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.

SEC-registered adviser

C•••••• G••••

Independent wealth managerOakland, CaliforniaCRD 286086SEC 801-118939website IAPD

Legal name C•••••• G••••• L••

Latest filing Mar 31, 2026

First filing on the tape May 18, 2020 · 22 filings

SEC status approved since Jun 18, 2020

RAUM

$124M

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

51%

$63.2M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$61.8M

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

22 filings and snapshots on the tape

RAUM$124M as of Mar 31, 2026

Mar 31, 2021$136M then

HNW client RAUM$63.2M as of Mar 31, 2026

Mar 31, 2021$13.3M then

State-registered IARs (5.B.3)2 as of Mar 31, 2026

Mar 31, 20213 then

Employees (5.A)13 as of Mar 31, 2026

Mar 31, 20217 then

Private funds1 as of Mar 31, 2023

Mar 31, 20211 then

RAUM -29% over the last fiscal year-11% a year over threeIARs 2 to 2offices 0 to 2

Practice profile

derived from the filing of Mar 31, 2026; every figure names its basis

Archetypes, each a printed rule

Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 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
UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M

RAUM per advisor: $61.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $12.6MderivedHNW RAUM over HNW clients
Average account: $7.7MderivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%derivedof RAUM
Institutional: 49%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 6.5derivedItem 5.A over advisors
Advisors per office: 0.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year: -29%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminars, 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$63.2M51%
Charitable organizations$60.3M49%

Individual clients: n/areported
HNW clients: 5reported
Pension plan clients: n/areported
Charitable clients: 6reported
Accounts: 16reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, performancereported
Class basis: private_client_share=0.51 fund_share=0.0 institutional_share=0.49 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
A••• B••••••	Oakland, Ca	Jan 1, 2026	11 y	0
M••••• S••••	Oakland, Ca	Jan 1, 2026	12 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

Every departure Every arrival

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
O•••••• F•••• L••no longer reported	Other Private Fund	$40.0M	1	May 18, 2020

Owners and control persons

Schedule A and B, latest filing

A•••••• G•••••• E••• · Cheif Executive Officercontrol
since 05/2024 · owns less than 5%
B••••••• A••• · Managing Membercontrol
since 06/2015 · owns 50% to 75%
S••••• M••••• · Managing Membercontrol
since 05/2024 · owns 50% to 75%
N••••••• H•••• L•••• · Chief Compliance Officer
since 11/2020 · owns less than 5%

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
Oakland, Ca · principal	2	2	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

