, 2026
Mar 16, 2020$61.0M then
State-registered IARs (5.B.3)0 as of Mar 3, 2026
Mar 16, 20202 then
Employees (5.A)2 as of Mar 3, 2026
Mar 16, 20203 then
Private funds: no history
RAUM +15% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 3, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $72.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 87derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $317,133derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 5.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.6%derived
- Compensation
- percentage of assets, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- is an insurance broker or agent (6.A.6)
- 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$96.1M66%
- Individuals$41.4M29%
- Pension and profit-sharing plans$6.2M4.3%
- Charitable organizations$1.3M0.9%
- Individual clients
- 128reported
- HNW clients
- 45reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 457reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $62.5M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, commissionsreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 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•••••••••Certified Financial Planner | Nevada City, Ca | Jan 26, 2023 | 27 y | 3 |
| M•••••• H•••• T•••••••••Certified Financial Planner | Nevada City, Ca | Feb 2, 2023 | 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
- J••••• T••••••••• from U•• F•••••••• S••••••• I•••May 13, 2008 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••••••• J••••• · Chief Compliance Officer/Presidentcontrolsince 03/2004 · owns 75% or more
- T••••••••• M••••••• H•••• · Partner, Ia Representativesince 05/2024 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Nevada City, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 445 to 457Mar 18, 2025 to Mar 3, 2026
- HNW clients · 39 to 45Mar 18, 2025 to Mar 3, 2026
- Discretionary RAUM · $121M to $139MMar 18, 2025 to Mar 3, 2026
- HNW RAUM · $80.6M to $96.1MMar 18, 2025 to Mar 3, 2026
- Individual RAUM · $39.3M to $41.4MMar 18, 2025 to Mar 3, 2026
- Non-discretionary RAUM · $5.7M to $6.3MMar 18, 2025 to Mar 3, 2026
- Pension RAUM · $5.1M to $6.2MMar 18, 2025 to Mar 3, 2026
- RAUM · $126M to $145MMar 18, 2025 to Mar 3, 2026
- Wrap assets (manager) · $0 to $62.5MMar 18, 2025 to Mar 3, 2026
- Accounts · 438 to 445May 17, 2024 to Mar 18, 2025
- HNW clients · 38 to 39May 17, 2024 to Mar 18, 2025
- Individual clients · 129 to 128May 17, 2024 to Mar 18, 2025
- Financial planning clients · 26-50 to 51-100May 17, 2024 to Mar 18, 2025
- HQ city · unset to May 17, 2024 to Mar 18, 2025
- HQ state · unset to May 17, 2024 to Mar 18, 2025
- Discretionary RAUM · $101M to $121MMay 17, 2024 to Mar 18, 2025
- HNW RAUM · $66.0M to $80.6MMay 17, 2024 to Mar 18, 2025
- Individual RAUM · $34.5M to $39.3MMay 17, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $5.2M to $5.7MMay 17, 2024 to Mar 18, 2025
- Pension RAUM · $4.3M to $5.1MMay 17, 2024 to Mar 18, 2025
- RAUM · $106M to $126MMay 17, 2024 to Mar 18, 2025
- Accounts · 433 to 438Mar 23, 2023 to Mar 12, 2024
- HNW clients · 32 to 38Mar 23, 2023 to Mar 12, 2024
- Individual clients · 131 to 129Mar 23, 2023 to Mar 12, 2024
- Discretionary RAUM · $95.5M to $101MMar 23, 2023 to Mar 12, 2024
- HNW RAUM · $55.8M to $66.0MMar 23, 2023 to Mar 12, 2024
- Individual RAUM · $38.2M to $34.5MMar 23, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $3.2M to $5.2MMar 23, 2023 to Mar 12, 2024
- Pension RAUM · $3.6M to $4.3MMar 23, 2023 to Mar 12, 2024
- RAUM · $98.7M to $106MMar 23, 2023 to Mar 12, 2024
- Accounts · 457 to 433Jan 18, 2023 to Mar 23, 2023
- HNW clients · 41 to 32Jan 18, 2023 to Mar 23, 2023
- Individual clients · 130 to 131Jan 18, 2023 to Mar 23, 2023
- Discretionary RAUM · $118M to $95.5MJan 18, 2023 to Mar 23, 2023
- HNW RAUM · $76.4M to $55.8MJan 18, 2023 to Mar 23, 2023
- Individual RAUM · $41.6M to $38.2MJan 18, 2023 to Mar 23, 2023
- Non-discretionary RAUM · $4.4M to $3.2MJan 18, 2023 to Mar 23, 2023
- Pension RAUM · $3.7M to $3.6MJan 18, 2023 to Mar 23, 2023
- RAUM · $123M to $98.7MJan 18, 2023 to Mar 23, 2023
- Accounts · 514 to 457Mar 22, 2021 to Mar 18, 2022
Signals
1 dated events
- S••••• F•••••••• A••••••• filed its initial SEC registration (Form ADV)Jul 23, 2019 · 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
- 530-470-8749reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 530-470-8939reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-969-8939reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S•••••FINANCIALADVISORY.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 530-470-8939reportedpublic record, Form ADV, Mar 3, 2026
- Team page
- s•••••••••.comreportedpublished 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
- $72.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026