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
P•••••••• W••••• M•••••••••
Latest filing Jun 11, 2026
First filing on the tape Mar 22, 2012 · 44 filings
SEC status approved since Sep 23, 2013
RAUM
$518M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
99%
$511M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$104M
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$518M as of Jun 11, 2026
Mar 22, 2012$79.8M then
HNW client RAUM$388M as of Jun 11, 2026
Mar 22, 2018$121M then
State-registered IARs (5.B.3)4 as of Jun 11, 2026
Jan 27, 20143 then
Employees (5.A)10 as of Jun 11, 2026
Jan 27, 20144 then
Private funds: no history
RAUM +14% over the last fiscal year+13% a year over threeIARs 4 to 4offices 3 to 4
Practice profile
derived from the filing of Jun 11, 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
- RAUM per advisor
- $104MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 104derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $321,469derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.6%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$388M75%
- Individuals$124M24%
- Pension and profit-sharing plans$6.8M1.3%
- Individual clients
- 368reported
- HNW clients
- 154reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 1,611reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• C•••••••• A•••••••Certified Financial Planner | Granite Bay, Ca | May 30, 2012 | 17 y | 0 |
| J••••••••• L•••• | South Jordan, Ut | Sep 10, 2012 | 14 y | 0 |
| T••••• D••• S••••Certified Financial Planner | Granite Bay, Ca | May 10, 2022 | 10 y | 0 |
| S••••• A••• T•••••Certified Financial Planner | Granite Bay, Ca | Jan 30, 2026 | 10 y | 0 |
| P••• M•••••• D•••• | Granite Bay, Ca | Aug 4, 2026 | 12 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
- J•••• J•••••• L•••••• to L••••••• J• J••••••Jul 1, 2011 · Other
Joined, latest
- J•••• J•••••• L•••••• from L••••••••• F•••••••• P•••••••Jul 2, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• D•••••• C•••••••• · Chief Compliance Officercontrolsince 07/2008 · owns 5% to 10%
- A•••••••• H•••••• C•••• · Presidentcontrolsince 07/2008 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Granite Bay, Ca · principal | 5 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Folsom, CA4 employees
- Lehi, UT
- Logan, UT
What changed
consecutive filings, newest first
- Accounts · 1,607 to 1,611Mar 25, 2025 to Mar 16, 2026
- HNW clients · 113 to 154Mar 25, 2025 to Mar 16, 2026
- Individual clients · 396 to 368Mar 25, 2025 to Mar 16, 2026
- Pension plan clients · unset to 6.0Mar 25, 2025 to Mar 16, 2026
- Employees · 9 to 10Mar 25, 2025 to Mar 16, 2026
- Other offices · 3 to 4Mar 25, 2025 to Mar 16, 2026
- Discretionary RAUM · $424M to $480MMar 25, 2025 to Mar 16, 2026
- HNW RAUM · $318M to $388MMar 25, 2025 to Mar 16, 2026
- Individual RAUM · $137M to $124MMar 25, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $31.6M to $37.4MMar 25, 2025 to Mar 16, 2026
- Pension RAUM · unset to 6761406.0Mar 25, 2025 to Mar 16, 2026
- RAUM · $455M to $518MMar 25, 2025 to Mar 16, 2026
- Accounts · 1,415 to 1,607Mar 20, 2024 to Mar 25, 2025
- Advisory activities · 5 to 6Mar 20, 2024 to Mar 25, 2025
- HNW clients · 71 to 113Mar 20, 2024 to Mar 25, 2025
- Individual clients · 426 to 396Mar 20, 2024 to Mar 25, 2025
- Pension plan clients · 7.0 to unsetMar 20, 2024 to Mar 25, 2025
- Employees · 8 to 9Mar 20, 2024 to Mar 25, 2025
- Financial planning clients · 251-500 to 251-500Mar 20, 2024 to Mar 25, 2025
- Discretionary RAUM · $385M to $424MMar 20, 2024 to Mar 25, 2025
- HNW RAUM · $198M to $318MMar 20, 2024 to Mar 25, 2025
- Individual RAUM · $188M to $137MMar 20, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $13.9M to $31.6MMar 20, 2024 to Mar 25, 2025
- Pension RAUM · 13538773.0 to unsetMar 20, 2024 to Mar 25, 2025
- RAUM · $399M to $455MMar 20, 2024 to Mar 25, 2025
- Accounts · 1,605 to 1,415Oct 24, 2023 to Mar 20, 2024
- Advisory employees · 5 to 4Oct 24, 2023 to Mar 20, 2024
- HNW clients · 103 to 71Oct 24, 2023 to Mar 20, 2024
- Individual clients · 415 to 426Oct 24, 2023 to Mar 20, 2024
- Pension plan clients · 3 to 7Oct 24, 2023 to Mar 20, 2024
- Employees · 9 to 8Oct 24, 2023 to Mar 20, 2024
- Discretionary RAUM · $342M to $385MOct 24, 2023 to Mar 20, 2024
- HNW RAUM · $226M to $198MOct 24, 2023 to Mar 20, 2024
- Individual RAUM · $134M to $188MOct 24, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $21.4M to $13.9MOct 24, 2023 to Mar 20, 2024
- Pension RAUM · $2.5M to $13.5MOct 24, 2023 to Mar 20, 2024
- RAUM · $363M to $399MOct 24, 2023 to Mar 20, 2024
- HQ city · ROSEVILLE to GRANITE BAYFeb 21, 2023 to Oct 24, 2023
- Accounts · 1,449 to 1,605Nov 28, 2022 to Feb 21, 2023
- HNW clients · 111 to 103Nov 28, 2022 to Feb 21, 2023
Signals
1 dated events
- P•••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Sep 10, 2013 · 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
- 385-250-1830reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 916-797-3007reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- P••••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 916-797-3007reportedpublic record, Form ADV, Jun 11, 2026
- Contact form
- p•••••••••.comreportedpublished 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
- $104Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026