DFX Intelligence
RIA Intelligence
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SEC-registered adviser
F•••••••• F•••••••• A•••••••• I•••
Latest filing Mar 12, 2026
First filing on the tape May 6, 2021 · 10 filings
SEC status approved since Jun 8, 2021
RAUM
$127M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$127M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$127M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$127M as of Mar 12, 2026
Apr 1, 2022$118M then
HNW client RAUM$59.1M as of Mar 12, 2026
Apr 1, 2022$47.9M then
State-registered IARs (5.B.3)1 as of Mar 12, 2026
Apr 1, 20222 then
Employees (5.A)3 as of Mar 12, 2026
Apr 1, 20222 then
Private funds: no history
RAUM +5.5% over the last fiscal year+5.6% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 12, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $127MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 247derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $251,036derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$68.2M54%
- High-net-worth individuals$59.1M46%
- Individual clients
- 213reported
- HNW clients
- 34reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 507reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $70.8M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• E•••• F••••••••Certified Financial Planner | Folsom, Ca | Feb 22, 2013 | 41 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
none on the tape
Joined, latest
- S••••• E•••• F•••••••• from F•••••••• F•••••••• A•••••••• I•••Feb 22, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••••• S•••••• E•••• · President/Chief Compliance Officercontrolsince 09/1995 · owns 75% or more
Related persons
Schedule D 7.A
- S••••• E•••• F••••••••investment advisery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 509 to 507Mar 13, 2025 to Mar 12, 2026
- BD registered reps · 3 to 1Mar 13, 2025 to Mar 12, 2026
- HNW clients · 25 to 34Mar 13, 2025 to Mar 12, 2026
- Individual clients · 218 to 213Mar 13, 2025 to Mar 12, 2026
- Employees · 4 to 3Mar 13, 2025 to Mar 12, 2026
- Discretionary RAUM · $121M to $127MMar 13, 2025 to Mar 12, 2026
- HNW RAUM · $50.2M to $59.1MMar 13, 2025 to Mar 12, 2026
- Individual RAUM · $70.4M to $68.2MMar 13, 2025 to Mar 12, 2026
- RAUM · $121M to $127MMar 13, 2025 to Mar 12, 2026
- Accounts · 505 to 509Mar 26, 2024 to Mar 13, 2025
- BD registered reps · 2 to 3Mar 26, 2024 to Mar 13, 2025
- HNW clients · 23 to 25Mar 26, 2024 to Mar 13, 2025
- Individual clients · 222 to 218Mar 26, 2024 to Mar 13, 2025
- Employees · 2 to 4Mar 26, 2024 to Mar 13, 2025
- Insurance-licensed employees · 1 to 0Mar 26, 2024 to Mar 13, 2025
- Financial planning clients · unset to 0Mar 26, 2024 to Mar 13, 2025
- State-registered IARs · 2 to 1Mar 26, 2024 to Mar 13, 2025
- Discretionary RAUM · $115M to $121MMar 26, 2024 to Mar 13, 2025
- HNW RAUM · $45.6M to $50.2MMar 26, 2024 to Mar 13, 2025
- Individual RAUM · $69.2M to $70.4MMar 26, 2024 to Mar 13, 2025
- RAUM · $115M to $121MMar 26, 2024 to Mar 13, 2025
- Related adviser · true to falseMar 26, 2024 to Mar 13, 2025
- Wrap assets (manager) · $70.1M to $70.8MMar 26, 2024 to Mar 13, 2025
- Accounts · 507 to 505Oct 26, 2023 to Mar 26, 2024
- HNW clients · 21 to 23Oct 26, 2023 to Mar 26, 2024
- Individual clients · 226 to 222Oct 26, 2023 to Mar 26, 2024
- Discretionary RAUM · $108M to $115MOct 26, 2023 to Mar 26, 2024
- HNW RAUM · $39.2M to $45.6MOct 26, 2023 to Mar 26, 2024
- Individual RAUM · $68.9M to $69.2MOct 26, 2023 to Mar 26, 2024
- RAUM · $108M to $115MOct 26, 2023 to Mar 26, 2024
- Wrap assets (manager) · $66.8M to $70.1MOct 26, 2023 to Mar 26, 2024
- Accounts · 522 to 507Jun 14, 2022 to Mar 29, 2023
- HNW clients · 26 to 21Jun 14, 2022 to Mar 29, 2023
- Discretionary RAUM · $118M to $108MJun 14, 2022 to Mar 29, 2023
- HNW RAUM · $47.9M to $39.2MJun 14, 2022 to Mar 29, 2023
- Individual RAUM · $69.9M to $68.9MJun 14, 2022 to Mar 29, 2023
- RAUM · $118M to $108MJun 14, 2022 to Mar 29, 2023
- Wrap assets (manager) · $56.6M to $66.8MJun 14, 2022 to Mar 29, 2023
- Accounts · 483 to 522Jan 6, 2022 to Apr 1, 2022
- HNW clients · 24 to 26Jan 6, 2022 to Apr 1, 2022
Signals
2 dated events
- Lynn Julie Hood (Chief Compliance Officer) no longer on Schedule A of F•••••••• F•••••••• A•••••••• I••• (listed 2023-10-26, absent 2024-03-26)Mar 26, 2024 · Control person left · inference
- F•••••••• F•••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)May 6, 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
- 916-351-9900reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 916-351-5900reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- f•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 916-351-9900reportedpublic record, Form ADV, Mar 12, 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
- $127Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026