DFX Intelligence

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G••••• F•••••••• A•••••••• I••

Independent wealth managerSEC-registered· Folsom, Californiawebsite

Independent wealth manager, based in Folsom, California, reporting $178M of regulatory assets across 2 registered advisors.

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

As of 2026-02-23 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $178M
Advisors: 2
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +11%
Private clients: 95% of RAUM, $169M

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-02-23 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 23 Feb 2026, RAUM $160M to $178M (+11.2%) on the Form ADV filed 23 Feb 2026, while advisors on the filing rose 2 to 2.

Every filed figure, and the identifiersCRD 157329 · SEC 801-72295 · 24 filingsShow

CRD 157329SEC 801-72295First filing on the tape Mar 13, 2012, latest Feb 23, 2026SEC status approved since Apr 27, 2011IAPD

RAUM

$178M

reported, Item 5.F

Discretionary

97%

of RAUM

Private clients

95%

$169M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$88.9M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

24 filings and snapshots on the tape

RAUM +8.4% a year over three years · the tape starts Mar 13, 2012

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

RAUM$178M as of Feb 23, 2026

Sep 4, 2012$90.9M then

HNW client RAUM$133M as of Feb 23, 2026

Sep 28, 2018$78.5M then

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

Sep 4, 20120 then

Employees (5.A)4 as of Feb 23, 2026

Sep 24, 20133 then

Private funds: no history

RAUM +11% over the last fiscal year+8.4% a year over threeIARs 2 to 2

Practice profile

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

Archetypes

The rule behind each archetype, and every derived figure3 rulesShow

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: $88.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 90derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.1MderivedHNW RAUM over HNW clients
Average account: $538,582derivedRAUM over accounts (5.F.2.f)
Discretionary: 97%derivedof RAUM
Institutional: 4.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +11%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +35%derived
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

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

75% high-net-worth individuals, 20% individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

High-net-worth individuals$133M75%
Individuals$35.9M20%
Pension and profit-sharing plans$8.7M4.9%

Individual clients: 118reported
HNW clients: 62reported
Pension plan clients: 3reported
Charitable clients: 0reported
Accounts: 330reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.95 fund_share=0.0 institutional_share=0.05 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

G••••• E••••• G••••• from A••••••••• P••••••• I••••••••• A••••••• I••
Feb 10, 2012 · 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
G••••• E••••• G•••••Certified Financial Planner	Folsom, Ca	Feb 10, 2012	31 y	3
K•••• A•••••• M•••••Certified Financial Planner	Folsom, Ca	Sep 24, 2013	13 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

G•••••• G•••••• E••••• · President / Chief Compliance Officercontrol
since 09/1995 · owns 75% or more
M•••••• K••••• A•••••• · Membercontrol
since 06/2020 · owns 10% to 25%

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
Folsom, Ca · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 377 to 330
May 16, 2025 to Feb 23, 2026
HNW clients · 38 to 62
May 16, 2025 to Feb 23, 2026
Individual clients · 95 to 118
May 16, 2025 to Feb 23, 2026
Pension plan clients · 4 to 3
May 16, 2025 to Feb 23, 2026
Discretionary RAUM · $152M to $173M
May 16, 2025 to Feb 23, 2026