8 against comparable advisers; where to look, not conclusions

wealth to institutional shiftCombination · filing Mar 31, 2026
peers: independent wealth managers, $100M to $500M (5,679)
high institutional concentrationStatic outlier · filing Mar 31, 2026
institutional share of RAUM of 49% against a peer median of 0% (5679 comparable advisers, 99.0th percentile, 16.4 robust deviations)
peers: independent wealth managers, $100M to $500M (5,679) · 99% percentile
low discretionary shareStatic outlier · filing Mar 31, 2026
discretionary share of RAUM of 0% against a peer median of 100% (5679 comparable advisers, 0.0th percentile, 33.7 robust deviations)
peers: independent wealth managers, $100M to $500M (5,679) · 0.0% percentile
client mix shiftChange between filings · filing Mar 31, 2026
private-client share of RAUM moved from 76.0% to 51.0% between the annual amendments of 2025-04-30 and 2026-03-31
peers: independent wealth managers, $100M to $500M (5,679)
discretionary share shiftChange between filings · filing Mar 31, 2026
discretionary share of RAUM moved from 24.0% to 0.0% between the annual amendments of 2025-04-30 and 2026-03-31
peers: independent wealth managers, $100M to $500M (5,679)
RAUM down 25 %Change between filings · filing Mar 31, 2026
RAUM (Item 5.F) moved from $174,749,834 to $123,571,267 (-29.0%) between the annual amendments of 2025-04-30 and 2026-03-31; the peer median change was +15.0% (4548 comparable advisers, 1.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (4,548) · 1.4% percentile
institutional asset share shiftChange between filings · filing Mar 31, 2026
institutional share of RAUM moved from 0.0% to 49.0% between the annual amendments of 2025-04-30 and 2026-03-31
peers: independent wealth managers, $100M to $500M (5,679)
HNW share shiftChange between filings · filing Mar 31, 2026
HNW share of RAUM moved from 76.0% to 51.0% between the annual amendments of 2025-04-30 and 2026-03-31
peers: independent wealth managers, $100M to $500M (5,679)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 15 to 16
Jan 15, 2026 to Mar 31, 2026
Advisory employees · 7 to 4
Jan 15, 2026 to Mar 31, 2026
Charity clients · 5 to 6
Jan 15, 2026 to Mar 31, 2026
Employees · 11 to 13
Jan 15, 2026 to Mar 31, 2026
HNW RAUM · $64.6M to $63.2M
Jan 15, 2026 to Mar 31, 2026
Non-discretionary RAUM · $125M to $124M
Jan 15, 2026 to Mar 31, 2026
RAUM · $125M to $124M
Jan 15, 2026 to Mar 31, 2026
Charity clients · unset to 5.0
Dec 19, 2025 to Jan 15, 2026
Accounts · 14 to 15
Jul 16, 2025 to Dec 19, 2025
Advisory activities · 6 to 5
Jul 16, 2025 to Dec 19, 2025
HNW clients · 8 to 5
Jul 16, 2025 to Dec 19, 2025
Assets in custody · 82576000.0 to unset
Jul 16, 2025 to Dec 19, 2025
Employees · 15 to 11
Jul 16, 2025 to Dec 19, 2025
Other offices · 0 to 2
Jul 16, 2025 to Dec 19, 2025
Discretionary RAUM · $82.6M to $0
Jul 16, 2025 to Dec 19, 2025
HNW RAUM · $92.2M to $64.6M
Jul 16, 2025 to Dec 19, 2025
Non-discretionary RAUM · $92.2M to $125M
Jul 16, 2025 to Dec 19, 2025
RAUM · $175M to $125M
Jul 16, 2025 to Dec 19, 2025
Accounts · 13 to 14
Apr 30, 2025 to Jul 16, 2025
Advisory activities · 5 to 6
Apr 30, 2025 to Jul 16, 2025
HNW clients · 4 to 8
Apr 30, 2025 to Jul 16, 2025
Assets in custody · $76.0M to $82.6M
Apr 30, 2025 to Jul 16, 2025
Financial planning clients · unset to
Apr 30, 2025 to Jul 16, 2025
Discretionary RAUM · $42.0M to $82.6M
Apr 30, 2025 to Jul 16, 2025
HNW RAUM · $133M to $92.2M
Apr 30, 2025 to Jul 16, 2025
Non-discretionary RAUM · $133M to $92.2M
Apr 30, 2025 to Jul 16, 2025
Accounts · 14 to 13
Oct 18, 2024 to Apr 30, 2025
Charity clients · 4.0 to unset
Oct 18, 2024 to Apr 30, 2025
Corporate clients · 4.0 to unset
Oct 18, 2024 to Apr 30, 2025
HNW clients · unset to 4.0
Oct 18, 2024 to Apr 30, 2025
Individual clients · 4.0 to unset
Oct 18, 2024 to Apr 30, 2025
Discretionary RAUM · $36.0M to $42.0M
Oct 18, 2024 to Apr 30, 2025
HNW RAUM · unset to 132749834.0
Oct 18, 2024 to Apr 30, 2025
Individual RAUM · 6225000.0 to unset
Oct 18, 2024 to Apr 30, 2025
Non-discretionary RAUM · $176M to $133M
Oct 18, 2024 to Apr 30, 2025
RAUM · $212M to $175M
Oct 18, 2024 to Apr 30, 2025
Advisory employees · 5 to 7
Sep 18, 2024 to Oct 18, 2024
Employees · 14 to 15
Sep 18, 2024 to Oct 18, 2024
Accounts · 15 to 14
Apr 1, 2024 to Apr 10, 2024
Charity clients · unset to 4.0
Mar 30, 2024 to Apr 1, 2024

Signals

4 dated events

••• Locked
Oct 18, 2024 · Control person joined · fact
••• Locked
Apr 1, 2024 · RAUM change · derived
••• Locked
Dec 24, 2020 · Control person joined · fact
••• Locked
May 18, 2020 · 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: C••••••GROUP.COMreportedpublic record, Form ADV, Mar 31, 2026
Principal office phone: (510) 761-8150reportedpublic 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: $61.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026