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••••• B•••• F•••••••• A•••••••
Legal name C••••• B•••• C••••••••• I••
Latest filing Mar 30, 2026
First filing on the tape Nov 7, 2011 · 21 filings
SEC status approved since Jul 12, 2006
RAUM
$209M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$209M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$209M as of Mar 30, 2026
Mar 30, 2012$107M then
HNW client RAUM$187M as of Mar 30, 2026
Mar 30, 2018$150M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 30, 20120 then
Employees (5.A)2 as of Mar 30, 2026
Apr 1, 20134 then
Private funds: no history
RAUM +19% over the last fiscal year-0.4% a year over threeIARs 2 to 2offices 1 to 2
Practice profile
derived from the filing of Mar 30, 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
- RAUM per advisor
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $381,103derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%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
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $207M, 122 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$187M90%
- Individuals$21.8M10%
- Individual clients
- 66reported
- HNW clients
- 56reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 549reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $207M for 122 clientsreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• S•••••• R•••••Certified Financial Planner | Brookline, Ma | Nov 25, 2009 | 24 y | 0 |
| J••••• •••• C•••• | San Ramon, Ca | Jan 25, 2010 | 26 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••••• •••• C•••• from A••••••••• F•••••••• S•••••••• L••Jan 25, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• J•••••• •••• · Chief Executive Officer, Chief Compliance Officercontrolsince 08/2006 · owns 50% to 75%
- R•••••• G••••••• S•••••• · President, Chief Operating Officercontrolsince 10/2009 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Brookline, MA1 employees
- San Jose, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 558 to 549Sep 25, 2025 to Mar 30, 2026
- HNW clients · 51 to 56Sep 25, 2025 to Mar 30, 2026
- Individual clients · 61 to 66Sep 25, 2025 to Mar 30, 2026
- Assets in custody · $174M to $207MSep 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $174M to $207MSep 25, 2025 to Mar 30, 2026
- HNW RAUM · $153M to $187MSep 25, 2025 to Mar 30, 2026
- Individual RAUM · $22.4M to $21.8MSep 25, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $2.0M to $2.5MSep 25, 2025 to Mar 30, 2026
- RAUM · $176M to $209MSep 25, 2025 to Mar 30, 2026
- Other offices · 1 to 2Mar 31, 2025 to Sep 25, 2025
- Accounts · 537 to 558Jan 8, 2025 to Mar 31, 2025
- HNW clients · 50 to 51Jan 8, 2025 to Mar 31, 2025
- Individual clients · 86 to 61Jan 8, 2025 to Mar 31, 2025
- Pension plan clients · 9.0 to unsetJan 8, 2025 to Mar 31, 2025
- Assets in custody · unset to 173694183.0Jan 8, 2025 to Mar 31, 2025
- Custody of client assets · false to trueJan 8, 2025 to Mar 31, 2025
- Financial planning clients · 51-100 to 51-100Jan 8, 2025 to Mar 31, 2025
- Other offices · 2 to 1Jan 8, 2025 to Mar 31, 2025
- Discretionary RAUM · $157M to $174MJan 8, 2025 to Mar 31, 2025
- HNW RAUM · $151M to $153MJan 8, 2025 to Mar 31, 2025
- Individual RAUM · $23.6M to $22.4MJan 8, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $18.9M to $2.0MJan 8, 2025 to Mar 31, 2025
- Pension RAUM · 1485135.0 to unsetJan 8, 2025 to Mar 31, 2025
- RAUM · $176M to $176MJan 8, 2025 to Mar 31, 2025
- Accounts · 676 to 537Mar 28, 2024 to Jan 8, 2025
- HNW clients · 78 to 50Mar 28, 2024 to Jan 8, 2025
- Individual clients · 48 to 86Mar 28, 2024 to Jan 8, 2025
- Discretionary RAUM · $171M to $157MMar 28, 2024 to Jan 8, 2025
- HNW RAUM · $252M to $151MMar 28, 2024 to Jan 8, 2025
- Individual RAUM · $5.9M to $23.6MMar 28, 2024 to Jan 8, 2025
- Non-discretionary RAUM · $88.8M to $18.9MMar 28, 2024 to Jan 8, 2025
- RAUM · $259M to $176MMar 28, 2024 to Jan 8, 2025
- Accounts · 635 to 676Mar 29, 2023 to Mar 28, 2024
- HNW clients · 68 to 78Mar 29, 2023 to Mar 28, 2024
- Individual clients · 49 to 48Mar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $143M to $171MMar 29, 2023 to Mar 28, 2024
- HNW RAUM · $203M to $252MMar 29, 2023 to Mar 28, 2024
- Individual RAUM · $7.8M to $5.9MMar 29, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $68.1M to $88.8MMar 29, 2023 to Mar 28, 2024
- Pension RAUM · $1.2M to $1.5MMar 29, 2023 to Mar 28, 2024
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
- Business phone
- 617-277-9888reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-839-9399reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/10255007/adminreportedpublic record, Form ADV, Sep 18, 2026
- Website
- CannonBeachCo.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 888-839-9399reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- cannonbeachco.com/contact-usreportedpublished 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
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026