DFX Intelligence

RIA Intelligence

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SEC-registered adviser

S•••••••• R••••••••• A•••••••• L••

Independent wealth managerElk Grove, CaliforniaCRD 142887SEC 801-114888website IAPD

Latest filing Jun 30, 2026

First filing on the tape Feb 22, 2019 · 10 filings

SEC status approved since Mar 22, 2019

RAUM

$217M

reported, Item 5.F

Discretionary

66%

of RAUM

Private clients

100%

$217M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$217M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

10 filings and snapshots on the tape

RAUM$217M as of Jun 30, 2026

Mar 13, 2020$137M then

HNW client RAUM: no history

State-registered IARs (5.B.3)2 as of Jun 30, 2026

Mar 13, 20202 then

Employees (5.A)2 as of Jun 30, 2026

Mar 13, 20202 then

Private funds: no history

RAUM +32% over the last fiscal year+13% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Jun 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: $217MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: $229,534derivedRAUM over accounts (5.F.2.f)
Discretionary: 66%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: 0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +16%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$217M100%

Individual clients: 945reported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 945reported
Financial planning clients: 251-500reported
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
B•••• G••••• M•••	Elk Grove, Ca	Dec 16, 2025	26 y	1

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

Left, latest

none on the tape

Joined, latest

B•••• G••••• M••• from M••••••••• R•••••••••
Dec 16, 2025 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

M•••• B••••• G••••• · Chief Compliance Officercontrol
since 06/2007 · owns 50% to 75%
M•••••• J••••••• E•••• · Managing Membercontrol
since 06/2007 · owns 50% to 75%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

Elk Grove, CA1 employees

What changed

consecutive filings, newest first

Accounts · 1,258 to 945
May 30, 2025 to Jun 30, 2026
Individual clients · 1,258 to 945
May 30, 2025 to Jun 30, 2026
Discretionary RAUM · $124M to $144M
May 30, 2025 to Jun 30, 2026
Individual RAUM · $214M to $217M
May 30, 2025 to Jun 30, 2026
Non-discretionary RAUM · $89.7M to $72.9M
May 30, 2025 to Jun 30, 2026
RAUM · $214M to $217M
May 30, 2025 to Jun 30, 2026
Accounts · 1,138 to 1,258
Mar 29, 2024 to May 30, 2025
Individual clients · 1,138 to 1,258
Mar 29, 2024 to May 30, 2025
Financial planning clients · 251-500 to 251-500
Mar 29, 2024 to May 30, 2025
Discretionary RAUM · $107M to $124M
Mar 29, 2024 to May 30, 2025
Individual RAUM · $191M to $214M
Mar 29, 2024 to May 30, 2025
Non-discretionary RAUM · $84.3M to $89.7M
Mar 29, 2024 to May 30, 2025
RAUM · $191M to $214M
Mar 29, 2024 to May 30, 2025
Accounts · 1,466 to 1,138
Apr 7, 2023 to Mar 29, 2024
Advisory activities · 5 to 4
Apr 7, 2023 to Mar 29, 2024
Individual clients · 1,063 to 1,138
Apr 7, 2023 to Mar 29, 2024
Financial planning clients · 101-250 to 251-500
Apr 7, 2023 to Mar 29, 2024
HQ city · SACRAMENTO to ELK GROVE
Apr 7, 2023 to Mar 29, 2024
Discretionary RAUM · $87.7M to $107M
Apr 7, 2023 to Mar 29, 2024
Individual RAUM · $164M to $191M
Apr 7, 2023 to Mar 29, 2024
Non-discretionary RAUM · $76.1M to $84.3M
Apr 7, 2023 to Mar 29, 2024
RAUM · $164M to $191M
Apr 7, 2023 to Mar 29, 2024
Accounts · 1,038 to 1,466
Mar 31, 2022 to Apr 7, 2023
Individual clients · 1,038 to 1,063
Mar 31, 2022 to Apr 7, 2023
HQ city · unset to SACRAMENTO
Mar 31, 2022 to Apr 7, 2023
HQ state · unset to CA
Mar 31, 2022 to Apr 7, 2023
Discretionary RAUM · $85.8M to $87.7M
Mar 31, 2022 to Apr 7, 2023
Individual RAUM · $166M to $164M
Mar 31, 2022 to Apr 7, 2023
Non-discretionary RAUM · $80.1M to $76.1M
Mar 31, 2022 to Apr 7, 2023
RAUM · $166M to $164M
Mar 31, 2022 to Apr 7, 2023
Accounts · 1,136 to 1,038
Jun 29, 2021 to Mar 31, 2022
Individual clients · 1,136 to 1,038
Jun 29, 2021 to Mar 31, 2022
Discretionary RAUM · $57.4M to $85.8M
Jun 29, 2021 to Mar 31, 2022
Individual RAUM · $151M to $166M
Jun 29, 2021 to Mar 31, 2022
Non-discretionary RAUM · $93.6M to $80.1M
Jun 29, 2021 to Mar 31, 2022
RAUM · $151M to $166M
Jun 29, 2021 to Mar 31, 2022
Accounts · 1,421 to 1,136
Jun 30, 2020 to Jun 29, 2021
Individual clients · 1,033 to 1,136
Jun 30, 2020 to Jun 29, 2021
Discretionary RAUM · $69.6M to $57.4M
Jun 30, 2020 to Jun 29, 2021
Individual RAUM · $137M to $151M
Jun 30, 2020 to Jun 29, 2021

Signals

1 dated events

S•••••••• R••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
Feb 22, 2019 · 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 phone: 209-642-5900reportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 888-234-6425reportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 916-248-3619reportedpublished by the firm, firm site, Sep 16, 2026
Website: TOTAL457.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 916-248-3619reportedpublic record, Form ADV, Jun 30, 2026
Contact form: s•••••••••.netreportedpublished 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: $217Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026