Full history · 80 changes

HNW RAUM · $116M to $133M
May 16, 2025 to Feb 23, 2026
Individual RAUM · $35.2M to $35.9M
May 16, 2025 to Feb 23, 2026
Non-discretionary RAUM · $8.1M to $5.0M
May 16, 2025 to Feb 23, 2026
Pension RAUM · $8.3M to $8.7M
May 16, 2025 to Feb 23, 2026
RAUM · $160M to $178M
May 16, 2025 to Feb 23, 2026
Financial planning clients · 51-100 to 51-100
Jan 31, 2025 to May 16, 2025
HNW clients · 35 to 38
Feb 15, 2024 to Jan 31, 2025
Individual clients · 99 to 95
Feb 15, 2024 to Jan 31, 2025
Discretionary RAUM · $141M to $152M
Feb 15, 2024 to Jan 31, 2025
HNW RAUM · $96.2M to $116M
Feb 15, 2024 to Jan 31, 2025
Individual RAUM · $144M to $35.2M
Feb 15, 2024 to Jan 31, 2025
Non-discretionary RAUM · $106M to $8.1M
Feb 15, 2024 to Jan 31, 2025
Pension RAUM · $7.1M to $8.3M
Feb 15, 2024 to Jan 31, 2025
RAUM · $247M to $160M
Feb 15, 2024 to Jan 31, 2025
Accounts · 134 to 377
Mar 9, 2023 to Feb 7, 2024
HNW clients · 37 to 35
Mar 9, 2023 to Feb 7, 2024
Individual clients · 93 to 99
Mar 9, 2023 to Feb 7, 2024
Discretionary RAUM · $133M to $141M
Mar 9, 2023 to Feb 7, 2024
HNW RAUM · $93.2M to $96.2M
Mar 9, 2023 to Feb 7, 2024
Individual RAUM · $40.0M to $144M
Mar 9, 2023 to Feb 7, 2024
Non-discretionary RAUM · $6.8M to $106M
Mar 9, 2023 to Feb 7, 2024
Pension RAUM · $6.3M to $7.1M
Mar 9, 2023 to Feb 7, 2024
RAUM · $140M to $247M
Mar 9, 2023 to Feb 7, 2024
Accounts · 142 to 134
Mar 22, 2022 to Mar 9, 2023
HNW clients · 30 to 37
Mar 22, 2022 to Mar 9, 2023
Individual clients · 108 to 93
Mar 22, 2022 to Mar 9, 2023
Discretionary RAUM · $144M to $133M
Mar 22, 2022 to Mar 9, 2023
HNW RAUM · $94.5M to $93.2M
Mar 22, 2022 to Mar 9, 2023
Individual RAUM · $50.5M to $40.0M
Mar 22, 2022 to Mar 9, 2023
Non-discretionary RAUM · $7.6M to $6.8M
Mar 22, 2022 to Mar 9, 2023
Pension RAUM · $6.8M to $6.3M
Mar 22, 2022 to Mar 9, 2023
RAUM · $152M to $140M
Mar 22, 2022 to Mar 9, 2023
Accounts · 143 to 142
Aug 6, 2021 to Mar 22, 2022
HNW clients · 40 to 30
Aug 6, 2021 to Mar 22, 2022
Individual clients · 99 to 108
Aug 6, 2021 to Mar 22, 2022
Discretionary RAUM · $129M to $144M
Aug 6, 2021 to Mar 22, 2022
HNW RAUM · $95.3M to $94.5M
Aug 6, 2021 to Mar 22, 2022
Individual RAUM · $34.5M to $50.5M
Aug 6, 2021 to Mar 22, 2022
Non-discretionary RAUM · $6.3M to $7.6M
Aug 6, 2021 to Mar 22, 2022
Pension RAUM · $6.0M to $6.8M
Aug 6, 2021 to Mar 22, 2022
RAUM · $136M to $152M
Aug 6, 2021 to Mar 22, 2022
Accounts · 151 to 143
Mar 10, 2021 to Mar 18, 2021
HNW clients · 35 to 40
Mar 10, 2021 to Mar 18, 2021
Individual clients · 103 to 99
Mar 10, 2021 to Mar 18, 2021
Discretionary RAUM · $112M to $129M
Mar 10, 2021 to Mar 18, 2021
HNW RAUM · $77.2M to $95.3M
Mar 10, 2021 to Mar 18, 2021
Individual RAUM · $35.8M to $34.5M
Mar 10, 2021 to Mar 18, 2021
Non-discretionary RAUM · $5.6M to $6.3M
Mar 10, 2021 to Mar 18, 2021
Pension RAUM · $4.6M to $6.0M
Mar 10, 2021 to Mar 18, 2021
RAUM · $118M to $136M
Mar 10, 2021 to Mar 18, 2021
Accounts · 140 to 151
May 28, 2020 to Sep 2, 2020
HNW clients · 36 to 35
May 28, 2020 to Sep 2, 2020
Individual clients · 100 to 103
May 28, 2020 to Sep 2, 2020
Pension plan clients · 3 to 4
May 28, 2020 to Sep 2, 2020
Pooled vehicle clients · 1 to 0
May 28, 2020 to Sep 2, 2020
Discretionary RAUM · $123M to $112M
May 28, 2020 to Sep 2, 2020
HNW RAUM · $78.0M to $77.2M
May 28, 2020 to Sep 2, 2020
Individual RAUM · $36.8M to $35.8M
May 28, 2020 to Sep 2, 2020
Non-discretionary RAUM · $0 to $5.6M
May 28, 2020 to Sep 2, 2020
Pension RAUM · $6.7M to $4.6M
May 28, 2020 to Sep 2, 2020
Pooled vehicle RAUM · 1055091.0 to unset
May 28, 2020 to Sep 2, 2020
RAUM · $123M to $118M
May 28, 2020 to Sep 2, 2020
Accounts · 370 to 140
Sep 28, 2018 to Sep 20, 2019
Individual clients · 97 to 100
Sep 28, 2018 to Sep 20, 2019
Pension plan clients · 5 to 3
Sep 28, 2018 to Sep 20, 2019
Pooled vehicle clients · 0 to 1
Sep 28, 2018 to Sep 20, 2019
Discretionary RAUM · $118M to $123M
Sep 28, 2018 to Sep 20, 2019
HNW RAUM · $78.5M to $78.0M
Sep 28, 2018 to Sep 20, 2019
Individual RAUM · $37.4M to $36.8M
Sep 28, 2018 to Sep 20, 2019
Non-discretionary RAUM · $5.3M to $0
Sep 28, 2018 to Sep 20, 2019
Pension RAUM · $7.8M to $6.7M
Sep 28, 2018 to Sep 20, 2019
Pooled vehicle RAUM · $0 to $1.1M
Sep 28, 2018 to Sep 20, 2019
RAUM · $124M to $123M
Sep 28, 2018 to Sep 20, 2019
Accounts · 371 to 370
Sep 18, 2017 to Sep 28, 2018
Charity clients · unset to 0.0
Sep 18, 2017 to Sep 28, 2018

Signals

2 dated events

••• Locked
Feb 7, 2024 · RAUM change · derived
••• Locked
Sep 2, 2020 · Control person joined · 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: ••• 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, Feb 23, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Feb 23, 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: $88.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026