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.
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SEC-registered adviser
N•••• B•• W••••• M•••••••••
Latest filing Mar 2, 2026
First filing on the tape May 23, 2025 · 3 filings
SEC status approved since May 9, 2025
RAUM
$107M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
93%
$99.7M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$53.7M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$107M as of Mar 2, 2026
May 23, 2025$102M then
HNW client RAUM$58.6M as of Mar 2, 2026
May 23, 2025$59.5M then
State-registered IARs (5.B.3)2 as of Mar 2, 2026
May 23, 20251 then
Employees (5.A)2 as of Mar 2, 2026
May 23, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 2, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $53.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $315,713derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 6.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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 assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $21.2M, 50 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$58.6M55%
- Individuals$41.2M38%
- Pension and profit-sharing plans$7.0M6.5%
- Corporations and businesses$575,9540.5%
- Individual clients
- 104reported
- HNW clients
- 29reported
- Pension plan clients
- 5reported
- Charitable clients
- 0reported
- Accounts
- 340reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $21.2M for 50 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 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 |
|---|---|---|---|---|
| P•••• M•••••• T•••••••Certified Financial Planner | Petaluma, Ca | Nov 17, 2016 | 12 y | 1 |
| J••••••• J••••••• A••••• | Petaluma, Ca | Jun 18, 2025 | 15 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
- P•••• M•••••• T••••••• from B••••••• • C••••••• L••Nov 17, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••••• P••••• M•••••• · Owner, Chief Compliance Officercontrolsince 09/2016 · 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 |
|---|---|---|---|---|---|
| Petaluma, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 2, 2026custody of client assets (Item 9.A): no on the filing of 2025-07-14, yes on the filing of 2026-03-02peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 334 to 340Jul 14, 2025 to Mar 2, 2026
- Corporate clients · 2 to 0Jul 14, 2025 to Mar 2, 2026
- HNW clients · 28 to 29Jul 14, 2025 to Mar 2, 2026
- Individual clients · 103 to 104Jul 14, 2025 to Mar 2, 2026
- Pension plan clients · 0 to 5Jul 14, 2025 to Mar 2, 2026
- Pooled vehicle clients · 5 to 0Jul 14, 2025 to Mar 2, 2026
- Assets in custody · unset to 21213773.0Jul 14, 2025 to Mar 2, 2026
- Custody of client assets · false to trueJul 14, 2025 to Mar 2, 2026
- Financial planning clients · 51-100 to 26-50Jul 14, 2025 to Mar 2, 2026
- Discretionary RAUM · $96.0M to $100MJul 14, 2025 to Mar 2, 2026
- HNW RAUM · $59.5M to $58.6MJul 14, 2025 to Mar 2, 2026
- Individual RAUM · $36.0M to $41.2MJul 14, 2025 to Mar 2, 2026
- Non-discretionary RAUM · $6.1M to $7.0MJul 14, 2025 to Mar 2, 2026
- Pension RAUM · $0 to $7.0MJul 14, 2025 to Mar 2, 2026
- Pooled vehicle RAUM · $6.1M to $0Jul 14, 2025 to Mar 2, 2026
- RAUM · $102M to $107MJul 14, 2025 to Mar 2, 2026
- Advisory employees · 1 to 2May 23, 2025 to Jul 14, 2025
- Employees · 1 to 2May 23, 2025 to Jul 14, 2025
- Financial planning clients · 51-100 to 51-100May 23, 2025 to Jul 14, 2025
- State-registered IARs · 1 to 2May 23, 2025 to Jul 14, 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
- info@northbaywealth.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 707-971-7069reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 707-971-7069reportedpublic record, Form ADV, Mar 2, 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
- $53.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026