DFX Intelligence

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S•• F•••••••• W••••• P••••••• L••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $112M of regulatory assets across 2 registered advisors.

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

As of 2026-09-22 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $112M
Advisors: 2
Net advisor flow, 12 months: +1 (1 in, 0 out)
Private clients: 100% of RAUM, $112M

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-09-22 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 296438 · SEC 801-136604 · 2 filingsShow

CRD 296438SEC 801-136604First filing on the tape Jun 30, 2026, latest Sep 22, 2026SEC status approved since Jun 26, 2026IAPD

RAUM

$112M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$112M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$56.1M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

2 filings and snapshots on the tape

Filed figures over time · the tape starts Jun 30, 2026

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

RAUM$112M as of Sep 22, 2026

Jun 30, 2026$112M then

HNW client RAUM$101M as of Sep 22, 2026

Jun 30, 2026$101M then

State-registered IARs (5.B.3)2 as of Sep 22, 2026

Jun 30, 20262 then

Employees (5.A)2 as of Sep 22, 2026

Jun 30, 20262 then

Private funds: no history

Practice profile

derived from the filing of Sep 22, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure3 rulesShow

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: $56.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 22derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.9MderivedHNW RAUM over HNW clients
Average account: $630,834derivedRAUM 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: 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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 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

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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

90% high-net-worth individuals, 10% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$101M90%
Individuals$11.4M10%

Individual clients: 18reported
HNW clients: 26reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 178reported
Financial planning clients: 26-50reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived

Advisor movement

0 left over 36 months

0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

A••••• H•••• from S•••••••• A••••••• L••
Jun 30, 2026 · Affiliated broker-dealer or bank to independent RIA

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
M••••••• D••••• G•••••••••Certified Financial Planner	Petaluma, Ca	Jun 5, 2018	17 y	2
A••••• H••••Certified Financial Planner	Draper, Ut	Jun 30, 2026	11 y	2

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

G••••••••• M•••••••• D••••• · Founder, Wealth Advisor, And Ccocontrol
since 02/2018 · 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	2	1	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Financial planning clients · 26-50 to 26-50
Jun 30, 2026 to Sep 22, 2026
HQ city · to unset
Jun 30, 2026 to Sep 22, 2026
HQ state · to unset
Jun 30, 2026 to Sep 22, 2026
Related adviser · false to unset
Jun 30, 2026 to Sep 22, 2026
Related bank · false to unset
Jun 30, 2026 to Sep 22, 2026

Full history · 8 changes

Related broker-dealer · false to unset
Jun 30, 2026 to Sep 22, 2026
Related insurance company · false to unset
Jun 30, 2026 to Sep 22, 2026
Succession · false to unset
Jun 30, 2026 to Sep 22, 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: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Sep 22, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Sep 22, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 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: $56.1Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: RAUM change, last fiscal year.