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.
SEC-registered adviser
Pacific Excel Wealth Advisors, Inc.
Latest filing Aug 31, 2026
First filing on the tape Jun 20, 2025 · 5 filings
SEC status approved since Jul 21, 2025
RAUM
$111M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$109M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$36.9M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$111M as of Aug 31, 2026
Jun 20, 2025$0 then
HNW client RAUM$71.1M as of Aug 31, 2026
Jun 20, 2025$0 then
State-registered IARs (5.B.3)3 as of Aug 31, 2026
Jun 20, 20251 then
Employees (5.A)5 as of Aug 31, 2026
Jun 20, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 31, 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
- RAUM per advisor
- $36.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $963,394derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 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, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$71.1M64%
- Individuals$37.5M34%
- Pension and profit-sharing plans$2.1M1.9%
- Individual clients
- 65reported
- HNW clients
- 41reported
- Pension plan clients
- 9reported
- Charitable clients
- 0reported
- Accounts
- 115reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Chui-Wa Ripple Leung | Walnut Creek, Ca | May 27, 2021 | 21 y | 2 |
| Nathan Joel Sadowski | Walnut Creek, Ca | Jul 21, 2025 | 14 y | 2 |
| Maxwell Shambaugh Balbin | Walnut Creek, Ca | Aug 27, 2026 | 11 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Maxwell Shambaugh Balbin from Thrivent Investment Management Inc.Aug 27, 2026 · Affiliated broker-dealer or bank to independent RIA
- Nathan Joel Sadowski from J. W. Cole Advisors, Inc.Jul 21, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Walnut Creek, Ca · principal | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 1 to 3May 27, 2026 to Aug 31, 2026
- Employees · 3 to 5May 27, 2026 to Aug 31, 2026
- State-registered IARs · 1 to 3May 27, 2026 to Aug 31, 2026
- Other offices · 0 to 1May 27, 2026 to Aug 31, 2026
- Accounts · 132 to 115Oct 31, 2025 to Jan 22, 2026
- HNW clients · 34 to 41Oct 31, 2025 to Jan 22, 2026
- Individual clients · 89 to 65Oct 31, 2025 to Jan 22, 2026
- Financial planning clients · 0 to 1-10Oct 31, 2025 to Jan 22, 2026
- Discretionary RAUM · $103M to $111MOct 31, 2025 to Jan 22, 2026
- HNW RAUM · $34.0M to $71.1MOct 31, 2025 to Jan 22, 2026
- Individual RAUM · $69.0M to $37.5MOct 31, 2025 to Jan 22, 2026
- Pension RAUM · $0 to $2.1MOct 31, 2025 to Jan 22, 2026
- RAUM · $103M to $111MOct 31, 2025 to Jan 22, 2026
- Accounts · 0 to 132Jun 20, 2025 to Oct 31, 2025
- HNW clients · 0 to 34Jun 20, 2025 to Oct 31, 2025
- Individual clients · 0 to 89Jun 20, 2025 to Oct 31, 2025
- Pension plan clients · 0 to 9Jun 20, 2025 to Oct 31, 2025
- Financial planning clients · 0 to 0Jun 20, 2025 to Oct 31, 2025
- Organization form · Other (specify) to CorporationJun 20, 2025 to Oct 31, 2025
- Discretionary RAUM · $0 to $103MJun 20, 2025 to Oct 31, 2025
- HNW RAUM · $0 to $34.0MJun 20, 2025 to Oct 31, 2025
- Individual RAUM · $0 to $69.0MJun 20, 2025 to Oct 31, 2025
- RAUM · $0 to $103MJun 20, 2025 to Oct 31, 2025
- Wrap assets (manager) · 0.0 to unsetJun 20, 2025 to Oct 31, 2025
- Wrap assets (sponsor) · 0.0 to unsetJun 20, 2025 to Oct 31, 2025
Signals
No event on the tape.
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
- admin@pacificexcel.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- support@pacificexcel.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 925-464-7445reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- pacificexcel.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (925) 464-7445reportedpublic record, Form ADV, Aug 31, 2026
- Contact form
- pacificexcel.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- pacificexcel.com/our-teamreportedpublished 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
- $36.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026