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
C•••••• A••••••• I•••
Latest filing Apr 30, 2026
First filing on the tape Mar 29, 2024 · 5 filings
SEC status approved since Apr 29, 2024
RAUM
$134M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$134M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$134M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$134M as of Apr 30, 2026
Mar 6, 2025$111M then
HNW client RAUM$45.9M as of Apr 30, 2026
Mar 6, 2025$24.6M then
State-registered IARs (5.B.3)1 as of Apr 30, 2026
Mar 6, 20252 then
Employees (5.A)1 as of Apr 30, 2026
Mar 6, 20252 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Apr 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $134MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 632derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $118,968derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -28%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$88.5M66%
- High-net-worth individuals$45.9M34%
- Individual clients
- 607reported
- HNW clients
- 25reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,130reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••••• D••• G•••• | Auburn, Ca | Apr 13, 2021 | 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
- A••••• R••••• W••••• to P•••••••• A•••• M•••••••••Mar 10, 2011 · Other
Joined, latest
- M••••••• D••• G•••• from M•••• M••••• I••••••••• L••Apr 13, 2021 · Other
- A••••• R••••• W••••• from W•••• F•••• A•••••••Apr 6, 2010 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• M•••••••• D••• · President, Chief Compliance Officercontrolsince 12/2012 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Roseville, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Apr 30, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $110,938,000 to $134,434,000, advisors 2 to 1, private clients 882 to 632, offices 1 to 1 (2025-03-06 to 2026-04-30)peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,244 to 1,130Mar 6, 2025 to Mar 10, 2026
- Advisory employees · 2 to 1Mar 6, 2025 to Mar 10, 2026
- HNW clients · 14 to 25Mar 6, 2025 to Mar 10, 2026
- Individual clients · 868 to 607Mar 6, 2025 to Mar 10, 2026
- Employees · 2 to 1Mar 6, 2025 to Mar 10, 2026
- State-registered IARs · 2 to 1Mar 6, 2025 to Mar 10, 2026
- Discretionary RAUM · $111M to $134MMar 6, 2025 to Mar 10, 2026
- HNW RAUM · $24.6M to $45.9MMar 6, 2025 to Mar 10, 2026
- Individual RAUM · $86.3M to $88.5MMar 6, 2025 to Mar 10, 2026
- RAUM · $111M to $134MMar 6, 2025 to Mar 10, 2026
- Accounts · 1,222 to 1,244May 2, 2024 to Mar 6, 2025
- HNW clients · 18 to 14May 2, 2024 to Mar 6, 2025
- Individual clients · 894 to 868May 2, 2024 to Mar 6, 2025
- Financial planning clients · unset to May 2, 2024 to Mar 6, 2025
- Discretionary RAUM · $105M to $111MMay 2, 2024 to Mar 6, 2025
- HNW RAUM · $30.5M to $24.6MMay 2, 2024 to Mar 6, 2025
- Individual RAUM · $75.0M to $86.3MMay 2, 2024 to Mar 6, 2025
- RAUM · $105M to $111MMay 2, 2024 to Mar 6, 2025
Signals
1 dated events
- C•••••• A••••••• I••• filed its initial SEC registration (Form ADV)Mar 29, 2024 · 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 email
- admin@clarionadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 530-889-0454reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 530-889-0200reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 530-889-0200reportedpublic record, Form ADV, Apr 30, 2026
- Contact form
- clarionadvisors.com/contactreportedpublished 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
- $134Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026