DFX Intelligence
RIA Intelligence
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SEC-registered adviser
F•••••••• D•••••• C•••••••••
Latest filing Jan 27, 2026
First filing on the tape Jan 3, 2012 · 34 filings
SEC status approved since May 24, 1995
RAUM
$508M
reported, Item 5.F
Discretionary
73%
of RAUM
Private clients
100%
$508M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$169M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$508M as of Jan 27, 2026
Jan 17, 2012$182M then
HNW client RAUM$348M as of Jan 27, 2026
Mar 15, 2018$55.9M then
State-registered IARs (5.B.3)3 as of Jan 27, 2026
Feb 5, 20134 then
Employees (5.A)6 as of Jan 27, 2026
Feb 5, 20137 then
Private funds: no history
RAUM +12% over the last fiscal year+10% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jan 27, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $169MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 172derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $387,131derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 73%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
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Wrap fee program
- $371MreportedItem 5.I
- Custody
- $371M, 516 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$348M69%
- Individuals$160M31%
- Corporations and businesses$1,2240.0%
- Individual clients
- 338reported
- HNW clients
- 177reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,312reported
- Financial planning clients
- 500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $371M for 516 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••• G•••••• P••••Certified Financial Planner | Claremont, Ca | Jun 10, 2008 | 33 y | 0 |
| V••••• G•••••• H•••••Certified Financial Planner | Stokesdale, Nc | Jan 31, 2011 | 19 y | 0 |
| B•••••• A• M•••••Certified Financial Planner | Claremont, Ca | Mar 24, 2026 | 17 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• G•••• A••• · Chief Compliance Officer/Director Of Financesince 10/2012 · owns less than 5%
- P••••• N•••• G•••••• · Presidentsince 01/1996 · owns less than 5%
Entity owners
- F•• H••••••• C••••••••• · Shareholderdirect · owns 75% or more
- T•• 2••• P•••• F••••• T•••• · Shareholderindirect · owns 75% or more of F•• H••••••• C•••••••••
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 |
|---|---|---|---|---|---|
| Claremont, Ca · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Las Vegas, NV1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,305 to 1,312Sep 16, 2025 to Jan 27, 2026
- HNW clients · 149 to 177Sep 16, 2025 to Jan 27, 2026
- Individual clients · 361 to 338Sep 16, 2025 to Jan 27, 2026
- Assets in custody · $319M to $371MSep 16, 2025 to Jan 27, 2026
- Discretionary RAUM · $319M to $371MSep 16, 2025 to Jan 27, 2026
- HNW RAUM · $283M to $348MSep 16, 2025 to Jan 27, 2026
- Individual RAUM · $172M to $160MSep 16, 2025 to Jan 27, 2026
- Non-discretionary RAUM · $136M to $137MSep 16, 2025 to Jan 27, 2026
- RAUM · $454M to $508MSep 16, 2025 to Jan 27, 2026
- Accounts · 1,334 to 1,305Feb 16, 2024 to Feb 17, 2025
- HNW clients · 125 to 149Feb 16, 2024 to Feb 17, 2025
- Individual clients · 418 to 361Feb 16, 2024 to Feb 17, 2025
- Assets in custody · $282M to $319MFeb 16, 2024 to Feb 17, 2025
- Financial planning clients · More than 500 to More than 500Feb 16, 2024 to Feb 17, 2025
- State-registered IARs · 2 to 3Feb 16, 2024 to Feb 17, 2025
- Discretionary RAUM · $282M to $319MFeb 16, 2024 to Feb 17, 2025
- HNW RAUM · $201M to $283MFeb 16, 2024 to Feb 17, 2025
- Individual RAUM · $195M to $172MFeb 16, 2024 to Feb 17, 2025
- Non-discretionary RAUM · $114M to $136MFeb 16, 2024 to Feb 17, 2025
- RAUM · $396M to $454MFeb 16, 2024 to Feb 17, 2025
- Accounts · 1,342 to 1,334Oct 5, 2023 to Feb 16, 2024
- Advisory employees · 4 to 3Oct 5, 2023 to Feb 16, 2024
- HNW clients · 137 to 125Oct 5, 2023 to Feb 16, 2024
- Individual clients · 372 to 418Oct 5, 2023 to Feb 16, 2024
- Assets in custody · $275M to $282MOct 5, 2023 to Feb 16, 2024
- Other offices · 3 to 2Oct 5, 2023 to Feb 16, 2024
- Discretionary RAUM · $275M to $282MOct 5, 2023 to Feb 16, 2024
- HNW RAUM · $217M to $201MOct 5, 2023 to Feb 16, 2024
- Individual RAUM · $163M to $195MOct 5, 2023 to Feb 16, 2024
- Non-discretionary RAUM · $105M to $114MOct 5, 2023 to Feb 16, 2024
- RAUM · $379M to $396MOct 5, 2023 to Feb 16, 2024
- Accounts · 1,281 to 1,342Mar 2, 2022 to Feb 15, 2023
- HNW clients · 157 to 137Mar 2, 2022 to Feb 15, 2023
- Individual clients · 367 to 372Mar 2, 2022 to Feb 15, 2023
- Assets in custody · $327M to $275MMar 2, 2022 to Feb 15, 2023
- Discretionary RAUM · $327M to $275MMar 2, 2022 to Feb 15, 2023
- HNW RAUM · $264M to $217MMar 2, 2022 to Feb 15, 2023
- Individual RAUM · $162M to $163MMar 2, 2022 to Feb 15, 2023
- Non-discretionary RAUM · $98.7M to $105MMar 2, 2022 to Feb 15, 2023
- RAUM · $426M to $379MMar 2, 2022 to Feb 15, 2023
Signals
1 dated events
- F•••••••• D•••••• C••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 10, 2017 · Succession (Item 4) · 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
- f••@f•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 909-626-1529reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 909-626-1642reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- f•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 909-626-1642reportedpublic record, Form ADV, Jan 27, 2026
- Contact form
- f•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $169Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026