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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A••••••• G••••• A•••••••• I•••
Latest filing Apr 7, 2026
First filing on the tape Dec 15, 2011 · 48 filings
SEC status approved since Feb 27, 2008
RAUM
$630M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
7.4%
$46.7M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$126M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
48 filings and snapshots on the tape
RAUM$630M as of Apr 7, 2026
Mar 9, 2012$361M then
HNW client RAUM$45.0M as of Apr 7, 2026
Mar 2, 2018$83.3M then
State-registered IARs (5.B.3)4 as of Apr 7, 2026
Mar 9, 20120 then
Employees (5.A)6 as of Apr 7, 2026
Feb 1, 20136 then
Private funds1 as of Apr 7, 2026
May 5, 20251 then
RAUM -33% over the last fiscal year+9.8% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Apr 7, 2026; every figure names its basis
- RAUM per advisor
- $126MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 6derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -33%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for investment companies, selection of other advisers, otherreportedItem 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)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$90.8M43%
- Corporations and businesses$72.6M35%
- High-net-worth individuals$45.0M21%
- Individuals$1.7M0.8%
- Individual clients
- 4reported
- HNW clients
- 27reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 447reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.07 fund_share=0.14 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• J•••• G•••• | Walnut Creek, Ca | Jul 21, 2005 | 33 y | 3 |
| E••• M•••••• C•••• | Walnut Creek, Ca | Aug 10, 2017 | 31 y | 5 |
| J••• J••••• | Provo, Ut | Jul 22, 2021 | 10 y | 0 |
| M•• R•••• | Provo, Ut | Dec 5, 2024 | 14 y | 1 |
| M•••••• C••• E•••• | Provo, Ut | May 28, 2026 | 10 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
- C••••••••• S•••• H••••• to R•••• C••••••Aug 1, 2022 · Other
- D••••• B••••••• to C••••• A•••••• N••••••• L••May 4, 2018 · RIA to affiliated broker-dealer or bank
- D•••• M•••••• A•••• to C••••• I••••••••• A••••••• L••Apr 29, 2016 · Other
Joined, latest
- M•• R•••• from W•••• F•••• A•••••••Dec 5, 2024 · Other
- E••• M•••••• C•••• from P•••• A•••••••• I•••Aug 10, 2017 · Other
- D•••• J•••• G•••• from W•••••• W••••• A••••••••• L••••••Jul 21, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• D••••• J•••• · Ccocontrolsince 01/2005 · owns less than 5%
- G••••• D••••• J•••• · Ceocontrolsince 01/2024 · owns 25% to 50% of M•• I•••
- J•••••• B••••••• S••••• · Chairman Of The Boardcontrolsince 01/2024 · owns 25% to 50% of M•• I•••
- J•••••• R•••••• P••••• · Coocontrolsince 01/2024 · owns 25% to 50% of M•• I•••
- C••••••• J••••• P•••••• · Ciosince 01/2024 · owns less than 5%
Entity owners
- M•• I••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- M••••• F••••••••broker-dealercustodiann
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Provo, Ut · principal | 3 | 1 | 0 | ||
| Walnut Creek, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Pleasant Hill, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Apr 7, 2026RAUM (Item 5.F) moved from $937,738,179 to $630,452,554 (-33.0%) between the annual amendments of 2025-03-25 and 2026-04-07; the peer median change was +12.0% (87 comparable advisers, 5.0th percentile of changes)peers: other advisers, $500M to $1B (87) · 4.7% percentile
What changed
consecutive filings, newest first
- Accounts · 383 to 447May 5, 2025 to Mar 27, 2026
- Charity clients · 2 to 0May 5, 2025 to Mar 27, 2026
