DFX Intelligence
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B•••••
Independent wealth manager, based in San Francisco, California, reporting $62.9M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $62.9M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +32%
- Private clients
- 100% of RAUM, $62.9M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $47.5MRAUM now $62.9M
- discretionary share of RAUM 0Peer median 1
- Contact points 2
Every filed figure, and the identifiersCRD 281813 · SEC 801-106798 · 28 filingsShowHide
CRD 281813SEC 801-106798Legal name P••••••••• I•••First filing on the tape Oct 9, 2015, latest Mar 31, 2026SEC status approved since Oct 16, 2015IAPD
RAUM
$62.9M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$62.9M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$62.9M
derived; firm RAUM over IAPD count
Employees
15
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$62.9M as of Mar 31, 2026
Mar 30, 2016$150,000 then
HNW client RAUM$0 as of Mar 31, 2026
Mar 22, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20161 then
Employees (5.A)15 as of Mar 31, 2026
Mar 30, 20161 then
Private funds: no history
RAUM +32% over the last fiscal year+25% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $62.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 14,482derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $3,368derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 15.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +22%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- otherreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$62.9M100%
- Individual clients
- 14,482reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 18,672reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• G•••••• E••••• L•• | San Francisco, Ca | Jul 22, 2016 | 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••• J•••••• G•••••• E••••• · Chief Executive Officer, Chief Compliance Officer, Shareholder (Common)controlsince 03/2015 · owns 25% to 50%
Entity owners
- W•••• L•• · Shareholder (Preferred)direct · owns 50% to 75%
- W••••• H••••••• I• L• · Owner And Managing Memberindirect · owns 50% to 75% of W•••• L••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 31, 2026discretionary share of RAUM of 0% against a peer median of 100% (309 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, under $100M (309) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 11,885 to 18,672Apr 2, 2025 to Mar 31, 2026
- Individual clients · 11,885 to 14,482Apr 2, 2025 to Mar 31, 2026
- Employees · 20 to 15Apr 2, 2025 to Mar 31, 2026
- State-registered IARs · 1 to 0Apr 2, 2025 to Mar 31, 2026
- Individual RAUM · $47.5M to $62.9MApr 2, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $47.5M to $62.9MApr 2, 2025 to Mar 31, 2026
- RAUM · $47.5M to $62.9MApr 2, 2025 to Mar 31, 2026
- Accounts · 12,416 to 11,885Feb 2, 2024 to Apr 2, 2025
- Individual clients · 12,416 to 11,885Feb 2, 2024 to Apr 2, 2025
- Financial planning clients · unset to Feb 2, 2024 to Apr 2, 2025
- Individual RAUM · $38.6M to $47.5MFeb 2, 2024 to Apr 2, 2025
- Non-discretionary RAUM · $38.6M to $47.5MFeb 2, 2024 to Apr 2, 2025
- RAUM · $38.6M to $47.5MFeb 2, 2024 to Apr 2, 2025
- Accounts · 11,670 to 12,416Mar 31, 2023 to Feb 2, 2024
- Individual clients · 11,670 to 12,416Mar 31, 2023 to Feb 2, 2024
- Employees · 15 to 20Mar 31, 2023 to Feb 2, 2024
- Individual RAUM · $32.1M to $38.6MMar 31, 2023 to Feb 2, 2024
- Non-discretionary RAUM · $32.1M to $38.6MMar 31, 2023 to Feb 2, 2024
- RAUM · $32.1M to $38.6MMar 31, 2023 to Feb 2, 2024
- Non-discretionary RAUM · $26.1M to $32.1MSep 27, 2022 to Mar 31, 2023
- RAUM · $26.1M to $32.1MSep 27, 2022 to Mar 31, 2023
- Accounts · 10,323 to 11,670Sep 27, 2022 to Mar 31, 2023
- Individual clients · 10,323 to 11,670Sep 27, 2022 to Mar 31, 2023
- Individual RAUM · $26.1M to $32.1MSep 27, 2022 to Mar 31, 2023
- Accounts · 9,526 to 10,323May 24, 2021 to Mar 30, 2022
- Business name · C••••••••• to B•••••May 24, 2021 to Mar 30, 2022
- Individual clients · 9,526 to 10,323May 24, 2021 to Mar 30, 2022
- Employees · 11 to 15May 24, 2021 to Mar 30, 2022
- Individual RAUM · $19.3M to $26.1MMay 24, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $19.3M to $26.1MMay 24, 2021 to Mar 30, 2022
- RAUM · $19.3M to $26.1MMay 24, 2021 to Mar 30, 2022
- Accounts · 8,462 to 9,526Mar 31, 2021 to May 24, 2021
- Individual clients · 8,462 to 9,526Mar 31, 2021 to May 24, 2021
- Individual RAUM · $17.3M to $19.3MMar 31, 2021 to May 24, 2021
- Non-discretionary RAUM · $17.3M to $19.3MMar 31, 2021 to May 24, 2021
- RAUM · $17.3M to $19.3MMar 31, 2021 to May 24, 2021
- Accounts · 6,027 to 8,462Jun 30, 2020 to Mar 31, 2021
- Individual clients · 6,027 to 8,462Jun 30, 2020 to Mar 31, 2021
- Employees · 8 to 11Jun 30, 2020 to Mar 31, 2021
- Individual RAUM · $5.3M to $17.3MJun 30, 2020 to Mar 31, 2021
Signals
2 dated events
- ••• LockedApr 2, 2020 · Control person left · inference
- ••• LockedOct 9, 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
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 31, 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
- $62.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026