DFX Intelligence

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M•••••• I••••••••• A•••••••• L••

Independent wealth managerSEC-registered· San Rafael, Californiawebsite

Independent wealth manager, based in San Rafael, California, reporting $254M of regulatory assets across 1 registered advisors.

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

As of 2026-03-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $254M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +12%
Private clients: 95%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-03-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 24 Mar 2026, RAUM $226M to $254M (+12.5%) on the Form ADV filed 24 Mar 2026, while advisors on the filing rose 1 to 1.

Every filed figure, and the identifiersCRD 149549 · SEC 801-121355 · 12 filingsShow

CRD 149549SEC 801-121355First filing on the tape Apr 30, 2021, latest Mar 24, 2026SEC status approved since Jun 1, 2021IAPD

RAUM

$254M

reported, Item 5.F

Discretionary

4.3%

of RAUM

Private clients

95%

$241M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$254M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

12 filings and snapshots on the tape

RAUM +19% a year over three years · the tape starts Apr 30, 2021

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

RAUM$254M as of Mar 24, 2026

Mar 7, 2022$166M then

HNW client RAUM$203M as of Mar 24, 2026

Mar 7, 2022$131M then

State-registered IARs (5.B.3)1 as of Mar 24, 2026

Mar 7, 20221 then

Employees (5.A)1 as of Mar 24, 2026

Mar 7, 20221 then

Private funds: no history

RAUM +12% over the last fiscal year+19% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 24, 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

RAUM per advisor: $254MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 111derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.4MderivedHNW RAUM over HNW clients
Average account: $678,181derivedRAUM over accounts (5.F.2.f)
Discretionary: 4.3%derivedof RAUM
Institutional: 4.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 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: -0.9%derived
Compensation: 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)
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

80% high-net-worth individuals, 15% individuals, and 3 other client types

The breakdown by client type, and the client counts5 client typesShow

High-net-worth individuals$203M80%
Individuals$37.4M15%
Pension and profit-sharing plans$10.3M4.0%
Corporations and businesses$2.5M1.0%
Charitable organizations$665,9770.3%

Individual clients: 52reported
HNW clients: 59reported
Pension plan clients: 2reported
Charitable clients: 1reported
Accounts: 375reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: fixedreported
Class basis: private_client_share=0.95 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived

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 departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
M•••••• H•••• Z••••••	San Rafael, Ca	Nov 19, 2025	20 y	1

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Z••••••• M•••• H•••• · Managing Member/Ccocontrol
since 05/2009 · owns 75% or more

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 · 390 to 375
Sep 15, 2025 to Mar 24, 2026
Corporate clients · 1 to 4
Sep 15, 2025 to Mar 24, 2026
HNW clients · 53 to 59
Sep 15, 2025 to Mar 24, 2026
Individual clients · 59 to 52
Sep 15, 2025 to Mar 24, 2026
Discretionary RAUM · $9.0M to $10.9M
Sep 15, 2025 to Mar 24, 2026

