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Independent wealth managerSEC-registered· Danville, Californiawebsite

Independent wealth manager, based in Danville, California, reporting $120M of regulatory assets across 1 registered advisors.

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

Regulatory AUM
$120M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0
0 joined, 0 left
IAPD registration history
Private clients
99%
of RAUM, $119M
Form ADV
See where advisers wentSee teams that moved
More
Advisors (1)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 148880 · SEC 801-134519 · 3 filingsShow
CRD 148880SEC 801-134519First filing on the tape Sep 9, 2025, latest Jan 28, 2026SEC status approved since Nov 13, 2025IAPD
RAUM
$120M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$119M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$120M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape

Filed figures over time · the tape starts Sep 9, 2025

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$120M as of Jan 28, 2026
Sep 9, 2025$108M then
HNW client RAUM$100M as of Jan 28, 2026
Sep 9, 2025$93.0M then
State-registered IARs (5.B.3)0 as of Jan 28, 2026
Sep 9, 20250 then
Employees (5.A)1 as of Jan 28, 2026
Sep 9, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 28, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure2 rulesShow
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)
RAUM per advisor
$120MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
69derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$466,644derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 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 consultingreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing

83% high-net-worth individuals, 15% individuals, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow
  • High-net-worth individuals$100M83%
  • Individuals$18.5M15%
  • Charitable organizations$1.1M0.9%
  • Corporations and businesses$413,2640.3%
Individual clients
23reported
HNW clients
46reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
258reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
RAUM: 99% private clients, 0% pooled funds, 1% 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
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      1 on IAPD today; the longest tenured first
      NameBranchHere sinceIn industryPrior firms
      N••••••• C• F••••••••Certified Financial PlannerAlamo, CaApr 10, 202518 y0
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      No Schedule A on the extract for this adviser.
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 263 to 258
        Dec 4, 2025 to Jan 28, 2026
      • Corporate clients · 0 to 1
        Dec 4, 2025 to Jan 28, 2026
      • HNW clients · 51 to 46
        Dec 4, 2025 to Jan 28, 2026
      • Individual clients · 25 to 23
        Dec 4, 2025 to Jan 28, 2026
      • Discretionary RAUM · $108M to $120M
        Dec 4, 2025 to Jan 28, 2026
      Full history · 8 changes
      • HNW RAUM · $93.0M to $100M
        Dec 4, 2025 to Jan 28, 2026
      • Individual RAUM · $14.0M to $18.5M
        Dec 4, 2025 to Jan 28, 2026
      • RAUM · $108M to $120M
        Dec 4, 2025 to Jan 28, 2026
      Signals
      1 dated events
      • ••• Locked
        Sep 9, 2025 · First SEC registration · derived
      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
      ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Jan 28, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Jan 28, 2026
      Contact form
      ••• Lockedreportedpublished by the firm, firm site, Sep 17, 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
      $120Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: RAUM change, 1 year.