DFX Intelligence
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C•••••• M••••••••• A•••••• G••••• L••
Independent wealth manager, based in Walnut Creek, California, reporting $234M 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
- $234M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +24%
- Private clients
- 100% of RAUM, $234M
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
- RAUM a year earlier $188MRAUM now $234M
- Contact points 4
Every filed figure, and the identifiersCRD 304617 · SEC 801-117169 · 20 filingsShowHide
CRD 304617SEC 801-117169First filing on the tape Jul 15, 2019, latest Apr 16, 2026SEC status approved since Aug 12, 2019IAPD
RAUM
$234M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$234M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$234M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$234M as of Apr 16, 2026
Feb 18, 2020$111M then
HNW client RAUM$225M as of Apr 16, 2026
Feb 18, 2020$95.9M then
State-registered IARs (5.B.3)1 as of Apr 16, 2026
Feb 18, 20201 then
Employees (5.A)3 as of Apr 16, 2026
Feb 18, 20201 then
Private funds: no history
RAUM +24% over the last fiscal year+20% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 16, 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
- $234MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 88derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $963,294derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $234M, 88 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$225M96%
- Individuals$9.2M3.9%
- Individual clients
- 38reported
- HNW clients
- 50reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 243reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $234M for 88 clientsreported
- 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=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• B•••• M••••Chartered Financial Consultant | Walnut Creek, Ca | Aug 14, 2019 | 35 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
- T•••••• B•••• M•••• from C••••• A•••••• N••••••• L••Aug 14, 2019 · 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
- M••••• T••••••• B•••• · Owner & Chief Compliance Officercontrolsince 08/2019 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 242 to 243May 15, 2025 to Mar 23, 2026
- HNW clients · 49 to 50May 15, 2025 to Mar 23, 2026
- Individual clients · 43 to 38May 15, 2025 to Mar 23, 2026
- Assets in custody · $188M to $234MMay 15, 2025 to Mar 23, 2026
- Discretionary RAUM · $188M to $234MMay 15, 2025 to Mar 23, 2026
- HNW RAUM · $183M to $225MMay 15, 2025 to Mar 23, 2026
- Individual RAUM · $4.5M to $9.2MMay 15, 2025 to Mar 23, 2026
- RAUM · $188M to $234MMay 15, 2025 to Mar 23, 2026
- Financial planning clients · 1-10 to 1-10Feb 7, 2025 to May 15, 2025
- Accounts · 253 to 242Sep 4, 2024 to Feb 7, 2025
- HNW clients · 75 to 49Sep 4, 2024 to Feb 7, 2025
- Individual clients · 10 to 43Sep 4, 2024 to Feb 7, 2025
- Assets in custody · $163M to $188MSep 4, 2024 to Feb 7, 2025
- Financial planning clients · 0 to 1-10Sep 4, 2024 to Feb 7, 2025
- Discretionary RAUM · $163M to $188MSep 4, 2024 to Feb 7, 2025
- HNW RAUM · $155M to $183MSep 4, 2024 to Feb 7, 2025
- Individual RAUM · $8.0M to $4.5MSep 4, 2024 to Feb 7, 2025
- RAUM · $163M to $188MSep 4, 2024 to Feb 7, 2025
- Accounts · 234 to 253Mar 29, 2023 to Mar 25, 2024
- HNW clients · 43 to 75Mar 29, 2023 to Mar 25, 2024
- Individual clients · 22 to 10Mar 29, 2023 to Mar 25, 2024
- Assets in custody · $42.2M to $163MMar 29, 2023 to Mar 25, 2024
- Financial planning clients · 1-10 to 0Mar 29, 2023 to Mar 25, 2024
- Discretionary RAUM · $137M to $163MMar 29, 2023 to Mar 25, 2024
- HNW RAUM · $134M to $155MMar 29, 2023 to Mar 25, 2024
- Individual RAUM · $2.4M to $8.0MMar 29, 2023 to Mar 25, 2024
- RAUM · $137M to $163MMar 29, 2023 to Mar 25, 2024
- Wrap assets (manager) · 112500400.0 to unsetMar 29, 2023 to Mar 25, 2024
- Wrap assets (sponsor) · 112500400.0 to unsetMar 29, 2023 to Mar 25, 2024
- Accounts · 214 to 234Mar 3, 2022 to Mar 29, 2023
- HNW clients · 55 to 43Mar 3, 2022 to Mar 29, 2023
- Individual clients · 17 to 22Mar 3, 2022 to Mar 29, 2023
- Assets in custody · $50.5M to $42.2MMar 3, 2022 to Mar 29, 2023
- Employees · 1 to 3Mar 3, 2022 to Mar 29, 2023
- Financial planning clients · 0 to 1-10Mar 3, 2022 to Mar 29, 2023
- Discretionary RAUM · $165M to $137MMar 3, 2022 to Mar 29, 2023
- HNW RAUM · $161M to $134MMar 3, 2022 to Mar 29, 2023
- Individual RAUM · $4.7M to $2.4MMar 3, 2022 to Mar 29, 2023
- RAUM · $165M to $137MMar 3, 2022 to Mar 29, 2023
- Wrap assets (manager) · $152M to $113MMar 3, 2022 to Mar 29, 2023
Signals
1 dated events
- ••• LockedJul 15, 2019 · 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 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Apr 16, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Apr 16, 2026
- Contact form
- ••• 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
- $234Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026