Full history · 67 changes

HNW RAUM · $174M to $203M
Sep 15, 2025 to Mar 24, 2026
Individual RAUM · $40.6M to $37.4M
Sep 15, 2025 to Mar 24, 2026
Non-discretionary RAUM · $217M to $243M
Sep 15, 2025 to Mar 24, 2026
Pension RAUM · $9.0M to $10.3M
Sep 15, 2025 to Mar 24, 2026
RAUM · $226M to $254M
Sep 15, 2025 to Mar 24, 2026
Financial planning clients · 0 to 0
Mar 24, 2025 to Sep 15, 2025
Accounts · 397 to 390
Mar 21, 2024 to Mar 24, 2025
HNW clients · 56 to 53
Mar 21, 2024 to Mar 24, 2025
Individual clients · 56 to 59
Mar 21, 2024 to Mar 24, 2025
Discretionary RAUM · $8.3M to $9.0M
Mar 21, 2024 to Mar 24, 2025
HNW RAUM · $162M to $174M
Mar 21, 2024 to Mar 24, 2025
Individual RAUM · $28.3M to $40.6M
Mar 21, 2024 to Mar 24, 2025
Non-discretionary RAUM · $192M to $217M
Mar 21, 2024 to Mar 24, 2025
Pension RAUM · $8.3M to $9.0M
Mar 21, 2024 to Mar 24, 2025
RAUM · $201M to $226M
Mar 21, 2024 to Mar 24, 2025
Accounts · 362 to 397
Jul 12, 2023 to Mar 21, 2024
HNW clients · 57 to 56
Jul 12, 2023 to Mar 21, 2024
Individual clients · 70 to 56
Jul 12, 2023 to Mar 21, 2024
Discretionary RAUM · $7.8M to $8.3M
Jul 12, 2023 to Mar 21, 2024
HNW RAUM · $124M to $162M
Jul 12, 2023 to Mar 21, 2024
Individual RAUM · $36.8M to $28.3M
Jul 12, 2023 to Mar 21, 2024
Non-discretionary RAUM · $163M to $192M
Jul 12, 2023 to Mar 21, 2024
Pension RAUM · $7.8M to $8.3M
Jul 12, 2023 to Mar 21, 2024
RAUM · $170M to $201M
Jul 12, 2023 to Mar 21, 2024
Accounts · 393 to 362
Apr 25, 2023 to Jul 12, 2023
HNW clients · 37 to 57
Apr 25, 2023 to Jul 12, 2023
Individual clients · 87 to 70
Apr 25, 2023 to Jul 12, 2023
Discretionary RAUM · $7.1M to $7.8M
Apr 25, 2023 to Jul 12, 2023
HNW RAUM · $87.7M to $124M
Apr 25, 2023 to Jul 12, 2023
Individual RAUM · $53.4M to $36.8M
Apr 25, 2023 to Jul 12, 2023
Non-discretionary RAUM · $143M to $163M
Apr 25, 2023 to Jul 12, 2023
Pension RAUM · $7.1M to $7.8M
Apr 25, 2023 to Jul 12, 2023
RAUM · $150M to $170M
Apr 25, 2023 to Jul 12, 2023
Accounts · 334 to 393
Mar 7, 2022 to Mar 23, 2023
HNW clients · 51 to 37
Mar 7, 2022 to Mar 23, 2023
Individual clients · 50 to 87
Mar 7, 2022 to Mar 23, 2023
Discretionary RAUM · $8.4M to $7.1M
Mar 7, 2022 to Mar 23, 2023
HNW RAUM · $131M to $87.7M
Mar 7, 2022 to Mar 23, 2023
Individual RAUM · $24.5M to $53.4M
Mar 7, 2022 to Mar 23, 2023
Non-discretionary RAUM · $158M to $143M
Mar 7, 2022 to Mar 23, 2023
Pension RAUM · $8.4M to $7.1M
Mar 7, 2022 to Mar 23, 2023
RAUM · $166M to $150M
Mar 7, 2022 to Mar 23, 2023
Accounts · 87 to 334
Jul 28, 2021 to Mar 7, 2022
HNW clients · 34 to 51
Jul 28, 2021 to Mar 7, 2022
Individual clients · 48 to 50
Jul 28, 2021 to Mar 7, 2022
Pension plan clients · 3 to 2
Jul 28, 2021 to Mar 7, 2022
Financial planning clients · 51-100 to 0
Jul 28, 2021 to Mar 7, 2022
Discretionary RAUM · $7.5M to $8.4M
Jul 28, 2021 to Mar 7, 2022
HNW RAUM · $109M to $131M
Jul 28, 2021 to Mar 7, 2022
Individual RAUM · $32.9M to $24.5M
Jul 28, 2021 to Mar 7, 2022
Non-discretionary RAUM · $143M to $158M
Jul 28, 2021 to Mar 7, 2022
Pension RAUM · $7.5M to $8.4M
Jul 28, 2021 to Mar 7, 2022
RAUM · $151M to $166M
Jul 28, 2021 to Mar 7, 2022
Accounts · 89 to 87
Jun 3, 2021 to Jul 28, 2021
Individual clients · 51 to 48
Jun 3, 2021 to Jul 28, 2021
Pension plan clients · 2 to 3
Jun 3, 2021 to Jul 28, 2021
Discretionary RAUM · $7.0M to $7.5M
Jun 3, 2021 to Jul 28, 2021
HNW RAUM · $102M to $109M
Jun 3, 2021 to Jul 28, 2021
Individual RAUM · $29.9M to $32.9M
Jun 3, 2021 to Jul 28, 2021
Non-discretionary RAUM · $133M to $143M
Jun 3, 2021 to Jul 28, 2021
Pension RAUM · $7.0M to $7.5M
Jun 3, 2021 to Jul 28, 2021
RAUM · $140M to $151M
Jun 3, 2021 to Jul 28, 2021

Signals

1 dated events

••• Locked
Apr 30, 2021 · 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: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 24, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 24, 2026
Contact form: ••• 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: $254Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026