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
E•••••••• C•••••• A•••••••• L••
Latest filing Jun 10, 2026
First filing on the tape Feb 5, 2024 · 19 filings
SEC status approved since Mar 8, 2024
RAUM
$215M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$202M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$35.8M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$215M as of Jun 10, 2026
Mar 20, 2024$152M then
HNW client RAUM$131M as of Jun 10, 2026
Mar 20, 2024$110M then
State-registered IARs (5.B.3)8 as of Jun 10, 2026
Mar 20, 20246 then
Employees (5.A)8 as of Jun 10, 2026
Mar 20, 20246 then
Private funds: no history
RAUM +28% over the last fiscal yearIARs 5 to 8offices 3 to 5
Practice profile
derived from the filing of Jun 10, 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
- RAUM per advisor
- $35.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $389,430derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.0derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +60%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -46%derived
- Compensation
- percentage of assets, hourly, fixed fees, subscriptionreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publications, educational seminarsreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$131M61%
- Individuals$71.2M33%
- Corporations and businesses$10.3M4.8%
- Pension and profit-sharing plans$1.7M0.8%
- Charitable organizations$362,0000.2%
- Individual clients
- 195reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 551reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• G••••• P••••••Chartered Financial Analyst | E••••••••, Wa | Mar 16, 2012 | 19 y | 3 |
| M••• G••••• V••••••• T••••• | Morgan Hill, Ca | Apr 20, 2018 | 24 y | 6 |
| R••••• B•••• H•••• | Medfield, Ma | Jan 7, 2020 | 33 y | 0 |
| G•••••• S•••• | San Francisco, Ca | Oct 22, 2020 | 25 y | 10 |
| C•••••• W••••••••• H••• | Lakewood, Co | Oct 18, 2023 | 27 y | 3 |
| J•••• M•••••• M•••••Chartered Financial Consultant | Morgan Hill, Ca | Sep 9, 2026 | 27 y | 3 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months1 left in 90 days1 joined in 90 daysdeparture rate 17% of current headcount2 left over 36 months
Left, latest
- E••• P••• B••••• to L•• F•••••••• L••Aug 19, 2026 · RIA to affiliated broker-dealer or bank
- D•••• D••••• M••••••• to H••••••• C•••••• A•••••••• L••Jan 7, 2025 · Other
Joined, latest
- J•••• M•••••• M••••• from I••••••••• A•••• M•••••••••Sep 9, 2026 · RIA to RIA
- E••• P••• B••••• from T•••••• A•••••••• L••Jun 27, 2024 · RIA to RIA
- C•••••• W••••••••• H••• from S••••• M•••••••••Oct 18, 2023 · RIA to RIA
- G•••••• S•••• from P•••••• F•••••• M••••••••• I••Oct 22, 2020 · Other
- D•••• D••••• M••••••• from S••••• M•••••••••May 17, 2019 · Other
- M••• G••••• V••••••• T••••• from S••••• M•••••••••Apr 20, 2018 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• J••••••• G••••• · Managing Member/Chief Compliance Officercontrolsince 12/2011 · 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 |
|---|---|---|---|---|---|
| E••••••••, Wa | 3 | 0 | 1 | ||
| Morgan Hill, Ca | 2 | 1 | 0 | ||
| Arvada, Co | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Morgan Hill, CA1 employees
- , 1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 27, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $167,704,000 to $214,576,000, advisors 5 to 8, private clients 450 to 244, offices 3 to 5 (2025-03-21 to 2026-03-27)peers: independent wealth managers, $100M to $500M (5,676)
- client count collapseChange between filings · filing Mar 27, 2026individual and HNW clients (Item 5.D) moved from 450.0 to 244.0 (-46.0%) between the annual amendments of 2025-03-21 and 2026-03-27; the peer median change was +3.0% (3309 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 2.0% percentile