- Corporate clients · 9 to 32May 5, 2025 to Mar 27, 2026
- Discretionary RAUM · $938M to $630MMay 5, 2025 to Mar 27, 2026
- HNW RAUM · $43.3M to $45.0MMay 5, 2025 to Mar 27, 2026
- Individual RAUM · $1.7M to $1.7MMay 5, 2025 to Mar 27, 2026
- RAUM · $938M to $630MMay 5, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 0Mar 25, 2025 to May 5, 2025
- Private funds · unset to 1Mar 25, 2025 to May 5, 2025
- Accounts · 310 to 383Jan 26, 2024 to Mar 25, 2025
- Charity clients · 1 to 2Jan 26, 2024 to Mar 25, 2025
- Corporate clients · 7 to 9Jan 26, 2024 to Mar 25, 2025
- HNW clients · 21 to 27Jan 26, 2024 to Mar 25, 2025
- Discretionary RAUM · $518M to $938MJan 26, 2024 to Mar 25, 2025
- HNW RAUM · $30.5M to $43.3MJan 26, 2024 to Mar 25, 2025
- Individual RAUM · $1.0M to $1.7MJan 26, 2024 to Mar 25, 2025
- RAUM · $518M to $938MJan 26, 2024 to Mar 25, 2025
- Accounts · 167 to 310Mar 20, 2023 to Jan 26, 2024
- Business name · A••••••• G••••• A••••••• to A••••••• G••••• A•••••••• I•••Mar 20, 2023 to Jan 26, 2024
- Charity clients · 2 to 1Mar 20, 2023 to Jan 26, 2024
- Corporate clients · 6 to 7Mar 20, 2023 to Jan 26, 2024
- HNW clients · 24 to 21Mar 20, 2023 to Jan 26, 2024
- Individual clients · 0 to 4Mar 20, 2023 to Jan 26, 2024
- Pooled vehicle clients · 6 to 0Mar 20, 2023 to Jan 26, 2024
- Financial planning clients · 1-10 to 0Mar 20, 2023 to Jan 26, 2024
- Legal name · A••••••• G••••• A••••••• to A••••••• G••••• A•••••••• I•••Mar 20, 2023 to Jan 26, 2024
- Discretionary RAUM · $477M to $518MMar 20, 2023 to Jan 26, 2024
- HNW RAUM · $43.7M to $30.5MMar 20, 2023 to Jan 26, 2024
- Individual RAUM · $0 to $1.0MMar 20, 2023 to Jan 26, 2024
- Pooled vehicle RAUM · $157M to $0Mar 20, 2023 to Jan 26, 2024
- RAUM · $477M to $518MMar 20, 2023 to Jan 26, 2024
- Accounts · 138 to 167Aug 30, 2022 to Mar 20, 2023
- Charity clients · 3 to 2Aug 30, 2022 to Mar 20, 2023
- Corporate clients · 4 to 6Aug 30, 2022 to Mar 20, 2023
- HNW clients · 34 to 24Aug 30, 2022 to Mar 20, 2023
- Individual clients · unset to 0.0Aug 30, 2022 to Mar 20, 2023
- Pooled vehicle clients · 7 to 6Aug 30, 2022 to Mar 20, 2023
- Discretionary RAUM · $529M to $477MAug 30, 2022 to Mar 20, 2023
- HNW RAUM · $45.8M to $43.7MAug 30, 2022 to Mar 20, 2023
- Individual RAUM · unset to 0.0Aug 30, 2022 to Mar 20, 2023
Signals
7 dated events
- A••••••• G••••• A•••••••• I••• reported RAUM $630.5M, down 33% from $937.7M (2025-05-05 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- A••••••• G••••• A•••••••• I••• reported RAUM $937.7M, up 81% from $518.0M (2024-01-26 to 2025-03-25)Mar 25, 2025 · RAUM change · derived
- Steven Bradley J••••• (Chairman Of The Board) appeared on Schedule A of A••••••• G••••• A•••••••• I•••Jan 26, 2024 · Control person joined · fact
- Patton Robert J••••• (Coo) appeared on Schedule A of A••••••• G••••• A•••••••• I•••Jan 26, 2024 · Control person joined · fact
- C••••••••• S•••• H••••• left A••••••• G••••• A•••••••• I••• for R•••• C•••••• (registered 2023-04-24)Aug 1, 2022 · a•••••• firm change · fact
- A••••••• G••••• A•••••••• I••• reported RAUM $642.9M, up 35% from $476.1M (2020-06-24 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- A••••••• G••••• A•••••••• I••• reported RAUM $476.1M, up 27% from $375.5M (2019-07-30 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- A••••••• G••••• A•••••••• I••• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- A•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 925-930-2882reportedpublic record, Form ADV, Apr 7, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $126Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026