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
M•••• B•• W••••• A•••••••• L••
Latest filing Jan 21, 2026
First filing on the tape Jul 20, 2017 · 17 filings
SEC status approved since Aug 25, 2017
RAUM
$376M
reported, Item 5.F
Discretionary
66%
of RAUM
Private clients
100%
$376M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$188M
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
17 filings and snapshots on the tape
RAUM$376M as of Jan 21, 2026
Jan 23, 2018$189M then
HNW client RAUM$376M as of Jan 21, 2026
Jan 23, 2018$189M then
State-registered IARs (5.B.3)2 as of Jan 21, 2026
Jan 23, 20182 then
Employees (5.A)2 as of Jan 21, 2026
Jan 23, 20182 then
Private funds: no history
RAUM +14% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 21, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $188MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $922,880derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 66%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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $736MreportedItem 5.I
- 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)
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$376M100%
- Individual clients
- n/areported
- HNW clients
- 133reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 407reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $376M sponsored, $360M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• M•••••• H••••••• | Sausalito, Ca | Aug 25, 2017 | 26 y | 5 |
| J•••• P•••••• F••••••••• | Sausalito, Ca | Aug 25, 2017 | 39 y | 3 |
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
- J•••• P•••••• F••••••••• from W•••• F•••• A•••••••Aug 25, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J••••• M•••••• H••••••• from W•••• F•••• A•••••••Aug 25, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W•••• F•••• A•••••••Aug 30, 2017 · San Francisco, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••••• J••••• P•••••• · Managing Membercontrolsince 08/2017 · owns 50% to 75%
- H•••••••• J•••••• M•••••• · Managing Member And Chief Compliance Officercontrolsince 08/2017 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Sausalito, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 401 to 407Mar 17, 2025 to Jan 21, 2026
- Discretionary RAUM · $213M to $248MMar 17, 2025 to Jan 21, 2026
- HNW RAUM · $329M to $376MMar 17, 2025 to Jan 21, 2026
- Non-discretionary RAUM · $116M to $127MMar 17, 2025 to Jan 21, 2026
- RAUM · $329M to $376MMar 17, 2025 to Jan 21, 2026
- Wrap assets (manager) · $316M to $360MMar 17, 2025 to Jan 21, 2026
- Wrap assets (sponsor) · $329M to $376MMar 17, 2025 to Jan 21, 2026
- Financial planning clients · 0 to 0Jan 29, 2025 to Mar 17, 2025
- HQ city · SAUSALITO to SAN ANSELMOJan 29, 2025 to Mar 17, 2025
- Accounts · 375 to 401Feb 20, 2024 to Jan 29, 2025
- HNW clients · 132 to 133Feb 20, 2024 to Jan 29, 2025
- Discretionary RAUM · $181M to $213MFeb 20, 2024 to Jan 29, 2025
- HNW RAUM · $290M to $329MFeb 20, 2024 to Jan 29, 2025
- Non-discretionary RAUM · $108M to $116MFeb 20, 2024 to Jan 29, 2025
- RAUM · $290M to $329MFeb 20, 2024 to Jan 29, 2025
- Wrap assets (manager) · $278M to $316MFeb 20, 2024 to Jan 29, 2025
- Wrap assets (sponsor) · $290M to $329MFeb 20, 2024 to Jan 29, 2025
- Accounts · 365 to 375Feb 1, 2023 to Feb 20, 2024
- HNW clients · 119 to 132Feb 1, 2023 to Feb 20, 2024
- Discretionary RAUM · $168M to $181MFeb 1, 2023 to Feb 20, 2024
- HNW RAUM · $267M to $290MFeb 1, 2023 to Feb 20, 2024
- Non-discretionary RAUM · $99.0M to $108MFeb 1, 2023 to Feb 20, 2024
- RAUM · $267M to $290MFeb 1, 2023 to Feb 20, 2024
- Wrap assets (manager) · $248M to $278MFeb 1, 2023 to Feb 20, 2024
- Wrap assets (sponsor) · $267M to $290MFeb 1, 2023 to Feb 20, 2024
- Accounts · 338 to 365Mar 3, 2022 to Jan 31, 2023
- HNW clients · 108 to 119Mar 3, 2022 to Jan 31, 2023
- Assets in custody · $15.4M to $0Mar 3, 2022 to Jan 31, 2023
- Custody of client assets · true to falseMar 3, 2022 to Jan 31, 2023
- Discretionary RAUM · $181M to $168MMar 3, 2022 to Jan 31, 2023
- HNW RAUM · $317M to $267MMar 3, 2022 to Jan 31, 2023
- Non-discretionary RAUM · $135M to $99.0MMar 3, 2022 to Jan 31, 2023
- RAUM · $317M to $267MMar 3, 2022 to Jan 31, 2023
- Wrap assets (manager) · $298M to $248MMar 3, 2022 to Jan 31, 2023
- Wrap assets (sponsor) · $317M to $267MMar 3, 2022 to Jan 31, 2023
- Accounts · 323 to 338Feb 2, 2021 to Mar 3, 2022
- HNW clients · 323 to 108Feb 2, 2021 to Mar 3, 2022
- Discretionary RAUM · $175M to $181MFeb 2, 2021 to Mar 3, 2022
- HNW RAUM · $283M to $317MFeb 2, 2021 to Mar 3, 2022
- Non-discretionary RAUM · $109M to $135MFeb 2, 2021 to Mar 3, 2022
Signals
1 dated events
- M•••• B•• W••••• M••••••••• filed its initial SEC registration (Form ADV)Jul 20, 2017 · 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
- Principal office phone
- 415-425-6492reportedpublic record, Form ADV, Jan 21, 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
- $188Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026