- advisor count surgeChange between filings · filing Mar 27, 2026advisory representatives (Item 5.B.3) moved from 5.0 to 8.0 (+60.0%) between the annual amendments of 2025-03-21 and 2026-03-27; the peer median change was 0.0% (965 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 98% percentile
- office count surgeChange between filings · filing Mar 27, 2026offices other than the principal office (Item 1.F.5) moved from 3.0 to 5.0 (+67.0%) between the annual amendments of 2025-03-21 and 2026-03-27; the peer median change was 0.0% (450 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (450) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 450 to 551Jan 5, 2026 to Mar 27, 2026
- Advisory employees · 5 to 6Jan 5, 2026 to Mar 27, 2026
- HNW clients · 50 to 49Jan 5, 2026 to Mar 27, 2026
- Individual clients · 213 to 195Jan 5, 2026 to Mar 27, 2026
- Employees · 5 to 8Jan 5, 2026 to Mar 27, 2026
- State-registered IARs · 5 to 8Jan 5, 2026 to Mar 27, 2026
- Discretionary RAUM · $168M to $215MJan 5, 2026 to Mar 27, 2026
- HNW RAUM · $103M to $131MJan 5, 2026 to Mar 27, 2026
- Individual RAUM · $53.1M to $71.2MJan 5, 2026 to Mar 27, 2026
- Pension RAUM · $1.5M to $1.7MJan 5, 2026 to Mar 27, 2026
- RAUM · $168M to $215MJan 5, 2026 to Mar 27, 2026
- Individual clients · 400 to 213Jul 22, 2025 to Nov 25, 2025
- Related adviser · false to trueJul 22, 2025 to Nov 25, 2025
- Related insurance company · false to trueJul 22, 2025 to Nov 25, 2025
- Financial planning clients · 1-10 to 1-10Jun 26, 2025 to Jul 22, 2025
- Other offices · 3 to 5Jun 26, 2025 to Jul 22, 2025
- Advisory employees · 6 to 5Mar 3, 2025 to Mar 21, 2025
- HNW clients · 41 to 50Mar 3, 2025 to Mar 21, 2025
- Individual clients · 180 to 400Mar 3, 2025 to Mar 21, 2025
- Employees · 8 to 5Mar 3, 2025 to Mar 21, 2025
- State-registered IARs · 6 to 5Mar 3, 2025 to Mar 21, 2025
- Accounts · 401 to 450Dec 12, 2024 to Mar 3, 2025
- HNW clients · 55 to 41Dec 12, 2024 to Mar 3, 2025
- Individual clients · 143 to 180Dec 12, 2024 to Mar 3, 2025
- Employees · 6 to 8Dec 12, 2024 to Mar 3, 2025
- Insurance-licensed employees · 2 to 1Dec 12, 2024 to Mar 3, 2025
- HQ city · unset to Dec 12, 2024 to Mar 3, 2025
- HQ state · unset to Dec 12, 2024 to Mar 3, 2025
- Discretionary RAUM · $152M to $168MDec 12, 2024 to Mar 3, 2025
- HNW RAUM · $110M to $103MDec 12, 2024 to Mar 3, 2025
- Individual RAUM · $30.9M to $53.1MDec 12, 2024 to Mar 3, 2025
- Pension RAUM · $1.8M to $1.5MDec 12, 2024 to Mar 3, 2025
- RAUM · $152M to $168MDec 12, 2024 to Mar 3, 2025
- Individual clients · 43 to 143Mar 25, 2024 to Apr 18, 2024
- Charity clients · 2.0 to unsetMar 20, 2024 to Mar 22, 2024
- Corporate clients · 2.0 to unsetMar 20, 2024 to Mar 22, 2024
- Pension plan clients · 1.0 to unsetMar 20, 2024 to Mar 22, 2024
- Accounts · 219 to 401Feb 5, 2024 to Mar 20, 2024
- Advisory employees · 5 to 6Feb 5, 2024 to Mar 20, 2024
- Charity clients · 1 to 2Feb 5, 2024 to Mar 20, 2024
Signals
3 dated events
- E••• P••• B••••• left E•••••••• C•••••• A•••••••• L•• for L•• F•••••••• L•• (registered 2026-07-17)Aug 19, 2026 · Advisor changed firm · fact
- D•••• D••••• M••••••• left E•••••••• C•••••• A•••••••• L•• for H••••••• C•••••• A•••••••• L•• (registered 2024-10-21)Jan 7, 2025 · Advisor changed firm · fact
- E•••••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Feb 5, 2024 · 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
- 408-778-8280reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- H•••://www.linkedin.com/company/capital-advisor-360reportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/advisors360reportedpublic record, Form ADV, Sep 18, 2026
- Website
- advisors360pwm.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 360-317-4688reportedpublic record, Form ADV, Jun 10, 2026
- Contact form
- advisors360pwm.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $35.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026