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••••• F•••••••• P•••••••

Independent wealth managerCRD 136785SEC 801-132154websiteIAPD
Legal name C••••• F•••••••• P•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Feb 10, 2025 · 2 filings
SEC status approved since Mar 12, 2025
RAUM
$164M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$164M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$164M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$164M as of Mar 30, 2026
Feb 10, 2025$130M then
HNW client RAUM$158M as of Mar 30, 2026
Feb 10, 2025$120M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Feb 10, 20251 then
Employees (5.A)1 as of Mar 30, 2026
Feb 10, 20251 then
Private funds: no history
RAUM +26% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$164MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
76derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$686,975derivedRAUM 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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+26%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.3%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
Custody
$5.3M, 1 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$158M97%
  • Individuals$5.5M3.4%
Individual clients
10reported
HNW clients
66reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
238reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$5.3M for 1 clientsreported
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C•••••••• C•••••Certified Financial PlannerOakland, CaNov 13, 202514 y1
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C•••••• C•••••••• · Owner And Chief Compliance Officercontrol
    since 01/2001 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
  • custody status changedChange between filings · filing Mar 30, 2026
    custody of client assets (Item 9.A): no on the filing of 2025-02-10, yes on the filing of 2026-03-30
    peers: independent wealth managers, $100M to $500M (5,676)
How anomalies are measured
What changed
consecutive filings, newest first
  • Accounts · 226 to 238
    Feb 10, 2025 to Mar 30, 2026
  • HNW clients · 57 to 66
    Feb 10, 2025 to Mar 30, 2026
  • Individual clients · 18 to 10
    Feb 10, 2025 to Mar 30, 2026
  • Assets in custody · unset to 5300000.0
    Feb 10, 2025 to Mar 30, 2026
  • Custody of client assets · false to true
    Feb 10, 2025 to Mar 30, 2026
  • Discretionary RAUM · $130M to $164M
    Feb 10, 2025 to Mar 30, 2026
  • HNW RAUM · $120M to $158M
    Feb 10, 2025 to Mar 30, 2026
  • Individual RAUM · $9.6M to $5.5M
    Feb 10, 2025 to Mar 30, 2026
  • RAUM · $130M to $164M
    Feb 10, 2025 to Mar 30, 2026
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
ofindependentmeans.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
(510) 451-3528reportedpublic record, Form ADV, Mar 30, 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
$164Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026