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
S•• C•••• F••••••••
Legal name S•• C•••• F•••••••• L••
Latest filing Feb 27, 2026
First filing on the tape May 17, 2025 · 2 filings
SEC status approved since Jun 16, 2025
RAUM
$141M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$141M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$70.7M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$141M as of Feb 27, 2026
May 17, 2025$118M then
HNW client RAUM$120M as of Feb 27, 2026
May 17, 2025$99.8M then
State-registered IARs (5.B.3)2 as of Feb 27, 2026
May 17, 20251 then
Employees (5.A)2 as of Feb 27, 2026
May 17, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $70.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $501,072derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices 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, selection of other advisersreportedItem 5.G
- Custody
- $129M, 87 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$120M85%
- Individuals$21.0M15%
- Charitable organizations$245,0090.2%
- Individual clients
- 55reported
- HNW clients
- 38reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 282reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $129M for 87 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• L•• S•• C••••Certified Financial Planner | Roseville, Ca | Feb 16, 2010 | 32 y | 1 |
| A••••• R•••• H•••••••••Certified Financial Planner | Roseville, Ca | Feb 25, 2026 | 27 y | 2 |
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•••• M•• H••• to C•••••••Feb 24, 2023 · Other
Joined, latest
- J•••• M•• H••• from O•••• W•••••• I•••Mar 10, 2021 · Affiliated broker-dealer or bank to independent RIA
- A••••• R•••• H••••••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Nov 9, 2017 · Other
- D••••• L•• S•• C•••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Feb 16, 2010 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Sep 29, 2017 · Capitola, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•• C••••• D••••• · President, Cco, Membercontrolsince 12/2009 · 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 |
|---|---|---|---|---|---|
| Roseville, Ca · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 288 to 282May 17, 2025 to Feb 27, 2026
- Advisory employees · 1 to 2May 17, 2025 to Feb 27, 2026
- HNW clients · 39 to 38May 17, 2025 to Feb 27, 2026
- Individual clients · 61 to 55May 17, 2025 to Feb 27, 2026
- Assets in custody · $111M to $129MMay 17, 2025 to Feb 27, 2026
- Employees · 1 to 2May 17, 2025 to Feb 27, 2026
- State-registered IARs · 1 to 2May 17, 2025 to Feb 27, 2026
- Discretionary RAUM · $109M to $140MMay 17, 2025 to Feb 27, 2026
- HNW RAUM · $99.8M to $120MMay 17, 2025 to Feb 27, 2026
- Individual RAUM · $18.6M to $21.0MMay 17, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $9.1M to $1.3MMay 17, 2025 to Feb 27, 2026
- RAUM · $118M to $141MMay 17, 2025 to Feb 27, 2026
Signals
1 dated events
- J•••• M•• H••• left S•• C•••• F•••••••• for Captrust (registered 2023-04-13)Feb 24, 2023 · Advisor changed firm · 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
- 916-780-1656reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 916-780-1848reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- d•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (916) 780-1848reportedpublic record, Form ADV, Feb 27, 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
- $70.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026