DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C••••••• F•••••••• P••••••• • C•••••••••
Legal name C•••••••• G•••••• J••••
Latest filing Feb 18, 2026
First filing on the tape Feb 28, 2022 · 9 filings
SEC status approved since Mar 31, 2022
RAUM
$172M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$172M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$172M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$172M as of Feb 18, 2026
Mar 7, 2023$111M then
HNW client RAUM$136M as of Feb 18, 2026
Mar 7, 2023$73.9M then
State-registered IARs (5.B.3)1 as of Feb 18, 2026
Mar 7, 20231 then
Employees (5.A)2 as of Feb 18, 2026
Mar 7, 20232 then
Private funds: no history
RAUM +3.8% over the last fiscal year+16% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 18, 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
- $172MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 140derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $453,840derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$136M79%
- Individuals$35.4M21%
- Individual clients
- 97reported
- HNW clients
- 43reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 378reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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 |
|---|---|---|---|---|
| G•••••• J•••• C••••••• | Modesto, Ca | May 19, 2016 | 41 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• G••••••• J•••• · Owner & Chief Compliance Officercontrolsince 10/1984 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 376 to 378Feb 21, 2025 to Feb 18, 2026
- HNW clients · 41 to 43Feb 21, 2025 to Feb 18, 2026
- Individual clients · 100 to 97Feb 21, 2025 to Feb 18, 2026
- Discretionary RAUM · $165M to $172MFeb 21, 2025 to Feb 18, 2026
- HNW RAUM · $133M to $136MFeb 21, 2025 to Feb 18, 2026
- Individual RAUM · $32.5M to $35.4MFeb 21, 2025 to Feb 18, 2026
- RAUM · $165M to $172MFeb 21, 2025 to Feb 18, 2026
- Accounts · 383 to 376Mar 5, 2024 to Feb 21, 2025
- HNW clients · 33 to 41Mar 5, 2024 to Feb 21, 2025
- Individual clients · 113 to 100Mar 5, 2024 to Feb 21, 2025
- Financial planning clients · 1-10 to 1-10Mar 5, 2024 to Feb 21, 2025
- Discretionary RAUM · $132M to $165MMar 5, 2024 to Feb 21, 2025
- HNW RAUM · $92.3M to $133MMar 5, 2024 to Feb 21, 2025
- Individual RAUM · $40.0M to $32.5MMar 5, 2024 to Feb 21, 2025
- RAUM · $132M to $165MMar 5, 2024 to Feb 21, 2025
- Accounts · 379 to 383Apr 28, 2023 to Mar 5, 2024
- Charity clients · unset to 0.0Apr 28, 2023 to Mar 5, 2024
- Corporate clients · unset to 0.0Apr 28, 2023 to Mar 5, 2024
- HNW clients · 31 to 33Apr 28, 2023 to Mar 5, 2024
- Individual clients · 115 to 113Apr 28, 2023 to Mar 5, 2024
- Pension plan clients · unset to 0.0Apr 28, 2023 to Mar 5, 2024
- Pooled vehicle clients · unset to 0.0Apr 28, 2023 to Mar 5, 2024
- Discretionary RAUM · $111M to $132MApr 28, 2023 to Mar 5, 2024
- HNW RAUM · $73.9M to $92.3MApr 28, 2023 to Mar 5, 2024
- Individual RAUM · $37.1M to $40.0MApr 28, 2023 to Mar 5, 2024
- Pension RAUM · unset to 0.0Apr 28, 2023 to Mar 5, 2024
- Pooled vehicle RAUM · unset to 0.0Apr 28, 2023 to Mar 5, 2024
- RAUM · $111M to $132MApr 28, 2023 to Mar 5, 2024
- Accounts · 349 to 379Mar 3, 2023 to Mar 7, 2023
- HNW clients · 30 to 31Mar 3, 2023 to Mar 7, 2023
- Individual clients · 105 to 115Mar 3, 2023 to Mar 7, 2023
- Pension plan clients · 2.0 to unsetMar 3, 2023 to Mar 7, 2023
- Discretionary RAUM · $109M to $111MMar 3, 2023 to Mar 7, 2023
- HNW RAUM · $70.7M to $73.9MMar 3, 2023 to Mar 7, 2023
- Individual RAUM · $35.0M to $37.1MMar 3, 2023 to Mar 7, 2023
- Pension RAUM · 3226804.0 to unsetMar 3, 2023 to Mar 7, 2023
- RAUM · $109M to $111MMar 3, 2023 to Mar 7, 2023
Signals
1 dated events
- C••••••• F•••••••• P••••••• • C••••••••• filed its initial SEC registration (Form ADV)Feb 28, 2022 · 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
- Website
- C•••••••FP.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 209-571-0111reportedpublic record, Form ADV, Feb 18, 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
- $172Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026