DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

F••••• • W•••• W••••• M••••••••• L••

Independent wealth managerSEC-registered· Danville, Californiawebsite

Independent wealth manager, based in Danville, California, reporting $250M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-04 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $250M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +8.1%
Private clients: 99%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-03-04 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 4 Mar 2026, RAUM $232M to $250M (+8.1%) on the Form ADV filed 4 Mar 2026, while advisors on the filing rose 1 to 1 and offices fell 1 to 0.

Every filed figure, and the identifiersCRD 286079 · SEC 801-108777 · 22 filingsShow

CRD 286079SEC 801-108777First filing on the tape Nov 30, 2016, latest Mar 4, 2026SEC status approved since Dec 16, 2016IAPD

RAUM

$250M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

99%

$249M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$250M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

22 filings and snapshots on the tape

RAUM +10% a year over three years · the tape starts Nov 30, 2016

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$250M as of Mar 4, 2026

Jan 18, 2017$0 then

HNW client RAUM$185M as of Mar 4, 2026

Feb 5, 2018$77.5M then

State-registered IARs (5.B.3)1 as of Mar 4, 2026

Jan 18, 20172 then

Employees (5.A)1 as of Mar 4, 2026

Jan 18, 20174 then

Private funds: no history

RAUM +8.1% over the last fiscal year+10% a year over threeIARs 1 to 1offices 1 to 0

Practice profile

derived from the filing of Mar 4, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $250MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 300derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.2MderivedHNW RAUM over HNW clients
Average account: $447,038derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +8.1%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +21%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody: $62.2M, 140 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

74% high-net-worth individuals, 25% individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

High-net-worth individuals$185M74%
Individuals$63.5M25%
Corporations and businesses$1.5M0.6%

Individual clients: 148reported
HNW clients: 152reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 560reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $62.2M for 140 clientsreported
Compensation: % of AUMreported
Class basis: private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

B••• M•••••• F••••• from B••• M•••••• F•••••
Jan 9, 2017 · Other

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
B••• M•••••• F•••••Certified Financial Planner	Danville, Ca	Jan 10, 2006	20 y	1

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

F•••••• B•••• M•••••• · Trustee & Chief Compliance Officercontrol
since 01/2017 · owns less than 5%
F•••••• S•••• · Trusteecontrol
since 10/2008 · owns less than 5%

Entity owners

B••• F••••• • S•••• F••••• R•••••••• T•••• 1••••••••• · Managing Member
direct · owns 75% or more

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

business activity changedChange between filings · filing Mar 4, 2026
selection of other advisers (Item 5.G.7): yes on the filing of 2025-03-27, no on the filing of 2026-03-04
peers: independent wealth managers, $100M to $500M (5,682)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 550 to 560
Mar 27, 2025 to Mar 4, 2026
Advisory activities · 3 to 2
Mar 27, 2025 to Mar 4, 2026
Corporate clients · 2.0 to unset
Mar 27, 2025 to Mar 4, 2026
HNW clients · 125 to 152
Mar 27, 2025 to Mar 4, 2026
Individual clients · 123 to 148
Mar 27, 2025 to Mar 4, 2026

