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.
A••••••••• F•••••••• P•••••••• L••
Independent wealth manager, based in San Ramon, California, reporting $278M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $278M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +1.4%
- Private clients
- 100% of RAUM, $278M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- HNW share of RAUM 0.864009209958267
- Contact points 4
Every filed figure, and the identifiersCRD 297962 · SEC 801-113980 · 15 filingsShowHide
CRD 297962SEC 801-113980First filing on the tape Aug 14, 2018, latest Mar 31, 2026SEC status approved since Sep 14, 2018IAPD
RAUM
$278M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$278M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$278M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$278M as of Mar 31, 2026
Jan 24, 2019$170M then
HNW client RAUM$240M as of Mar 31, 2026
Jan 24, 2019$100M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Jan 24, 20191 then
Employees (5.A)2 as of Mar 31, 2026
Jan 24, 20192 then
Private funds: no history
RAUM +1.4% over the last fiscal year+9.8% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $278MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 193derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $456,420derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- $556MreportedItem 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)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$240M86%
- Individuals$37.8M14%
- Individual clients
- 109reported
- HNW clients
- 84reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 609reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $278M sponsored, $278M 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• I•••• D••••Certified Financial Planner, Chartered Financial Consultant | San Ramon, Ca | Sep 14, 2018 | 34 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
- L•••• I•••• D•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 14, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• L••••• I•••• · Chief Compliance Officercontrolsince 06/2018 · owns less than 5%
- C•••• G••••• W•• · Trusteecontrolsince 10/2007 · owns 50% to 75% of T•• L•••• I• D•••• A•• G•••• W• C••• R•••••••• T••••
- D••••• L••••• I•••• · Trusteecontrolsince 10/2007 · owns 50% to 75% of T•• L•••• I• D•••• A•• G•••• W• C••• R•••••••• T••••
Entity owners
- T•• L•••• I• D•••• A•• G•••• W• C••• R•••••••• T•••• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 16.0% to 86.0% between the annual amendments of 2025-03-12 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,682)
What changed
consecutive filings, newest first
- Accounts · 614 to 609Mar 12, 2025 to Mar 31, 2026
- HNW clients · 124 to 84Mar 12, 2025 to Mar 31, 2026
- Individual clients · 76 to 109Mar 12, 2025 to Mar 31, 2026
- Discretionary RAUM · $274M to $278MMar 12, 2025 to Mar 31, 2026
- HNW RAUM · $42.5M to $240MMar 12, 2025 to Mar 31, 2026
- Individual RAUM · $232M to $37.8MMar 12, 2025 to Mar 31, 2026
- RAUM · $274M to $278MMar 12, 2025 to Mar 31, 2026
- Wrap assets (manager) · $235M to $278MMar 12, 2025 to Mar 31, 2026
- Wrap assets (sponsor) · $235M to $278MMar 12, 2025 to Mar 31, 2026
- Accounts · 600 to 614Mar 21, 2024 to Mar 12, 2025
- HNW clients · 300 to 124Mar 21, 2024 to Mar 12, 2025
- Individual clients · 300 to 76Mar 21, 2024 to Mar 12, 2025
- Assets in custody · 0.0 to unsetMar 21, 2024 to Mar 12, 2025
- Financial planning clients · 251-500 to 0Mar 21, 2024 to Mar 12, 2025
- Discretionary RAUM · $235M to $274MMar 21, 2024 to Mar 12, 2025
- HNW RAUM · $135M to $42.5MMar 21, 2024 to Mar 12, 2025
- Individual RAUM · $100M to $232MMar 21, 2024 to Mar 12, 2025
- RAUM · $235M to $274MMar 21, 2024 to Mar 12, 2025
- Advisory activities · 3 to 4Mar 24, 2023 to Mar 21, 2024
- Financial planning clients · unset to 251-500Mar 24, 2023 to Mar 21, 2024
- Discretionary RAUM · $210M to $235MMar 24, 2023 to Mar 21, 2024
- HNW RAUM · $100M to $135MMar 24, 2023 to Mar 21, 2024
- Individual RAUM · $110M to $100MMar 24, 2023 to Mar 21, 2024
- RAUM · $210M to $235MMar 24, 2023 to Mar 21, 2024
- Wrap assets (manager) · $0 to $235MMar 24, 2023 to Mar 21, 2024
- Wrap assets (sponsor) · $0 to $235MMar 24, 2023 to Mar 21, 2024
- HNW clients · 80 to 300Feb 25, 2022 to Mar 24, 2023
- Individual clients · 520 to 300Feb 25, 2022 to Mar 24, 2023
- Other offices · 0 to 1Feb 25, 2022 to Mar 24, 2023
- Discretionary RAUM · $241M to $210MFeb 25, 2022 to Mar 24, 2023
- HNW RAUM · $140M to $100MFeb 25, 2022 to Mar 24, 2023
- Individual RAUM · $101M to $110MFeb 25, 2022 to Mar 24, 2023
- RAUM · $241M to $210MFeb 25, 2022 to Mar 24, 2023
- Accounts · 285 to 600Mar 12, 2021 to Feb 25, 2022
- HNW clients · 89 to 80Mar 12, 2021 to Feb 25, 2022
- Individual clients · 188 to 520Mar 12, 2021 to Feb 25, 2022
- State-registered IARs · 2 to 1Mar 12, 2021 to Feb 25, 2022
- Discretionary RAUM · $217M to $241MMar 12, 2021 to Feb 25, 2022
- HNW RAUM · $173M to $140MMar 12, 2021 to Feb 25, 2022
- Individual RAUM · $44.1M to $101MMar 12, 2021 to Feb 25, 2022
Signals
1 dated events
- ••• LockedAug 14, 2018 · 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
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
- Principal office phone
- ••• Lockedreportedpublic 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
- $278Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026