DFX Intelligence

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A••••••• F•••••••• G••••

Independent wealth managerSEC-registered· Petaluma, Californiawebsite

Independent wealth manager, based in Petaluma, California, reporting $117M of regulatory assets across 4 registered advisors.

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

As of 2026-06-12 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $117M
Advisors: 4
Net advisor flow, 12 months: +1 (1 in, 0 out)
RAUM change, last fiscal year: Not established
Private clients: 100% of RAUM, $117M

Advisors (4)Advisor movement Where the RAUM sits

As of 2026-06-12 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

9 published business contact points are on record, each with its source.
Contact points 9

Every filed figure, and the identifiersCRD 301028 · SEC 801-136736 · 1 filingsShow

CRD 301028SEC 801-136736Legal name A••••••• F•••••••• G•••• L••First filing on the tape Jun 12, 2026, latest Jun 12, 2026SEC status approved since Jul 14, 2026IAPD

RAUM

$117M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$117M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$29.2M

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

1 filings and snapshots on the tape

RAUM: $117M

HNW client RAUM: $80.1M

State-registered IARs (5.B.3): 4

Employees (5.A): 5

Private funds: no history

Practice profile

derived from the filing of Jun 12, 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

RAUM per advisor: $29.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 108derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $560,275derivedHNW RAUM over HNW clients
Average account: $161,953derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.3derivedItem 5.A over advisors
Advisors per office: 0.8derived5 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

is an insurance broker or agent (6.A.6)
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$80.1M69%
Individuals$36.4M31%
Pension and profit-sharing plans$150,0000.1%
Corporations and businesses$42,4710.0%
Charitable organizations$23,8990.0%

Individual clients: 288reported
HNW clients: 143reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 721reported
Financial planning clients: 1-10reported
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=false related_bank=false bd_reps=5.0derived

Advisors registered through the firm

4 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
E••••• D••••• R•••••	Ukiah, Ca	Mar 3, 2021	23 y	4
B•••• C••••••••• M•••••	Napa, Ca	Mar 3, 2021	21 y	4
M•••• Z•••••••••	Napa, Ca	May 8, 2023	22 y	2
B•••••• J•••• S••••	Petaluma, Ca	Jan 1, 2026	26 y	4

Advisor movement

0 left, 1 joined in 12 months

net +1 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

B•••••• J•••• S•••• from S•• F••••••••
Jan 1, 2026 · Other
M•••• Z••••••••• from E••••• J••••
May 8, 2023 · Affiliated broker-dealer or bank to independent RIA
E••••• D••••• R••••• from S•• F••••••••
Mar 3, 2021 · Other
B•••• C••••••••• M••••• from S•• F••••••••
Mar 3, 2021 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

3 joined from S•• F••••••••
Dec 9, 2023 · Santa Rosa, Ca · Firm absorbed

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

M•••••• B••••• C••••••••• · Managing Directorcontrol
since 12/2020 · owns 25% to 50%
R•••••• E•••••• D••••• · Managing Director & Chief Compliance Officercontrol
since 12/2020 · owns 25% to 50%
S••••• B••••••• J•••• · Managing Directorcontrol
since 12/2020 · owns 25% to 50%
B••••• L•••••• M•••• · Director Of Operations
since 10/2021 · owns 10% to 25%

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 · principal	4	1	0
Napa, Ca	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

One filing, no change to show.

Signals

1 dated events

••• Locked
Dec 9, 2023 · Firm absorbed (people side) · derived

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 email: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Jun 12, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jun 12, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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: $29.2Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026