Full history · 80 changes

Assets in custody · $58.1M to $62.2M
Mar 27, 2025 to Mar 4, 2026
Employees · 2 to 1
Mar 27, 2025 to Mar 4, 2026
Insurance-licensed employees · 0 to 1
Mar 27, 2025 to Mar 4, 2026
Other offices · 1 to 0
Mar 27, 2025 to Mar 4, 2026
Discretionary RAUM · $232M to $250M
Mar 27, 2025 to Mar 4, 2026
HNW RAUM · $155M to $185M
Mar 27, 2025 to Mar 4, 2026
Individual RAUM · $75.0M to $63.5M
Mar 27, 2025 to Mar 4, 2026
RAUM · $232M to $250M
Mar 27, 2025 to Mar 4, 2026
Corporate clients · 5 to 2
Oct 18, 2024 to Mar 27, 2025
HNW clients · 95 to 125
Oct 18, 2024 to Mar 27, 2025
Individual clients · 201 to 123
Oct 18, 2024 to Mar 27, 2025
Assets in custody · $48.5M to $58.1M
Oct 18, 2024 to Mar 27, 2025
Financial planning clients · unset to
Oct 18, 2024 to Mar 27, 2025
Other offices · 0 to 1
Oct 18, 2024 to Mar 27, 2025
Discretionary RAUM · $219M to $232M
Oct 18, 2024 to Mar 27, 2025
HNW RAUM · $115M to $155M
Oct 18, 2024 to Mar 27, 2025
Individual RAUM · $103M to $75.0M
Oct 18, 2024 to Mar 27, 2025
RAUM · $219M to $232M
Oct 18, 2024 to Mar 27, 2025
Accounts · 692 to 550
May 26, 2023 to Mar 27, 2024
HNW clients · 93 to 95
May 26, 2023 to Mar 27, 2024
Individual clients · 199 to 201
May 26, 2023 to Mar 27, 2024
Assets in custody · $42.7M to $48.5M
May 26, 2023 to Mar 27, 2024
Discretionary RAUM · $186M to $219M
May 26, 2023 to Mar 27, 2024
HNW RAUM · $106M to $115M
May 26, 2023 to Mar 27, 2024
Individual RAUM · $78.7M to $103M
May 26, 2023 to Mar 27, 2024
RAUM · $186M to $219M
May 26, 2023 to Mar 27, 2024
Related broker-dealer · true to false
Mar 24, 2023 to May 26, 2023
Accounts · 676 to 692
Dec 8, 2022 to Mar 24, 2023
HNW clients · 95 to 93
Dec 8, 2022 to Mar 24, 2023
Individual clients · 202 to 199
Dec 8, 2022 to Mar 24, 2023
Assets in custody · $89.0M to $42.7M
Dec 8, 2022 to Mar 24, 2023
Employees · 3 to 2
Dec 8, 2022 to Mar 24, 2023
Discretionary RAUM · $221M to $186M
Dec 8, 2022 to Mar 24, 2023
HNW RAUM · $129M to $106M
Dec 8, 2022 to Mar 24, 2023
Individual RAUM · $90.7M to $78.7M
Dec 8, 2022 to Mar 24, 2023
RAUM · $221M to $186M
Dec 8, 2022 to Mar 24, 2023
Related broker-dealer · false to true
Dec 8, 2022 to Mar 24, 2023
Accounts · 494 to 676
Mar 5, 2021 to Mar 30, 2022
HNW clients · 75 to 95
Mar 5, 2021 to Mar 30, 2022
Individual clients · 188 to 202
Mar 5, 2021 to Mar 30, 2022
Assets in custody · $80.7M to $89.0M
Mar 5, 2021 to Mar 30, 2022
Discretionary RAUM · $190M to $221M
Mar 5, 2021 to Mar 30, 2022
HNW RAUM · $125M to $129M
Mar 5, 2021 to Mar 30, 2022
Individual RAUM · $64.4M to $90.7M
Mar 5, 2021 to Mar 30, 2022
RAUM · $190M to $221M
Mar 5, 2021 to Mar 30, 2022
Accounts · 462 to 494
Jun 11, 2020 to Mar 5, 2021
Corporate clients · unset to 5.0
Jun 11, 2020 to Mar 5, 2021
HNW clients · 30 to 75
Jun 11, 2020 to Mar 5, 2021
Individual clients · 230 to 188
Jun 11, 2020 to Mar 5, 2021
Pension plan clients · 5.0 to unset
Jun 11, 2020 to Mar 5, 2021
Assets in custody · $29.7M to $80.7M
Jun 11, 2020 to Mar 5, 2021
Discretionary RAUM · $172M to $190M
Jun 11, 2020 to Mar 5, 2021
HNW RAUM · $75.6M to $125M
Jun 11, 2020 to Mar 5, 2021
Individual RAUM · $95.6M to $64.4M
Jun 11, 2020 to Mar 5, 2021
Pension RAUM · 500000.0 to unset
Jun 11, 2020 to Mar 5, 2021
RAUM · $172M to $190M
Jun 11, 2020 to Mar 5, 2021
Wrap assets (manager) · 0.0 to unset
Jun 11, 2020 to Mar 5, 2021
Wrap assets (sponsor) · 0.0 to unset
Jun 11, 2020 to Mar 5, 2021
Accounts · 440 to 462
Jan 25, 2019 to Feb 20, 2020
Corporate clients · 5.0 to unset
Jan 25, 2019 to Feb 20, 2020
HNW clients · 40 to 30
Jan 25, 2019 to Feb 20, 2020
Individual clients · 220 to 230
Jan 25, 2019 to Feb 20, 2020
Pension plan clients · unset to 5.0
Jan 25, 2019 to Feb 20, 2020
Assets in custody · $139M to $29.7M
Jan 25, 2019 to Feb 20, 2020
Financial planning clients · 0 to unset
Jan 25, 2019 to Feb 20, 2020
Discretionary RAUM · $139M to $172M
Jan 25, 2019 to Feb 20, 2020
HNW RAUM · $60.0M to $75.6M
Jan 25, 2019 to Feb 20, 2020
Individual RAUM · $78.4M to $95.6M
Jan 25, 2019 to Feb 20, 2020
Pension RAUM · unset to 500000.0
Jan 25, 2019 to Feb 20, 2020
RAUM · $139M to $172M
Jan 25, 2019 to Feb 20, 2020
Wrap assets (manager) · $3.2M to $0
Jan 25, 2019 to Feb 20, 2020
Wrap assets (sponsor) · $3.2M to $0
Jan 25, 2019 to Feb 20, 2020
Accounts · 1,628 to 440
Feb 5, 2018 to Jan 25, 2019
Corporate clients · unset to 5.0
Feb 5, 2018 to Jan 25, 2019
HNW clients · 35 to 40
Feb 5, 2018 to Jan 25, 2019

Signals

4 dated events

••• Locked
Mar 4, 2026 · ria majority owner change · fact
••• Locked
Mar 4, 2026 · ria majority owner change · derived
••• Locked
Jan 3, 2017 · Succession (Item 4) · fact
••• Locked
Nov 30, 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

Website: ••• Lockedreportedpublic record, Form ADV, Mar 4, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 4, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $250Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026