DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S•••••• • M•••••• L••
Latest filing Mar 5, 2026
First filing on the tape Mar 4, 2016 · 30 filings
SEC status approved since Jun 1, 2018
RAUM
$753M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
84%
$630M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$251M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$753M as of Mar 5, 2026
Feb 25, 2019$307M then
HNW client RAUM$357M as of Mar 5, 2026
Mar 3, 2020$222M then
State-registered IARs (5.B.3)3 as of Mar 5, 2026
Feb 25, 20193 then
Employees (5.A)3 as of Mar 5, 2026
Feb 25, 20195 then
Private funds: no history
RAUM +20% over the last fiscal year+21% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 5, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- 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
- $251MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 209derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $479,070derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.0%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
- $709MreportedItem 5.I
- Custody
- $600M, 700 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$357M47%
- Individuals$272M36%
- Pension and profit-sharing plans$58.7M7.8%
- Corporations and businesses$42.6M5.7%
- Charitable organizations$21.7M2.9%
- Individual clients
- 526reported
- HNW clients
- 101reported
- Pension plan clients
- 25reported
- Charitable clients
- 7reported
- Accounts
- 1,571reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $600M for 700 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.11 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 |
|---|---|---|---|---|
| R•••• A•• M••••• | Chico, Ca | Mar 31, 2016 | 22 y | 1 |
| J••••• D••••• S••••••Certified Financial Planner | Chico, Ca | Mar 31, 2016 | 16 y | 1 |
| K•••• J••• | Chico, Ca | Jul 6, 2020 | 14 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
- R•••• A•• M••••• from C••••• A•••••• N••••••• L••Mar 31, 2016 · Other
- J••••• D••••• S•••••• from C••••• A•••••• N••••••• L••Mar 31, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C••••• A•••••• N••••••• L••Dec 31, 2018 · Chico, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• R••••• A•• · Managing Member/Chief Compliance Officercontrolsince 03/2016 · owns 50% to 75%
- S••••••• J•••••• D••••• · Managing Membercontrolsince 03/2016 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Chico, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,418 to 1,571Mar 31, 2025 to Mar 5, 2026
- Charity clients · 6 to 7Mar 31, 2025 to Mar 5, 2026
- Corporate clients · 27 to 29Mar 31, 2025 to Mar 5, 2026
- Individual clients · 485 to 526Mar 31, 2025 to Mar 5, 2026
- Pension plan clients · 10 to 25Mar 31, 2025 to Mar 5, 2026
- Assets in custody · $561M to $600MMar 31, 2025 to Mar 5, 2026
- Employees · 5 to 3Mar 31, 2025 to Mar 5, 2026
- Financial planning clients · 0 to 1-10Mar 31, 2025 to Mar 5, 2026
- Discretionary RAUM · $552M to $732MMar 31, 2025 to Mar 5, 2026
- HNW RAUM · $313M to $357MMar 31, 2025 to Mar 5, 2026
- Individual RAUM · $193M to $272MMar 31, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $73.6M to $21.1MMar 31, 2025 to Mar 5, 2026
- Pension RAUM · $63.5M to $58.7MMar 31, 2025 to Mar 5, 2026
- RAUM · $626M to $753MMar 31, 2025 to Mar 5, 2026
- Accounts · 1,602 to 1,418Mar 12, 2024 to Mar 31, 2025
- Advisory employees · 4 to 3Mar 12, 2024 to Mar 31, 2025
- Charity clients · 5 to 6Mar 12, 2024 to Mar 31, 2025
- HNW clients · 107 to 101Mar 12, 2024 to Mar 31, 2025
- Individual clients · 775 to 485Mar 12, 2024 to Mar 31, 2025
- Pension plan clients · 25 to 10Mar 12, 2024 to Mar 31, 2025
- Assets in custody · unset to 561410678.0Mar 12, 2024 to Mar 31, 2025
- Custody of client assets · false to trueMar 12, 2024 to Mar 31, 2025
- Employees · 6 to 5Mar 12, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 0Mar 12, 2024 to Mar 31, 2025
- State-registered IARs · 4 to 3Mar 12, 2024 to Mar 31, 2025
- Discretionary RAUM · $509M to $552MMar 12, 2024 to Mar 31, 2025
- HNW RAUM · $302M to $313MMar 12, 2024 to Mar 31, 2025
- Individual RAUM · $155M to $193MMar 12, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $48.8M to $73.6MMar 12, 2024 to Mar 31, 2025
- Pension RAUM · $45.7M to $63.5MMar 12, 2024 to Mar 31, 2025
- RAUM · $558M to $626MMar 12, 2024 to Mar 31, 2025
- Accounts · 1,095 to 1,602Nov 16, 2023 to Mar 12, 2024
- Advisory employees · 3 to 4Nov 16, 2023 to Mar 12, 2024
- Corporate clients · 11 to 27Nov 16, 2023 to Mar 12, 2024
- HNW clients · 103 to 107Nov 16, 2023 to Mar 12, 2024
- Individual clients · 385 to 775Nov 16, 2023 to Mar 12, 2024
- Pension plan clients · 15 to 25Nov 16, 2023 to Mar 12, 2024
- Employees · 4 to 6Nov 16, 2023 to Mar 12, 2024
- Discretionary RAUM · $423M to $509MNov 16, 2023 to Mar 12, 2024
- HNW RAUM · $270M to $302MNov 16, 2023 to Mar 12, 2024
Signals
3 dated events
- S•••••• • M•••••• L•• reported RAUM $557.5M, up 32% from $423.5M (2023-11-16 to 2024-03-12)Mar 12, 2024 · RAUM change · derived
- S•••••• • M•••••• L•• reported RAUM $306.9M, up 183% from $108.3M (2019-02-01 to 2019-02-25)Feb 25, 2019 · RAUM change · derived
- S•••••• • M•••••• L•• filed its initial SEC registration (Form ADV)Mar 4, 2016 · 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
- 530-342-2900reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 530-487-1777reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (530) 487-1777reportedpublic record, Form ADV, Mar 5, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $251Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026