DFX Intelligence

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W••••••• W••••• M••••••••• L••

Independent wealth managerSEC-registered· Mountain View, Californiawebsite

Independent wealth manager, based in Mountain View, California, reporting $201M of regulatory assets across 2 registered advisors.

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

As of 2026-01-23 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $201M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: +37%
Private clients: 100%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-01-23 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 23 Jan 2026, RAUM $147M to $201M (+36.8%) on the Form ADV filed 23 Jan 2026, while advisors on the filing held at 2.

Every filed figure, and the identifiersCRD 156023 · SEC 801-123471 · 11 filingsShow

CRD 156023SEC 801-123471First filing on the tape Nov 15, 2011, latest Jan 23, 2026SEC status approved since Mar 17, 2022IAPD

RAUM

$201M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$201M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$101M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

11 filings and snapshots on the tape

RAUM +23% a year over three years · the tape starts Nov 15, 2011

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

RAUM$201M as of Jan 23, 2026

Feb 6, 2012$30.9M then

HNW client RAUM$182M as of Jan 23, 2026

Jan 11, 2023$102M then

State-registered IARs (5.B.3)2 as of Jan 23, 2026

Feb 6, 20120 then

Employees (5.A)2 as of Jan 23, 2026

Jan 11, 20232 then

Private funds: no history

RAUM +37% over the last fiscal year+23% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Jan 23, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $101MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 57derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.6MderivedHNW RAUM over HNW clients
Average account: $560,312derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +37%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -1.7%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 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

91% high-net-worth individuals, 9.5% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$182M91%
Individuals$19.1M9.5%

Individual clients: 44reported
HNW clients: 70reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 359reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% 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

M••••• B••••• from M••••• T••••• W••••• M•••••••••
Apr 11, 2011 · Other

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
M••••• B•••••	Mountain View, Ca	Apr 11, 2011	31 y	1
D•••• R•••• W•••••••	Mountain View, Ca	Oct 26, 2015	12 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B•••••• M••••• · Managing Member & Chief Compliance Officercontrol
since 12/2010 · owns 75% or more

Related persons

Schedule D 7.A

B••••• • C••••••• C•••••••• P••••• A••••••••• A• P••••••••• C•••••••••
insurancey

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Mountain View, Ca · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

RAUM up 25 %Change between filings · filing Jan 23, 2026
RAUM (Item 5.F) moved from $147,063,828 to $201,152,058 (+37.0%) between the annual amendments of 2025-01-21 and 2026-01-23; the peer median change was +15.0% (4546 comparable advisers, 91.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (4,546) · 91% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Individual clients · 46 to 44
Jan 21, 2025 to Jan 23, 2026
Discretionary RAUM · $147M to $201M
Jan 21, 2025 to Jan 23, 2026
HNW RAUM · $138M to $182M
Jan 21, 2025 to Jan 23, 2026
Individual RAUM · $8.9M to $19.1M
Jan 21, 2025 to Jan 23, 2026
RAUM · $147M to $201M
Jan 21, 2025 to Jan 23, 2026

Full history · 51 changes

Accounts · 339 to 359
Oct 29, 2024 to Jan 21, 2025
HNW clients · 68 to 70
Oct 29, 2024 to Jan 21, 2025
Financial planning clients · 0 to 0
Oct 29, 2024 to Jan 21, 2025
Discretionary RAUM · $122M to $147M
Oct 29, 2024 to Jan 21, 2025
HNW RAUM · $111M to $138M
Oct 29, 2024 to Jan 21, 2025
Individual RAUM · $10.9M to $8.9M
Oct 29, 2024 to Jan 21, 2025
RAUM · $122M to $147M
Oct 29, 2024 to Jan 21, 2025
Accounts · 326 to 339
Jan 11, 2023 to Jan 18, 2024
HNW clients · 76 to 68
Jan 11, 2023 to Jan 18, 2024
Individual clients · 33 to 46
Jan 11, 2023 to Jan 18, 2024
Discretionary RAUM · $106M to $122M
Jan 11, 2023 to Jan 18, 2024
HNW RAUM · $102M to $111M
Jan 11, 2023 to Jan 18, 2024
Individual RAUM · $6.7M to $10.9M
Jan 11, 2023 to Jan 18, 2024
Non-discretionary RAUM · $2.1M to $0
Jan 11, 2023 to Jan 18, 2024
RAUM · $108M to $122M
Jan 11, 2023 to Jan 18, 2024
Accounts · 328 to 326
Feb 15, 2022 to Jan 11, 2023
HNW clients · 71 to 76
Feb 15, 2022 to Jan 11, 2023
Individual clients · 24 to 33
Feb 15, 2022 to Jan 11, 2023
Discretionary RAUM · $117M to $106M
Feb 15, 2022 to Jan 11, 2023
HNW RAUM · $114M to $102M
Feb 15, 2022 to Jan 11, 2023
Individual RAUM · $5.7M to $6.7M
Feb 15, 2022 to Jan 11, 2023
Non-discretionary RAUM · $2.5M to $2.1M
Feb 15, 2022 to Jan 11, 2023
RAUM · $120M to $108M
Feb 15, 2022 to Jan 11, 2023
Accounts · 124 to 328
Feb 6, 2012 to Feb 15, 2022
Advisory employees · unset to 2.0
Feb 6, 2012 to Feb 15, 2022
Advisory activities · 3 to 2
Feb 6, 2012 to Feb 15, 2022
HNW clients · unset to 71.0
Feb 6, 2012 to Feb 15, 2022
Individual clients · unset to 24.0
Feb 6, 2012 to Feb 15, 2022
Employees · unset to 2.0
Feb 6, 2012 to Feb 15, 2022
Financial planning clients · 1-10 to 0
Feb 6, 2012 to Feb 15, 2022
State-registered IARs · 0 to 2
Feb 6, 2012 to Feb 15, 2022
Other offices · unset to 0.0
Feb 6, 2012 to Feb 15, 2022
Discretionary RAUM · $30.9M to $117M
Feb 6, 2012 to Feb 15, 2022
HNW RAUM · unset to 114031837.0
Feb 6, 2012 to Feb 15, 2022
Individual RAUM · unset to 5650530.0
Feb 6, 2012 to Feb 15, 2022
Non-discretionary RAUM · $0 to $2.5M
Feb 6, 2012 to Feb 15, 2022
RAUM · $30.9M to $120M
Feb 6, 2012 to Feb 15, 2022
Accounts · 129 to 124
Dec 21, 2011 to Feb 6, 2012
Advisory activities · 4 to 3
Dec 21, 2011 to Feb 6, 2012
Financial planning clients · 0 to 1-10
Dec 21, 2011 to Feb 6, 2012
Discretionary RAUM · $35.4M to $30.9M
Dec 21, 2011 to Feb 6, 2012
RAUM · $35.4M to $30.9M
Dec 21, 2011 to Feb 6, 2012
Accounts · 162 to 129
Nov 28, 2011 to Dec 21, 2011
Discretionary RAUM · $45.2M to $35.4M
Nov 28, 2011 to Dec 21, 2011
RAUM · $45.2M to $35.4M
Nov 28, 2011 to Dec 21, 2011
Insurance-licensed employees · unset to 0.0
Nov 15, 2011 to Nov 23, 2011

Signals

2 dated events

••• Locked
Feb 15, 2022 · First SEC registration · fact
••• Locked
Feb 15, 2022 · Control person left · inference

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: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Jan 23, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jan 23, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Team page: ••• 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: $101Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026