DFX Intelligence

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M••••••• A•••••••• I•••

Independent wealth managerSEC-registered· Palo Alto, Californiawebsite

Independent wealth manager, based in Palo Alto, California, reporting $143M of regulatory assets across 4 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-02 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $143M
Advisors: 4
Net advisor flow, 12 months: 0
RAUM change, 1 year: +13%
Private clients: 98%

See where advisers went See teams that moved

Advisors (4)Where the RAUM sits

As of 2026-03-02 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 2 Mar 2026, RAUM $127M to $143M (+13.0%) on the Form ADV filed 2 Mar 2026, while advisors on the filing held at 4.

Every filed figure, and the identifiersCRD 144072 · SEC 801-124782 · 7 filingsShow

CRD 144072SEC 801-124782First filing on the tape Mar 29, 2022, latest Mar 2, 2026SEC status approved since Apr 29, 2022IAPD

RAUM

$143M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

98%

$141M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$35.9M

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

7 filings and snapshots on the tape

RAUM +11% a year over three years · the tape starts Mar 29, 2022

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$143M as of Mar 2, 2026

Mar 22, 2023$105M then

HNW client RAUM$127M as of Mar 2, 2026

Mar 22, 2023$94.7M then

State-registered IARs (5.B.3)4 as of Mar 2, 2026

Mar 22, 20234 then

Employees (5.A)4 as of Mar 2, 2026

Mar 22, 20234 then

Private funds: no history

RAUM +13% over the last fiscal year+11% a year over threeIARs 4 to 4

Practice profile

derived from the filing of Mar 2, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $35.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 10derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $5.5MderivedHNW RAUM over HNW clients
Average account: $1.2MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 4.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +13%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, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
Custody: $16.2M, 4 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

88% high-net-worth individuals, 9.5% individuals, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow

High-net-worth individuals$127M88%
Individuals$13.6M9.5%
Pension and profit-sharing plans$2.0M1.4%
Charitable organizations$994,0940.7%

Individual clients: 15reported
HNW clients: 23reported
Pension plan clients: 1reported
Charitable clients: 1reported
Accounts: 117reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $16.2M for 4 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: RAUM: 98% private clients, 0% pooled funds, 2% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

M••• S•••• M•••• T••••• from M••••• S••••••
Oct 27, 2020 · Wirehouse to independent RIA

Every departure Every arrival

Advisors registered through the firm

4 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
Y••••• P•••••••	Palo Alto, Ca	Oct 15, 2007	20 y	0
M••• S•••• M•••• T•••••Certified Financial Planner	Palo Alto, Ca	Oct 27, 2020	10 y	1
C••••••••• S•••• M•••• T•••••	Palo Alto, Ca	Jan 27, 2025	22 y	0
L••••••• D•••• T•••••Certified Financial Planner	Palo Alto, Ca	Oct 28, 2025	42 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

T•••••• L•••••••• D•••• · President, Secretary, Treasurercontrol
since 01/2007 · owns 75% or more
T•••••• M•••• S•••• M•••• · Chief Compliance Officer And Advisorcontrol
since 06/2022 · owns less than 5%

Related persons

Schedule D 7.A

I••••• A••••••••• • C••••••• C•••• I•••
insurancen

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Palo Alto, Ca · principal	4	1	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

HNW clients · 22 to 23
Mar 19, 2025 to Mar 2, 2026
Individual clients · 16 to 15
Mar 19, 2025 to Mar 2, 2026
Assets in custody · $14.8M to $16.2M
Mar 19, 2025 to Mar 2, 2026
Discretionary RAUM · $127M to $143M
Mar 19, 2025 to Mar 2, 2026
HNW RAUM · $112M to $127M
Mar 19, 2025 to Mar 2, 2026

Full history · 34 changes

Individual RAUM · $12.2M to $13.6M
Mar 19, 2025 to Mar 2, 2026
Pension RAUM · $1.7M to $2.0M
Mar 19, 2025 to Mar 2, 2026
RAUM · $127M to $143M
Mar 19, 2025 to Mar 2, 2026
Accounts · 122 to 117
Mar 19, 2024 to Mar 19, 2025
Assets in custody · $14.4M to $14.8M
Mar 19, 2024 to Mar 19, 2025
Financial planning clients · 0 to 0
Mar 19, 2024 to Mar 19, 2025
Discretionary RAUM · $121M to $127M
Mar 19, 2024 to Mar 19, 2025
HNW RAUM · $108M to $112M
Mar 19, 2024 to Mar 19, 2025
Individual RAUM · $10.8M to $12.2M
Mar 19, 2024 to Mar 19, 2025
Pension RAUM · $1.5M to $1.7M
Mar 19, 2024 to Mar 19, 2025
RAUM · $121M to $127M
Mar 19, 2024 to Mar 19, 2025
Accounts · 109 to 122
Jul 26, 2023 to Mar 19, 2024
HNW clients · 19 to 22
Jul 26, 2023 to Mar 19, 2024
Individual clients · 15 to 16
Jul 26, 2023 to Mar 19, 2024
Assets in custody · $19.9M to $14.4M
Jul 26, 2023 to Mar 19, 2024
Discretionary RAUM · $105M to $121M
Jul 26, 2023 to Mar 19, 2024
HNW RAUM · $94.7M to $108M
Jul 26, 2023 to Mar 19, 2024
Individual RAUM · $8.6M to $10.8M
Jul 26, 2023 to Mar 19, 2024
Pension RAUM · $1.4M to $1.5M
Jul 26, 2023 to Mar 19, 2024
RAUM · $105M to $121M
Jul 26, 2023 to Mar 19, 2024
Accounts · 117 to 109
Jul 5, 2022 to Mar 22, 2023
HNW clients · 21 to 19
Jul 5, 2022 to Mar 22, 2023
Individual clients · 18 to 15
Jul 5, 2022 to Mar 22, 2023
Assets in custody · $23.4M to $19.9M
Jul 5, 2022 to Mar 22, 2023
Discretionary RAUM · $122M to $105M
Jul 5, 2022 to Mar 22, 2023
HNW RAUM · $110M to $94.7M
Jul 5, 2022 to Mar 22, 2023
Individual RAUM · $9.0M to $8.6M
Jul 5, 2022 to Mar 22, 2023
Pension RAUM · $2.0M to $1.4M
Jul 5, 2022 to Mar 22, 2023
RAUM · $122M to $105M
Jul 5, 2022 to Mar 22, 2023

Signals

2 dated events

••• Locked
Jul 5, 2022 · Control person joined · fact
••• Locked
Mar 29, 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

Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 24, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 2, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 2, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $35.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026