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SEC-registered adviser

C•••• R••••••••• A••••• L••

Independent wealth managerSan Mateo, CaliforniaCRD 292667SEC 801-132499websiteIAPD
Latest filing Mar 9, 2026
First filing on the tape Mar 23, 2025 · 2 filings
SEC status approved since Apr 22, 2025
RAUM
$153M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$153M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$153M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$153M as of Mar 9, 2026
Mar 23, 2025$108M then
HNW client RAUM$143M as of Mar 9, 2026
Mar 23, 2025$102M then
State-registered IARs (5.B.3)1 as of Mar 9, 2026
Mar 23, 20251 then
Employees (5.A)1 as of Mar 9, 2026
Mar 23, 20251 then
Private funds: no history
RAUM +42% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 9, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$153MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
56derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.0MderivedHNW RAUM over HNW clients
Average account
$703,670derivedRAUM 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
+42%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+19%derived
Compensation
fixed feesreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Custody
$2.0M, 1 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$143M93%
  • Individuals$10.5M6.8%
Individual clients
9reported
HNW clients
47reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
218reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$2.0M for 1 clientsreported
Compensation
fixedreported
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J•••• M••••••• S••••••Certified Financial PlannerSan Mateo, CaMar 12, 201815 y1
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    No Schedule A on the extract for this adviser.
    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
    • RAUM up 25 %Change between filings · filing Mar 9, 2026
      RAUM (Item 5.F) moved from $108,156,980 to $153,400,000 (+42.0%) between the annual amendments of 2025-03-23 and 2026-03-09; the peer median change was +15.0% (4548 comparable advisers, 93.0th percentile of changes)
      peers: independent wealth managers, $100M to $500M (4,548) · 93% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 178 to 218
      Mar 23, 2025 to Mar 9, 2026
    • HNW clients · 39 to 47
      Mar 23, 2025 to Mar 9, 2026
    • Individual clients · 8 to 9
      Mar 23, 2025 to Mar 9, 2026
    • Assets in custody · $47 to $2.0M
      Mar 23, 2025 to Mar 9, 2026
    • Discretionary RAUM · $108M to $153M
      Mar 23, 2025 to Mar 9, 2026
    • HNW RAUM · $102M to $143M
      Mar 23, 2025 to Mar 9, 2026
    • Individual RAUM · $5.9M to $10.5M
      Mar 23, 2025 to Mar 9, 2026
    • RAUM · $108M to $153M
      Mar 23, 2025 to Mar 9, 2026
    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 phone
    650-294-8818reportedpublished by the firm, firm site, Sep 17, 2026
    Website
    retirementplannersanmateo.comreportedpublic record, Form ADV, Sep 21, 2026
    Principal office phone
    650-446-5440reportedpublic record, Form ADV, Mar 9, 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
    $153Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026