DFX Intelligence

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SEC-registered adviser

C•••• W••••• M•••••••••

Independent wealth managerSan Ramon, CaliforniaCRD 173885SEC 801-123607IAPD

Legal name C•••• C••••••••• W••••• M••••••••• I•••

Latest filing Feb 10, 2026

First filing on the tape Mar 2, 2015 · 13 filings

SEC status approved since Apr 4, 2022

RAUM

$223M

reported, Item 5.F

Discretionary

97%

of RAUM

Private clients

96%

$215M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$111M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

13 filings and snapshots on the tape

RAUM$223M as of Feb 10, 2026

Mar 15, 2023$101M then

HNW client RAUM$195M as of Feb 10, 2026

Mar 15, 2023$84.0M then

State-registered IARs (5.B.3)2 as of Feb 10, 2026

Mar 15, 20231 then

Employees (5.A)3 as of Feb 10, 2026

Mar 15, 20233 then

Private funds: no history

RAUM +44% over the last fiscal year+30% a year over threeIARs 1 to 2

Practice profile

derived from the filing of Feb 10, 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
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $111MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 49derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.2MderivedHNW RAUM over HNW clients
Average account: $787,343derivedRAUM over accounts (5.F.2.f)
Discretionary: 97%derivedof RAUM
Institutional: 3.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +44%derivedbetween the last two annual amendments
Advisor growth, one year: +100%derivedItem 5.B.3 between annual amendments
Client growth, one year: +10%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Wrap fee program: $176MreportedItem 5.I
Custody: $109M, 38 clientsreportedItem 9.A
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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$195M88%
Individuals$19.4M8.7%
Pension and profit-sharing plans$8.3M3.7%

Individual clients: 52reported
HNW clients: 46reported
Pension plan clients: 4reported
Charitable clients: n/areported
Accounts: 283reported
Financial planning clients: 0reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: $109M for 38 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

2 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
J•••• C••••••••• C••••Certified Financial Planner	San Ramon, Ca	Mar 23, 2015	24 y	1
G•••• C••••••••• C••••	San Ramon, Ca	Jun 30, 2025	11 y	0

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

J•••• C••••••••• C•••• from L•• F•••••••• L••
Mar 23, 2015 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C••••• J••••• C••••••••• · President & Chief Compliance Officercontrol
since 03/2015 · 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
San Ramon, Ca · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

2 against comparable advisers; where to look, not conclusions

RAUM up 25 %Change between filings · filing Feb 10, 2026
RAUM (Item 5.F) moved from $154,990,000 to $222,818,000 (+44.0%) between the annual amendments of 2025-02-05 and 2026-02-10; the peer median change was +15.0% (4548 comparable advisers, 94.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (4,548) · 94% percentile
affiliate changedChange between filings · filing Feb 10, 2026
broker-dealer affiliate (Item 7.A.1): yes on the filing of 2025-02-05, no on the filing of 2026-02-10
peers: independent wealth managers, $100M to $500M (5,679)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 256 to 283
Feb 5, 2025 to Feb 10, 2026
Advisory employees · 1 to 2
Feb 5, 2025 to Feb 10, 2026
BD registered reps · 1 to 0
Feb 5, 2025 to Feb 10, 2026
HNW clients · 43 to 46
Feb 5, 2025 to Feb 10, 2026
Individual clients · 46 to 52
Feb 5, 2025 to Feb 10, 2026
Assets in custody · $149M to $109M
Feb 5, 2025 to Feb 10, 2026
Employees · 2 to 3
Feb 5, 2025 to Feb 10, 2026
State-registered IARs · 1 to 2
Feb 5, 2025 to Feb 10, 2026
Discretionary RAUM · $149M to $215M
Feb 5, 2025 to Feb 10, 2026
HNW RAUM · $132M to $195M
Feb 5, 2025 to Feb 10, 2026
Individual RAUM · $15.9M to $19.4M
Feb 5, 2025 to Feb 10, 2026
Non-discretionary RAUM · $6.2M to $7.5M
Feb 5, 2025 to Feb 10, 2026
Pension RAUM · $6.8M to $8.3M
Feb 5, 2025 to Feb 10, 2026
RAUM · $155M to $223M
Feb 5, 2025 to Feb 10, 2026
Related broker-dealer · true to false
Feb 5, 2025 to Feb 10, 2026
Accounts · 245 to 256
Mar 13, 2024 to Feb 5, 2025
HNW clients · 42 to 43
Mar 13, 2024 to Feb 5, 2025
Individual clients · 45 to 46
Mar 13, 2024 to Feb 5, 2025
Assets in custody · unset to 148760000.0
Mar 13, 2024 to Feb 5, 2025
Custody of client assets · false to true
Mar 13, 2024 to Feb 5, 2025
Financial planning clients · 0 to 0
Mar 13, 2024 to Feb 5, 2025
Discretionary RAUM · $127M to $149M
Mar 13, 2024 to Feb 5, 2025
HNW RAUM · $111M to $132M
Mar 13, 2024 to Feb 5, 2025
Individual RAUM · $13.5M to $15.9M
Mar 13, 2024 to Feb 5, 2025
Non-discretionary RAUM · $4.8M to $6.2M
Mar 13, 2024 to Feb 5, 2025
Pension RAUM · $7.3M to $6.8M
Mar 13, 2024 to Feb 5, 2025
RAUM · $132M to $155M
Mar 13, 2024 to Feb 5, 2025
Wrap assets (manager) · $100M to $0
Mar 13, 2024 to Feb 5, 2025
Wrap assets (sponsor) · $100M to $0
Mar 13, 2024 to Feb 5, 2025
Accounts · 238 to 245
Nov 20, 2023 to Mar 13, 2024
HNW clients · 40 to 42
Nov 20, 2023 to Mar 13, 2024
Individual clients · 48 to 45
Nov 20, 2023 to Mar 13, 2024
Employees · 3 to 2
Nov 20, 2023 to Mar 13, 2024
Discretionary RAUM · $97.2M to $127M
Nov 20, 2023 to Mar 13, 2024
HNW RAUM · $84.0M to $111M
Nov 20, 2023 to Mar 13, 2024
Individual RAUM · $11.2M to $13.5M
Nov 20, 2023 to Mar 13, 2024
Non-discretionary RAUM · $3.8M to $4.8M
Nov 20, 2023 to Mar 13, 2024
Pension RAUM · $5.8M to $7.3M
Nov 20, 2023 to Mar 13, 2024
RAUM · $101M to $132M
Nov 20, 2023 to Mar 13, 2024
Wrap assets (manager) · $84.1M to $100M
Nov 20, 2023 to Mar 13, 2024

Signals

1 dated events

••• Locked
Mar 2, 2015 · 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

Principal office phone: (925) 406-4186reportedpublic record, Form ADV, Feb 10, 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: $111Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026