DFX Intelligence

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G••••••••• W••••• M•••••••••

Independent wealth managerSEC-registered· El Dorado Hills, Californiawebsite

Independent wealth manager, based in El Dorado Hills, California, reporting $238M of regulatory assets across 2 registered advisors.

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

As of 2026-09-18 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $238M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: +49%
Private clients: 74%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-09-18 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+48.9%
RAUM, one year
RAUM $160M to $238M (+48.9%) on the Form ADV filed 18 Sep 2026, while advisors on the filing held at 2.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 310041 · SEC 801-129031 · 9 filingsShow

CRD 310041SEC 801-129031Legal name G••••••••• W••••• M••••••••• L••First filing on the tape Oct 9, 2023, latest Sep 18, 2026SEC status approved since Nov 9, 2023IAPD

RAUM

$238M

reported, Item 5.F

Discretionary

74%

of RAUM

Private clients

74%

$177M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$119M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

9 filings and snapshots on the tape

RAUM +49% over the last fiscal year · the tape starts Oct 9, 2023

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

RAUM$238M as of Feb 20, 2026

Mar 4, 2024$137M then

HNW client RAUM$167M as of Feb 20, 2026

Mar 4, 2024$71.0M then

State-registered IARs (5.B.3)2 as of Feb 20, 2026

Mar 4, 20242 then

Employees (5.A)2 as of Feb 20, 2026

Mar 4, 20242 then

Private funds: no history

RAUM +49% over the last fiscal yearIARs 2 to 2

Practice profile

derived from the filing of Sep 18, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

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: $119MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 36derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.0MderivedHNW RAUM over HNW clients
Average account: $1.0MderivedRAUM over accounts (5.F.2.f)
Discretionary: 74%derivedof RAUM
Institutional: 26%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: +49%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +20%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: 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

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 securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

70% high-net-worth individuals, 26% pension and profit-sharing plans, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

High-net-worth individuals$167M70%
Pension and profit-sharing plans$60.9M26%
Individuals$10.3M4.3%

Individual clients: 16reported
HNW clients: 55reported
Pension plan clients: 6reported
Charitable clients: 0reported
Accounts: 236reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: RAUM: 74% private clients, 0% pooled funds, 26% institutions; related broker-dealer not reported; related bank not reportedderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

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
S••••• B•••••••• V•••••••Chartered Financial Analyst	El Dorado Hills, Ca	Aug 7, 2020	11 y	0
A••••• R••• V•••••••Chartered Financial Analyst	El Dorado Hills, Ca	Aug 10, 2020	14 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

V•••••••• S•••••• B•••••••• · Partner, Principal, And Chief Compliance Officercontrol
since 07/2020 · owns 50% to 75%
V•••••••• A•••••• R••• · Partner And Principalcontrol
since 07/2020 · owns 50% to 75%

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
El Dorado Hills, Ca · principal	2	0	0

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 Feb 20, 2026
RAUM (Item 5.F) moved from $160,027,000 to $238,259,000 (+49.0%) between the annual amendments of 2025-02-11 and 2026-02-20; the peer median change was +15.0% (4546 comparable advisers, 95.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (4,546) · 95% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Financial planning clients · 0 to 0
Feb 20, 2026 to Sep 18, 2026
Related adviser · false to unset
Feb 20, 2026 to Sep 18, 2026
Related bank · false to unset
Feb 20, 2026 to Sep 18, 2026
Related broker-dealer · false to unset
Feb 20, 2026 to Sep 18, 2026
Related insurance company · false to unset
Feb 20, 2026 to Sep 18, 2026

Full history · 49 changes

Succession · false to unset
Feb 20, 2026 to Sep 18, 2026
Accounts · 223 to 236
Jun 26, 2025 to Feb 20, 2026
HNW clients · 43 to 55
Jun 26, 2025 to Feb 20, 2026
Individual clients · 18 to 16
Jun 26, 2025 to Feb 20, 2026
Assets in custody · $62.0M to $69.6M
Jun 26, 2025 to Feb 20, 2026
Discretionary RAUM · $134M to $177M
Jun 26, 2025 to Feb 20, 2026
HNW RAUM · $111M to $167M
Jun 26, 2025 to Feb 20, 2026
Individual RAUM · $23.4M to $10.3M
Jun 26, 2025 to Feb 20, 2026
Non-discretionary RAUM · $53.9M to $60.9M
Jun 26, 2025 to Feb 20, 2026
Pension RAUM · $53.9M to $60.9M
Jun 26, 2025 to Feb 20, 2026
RAUM · $188M to $238M
Jun 26, 2025 to Feb 20, 2026
Accounts · 180 to 223
Feb 11, 2025 to Jun 26, 2025
HNW clients · 41 to 43
Feb 11, 2025 to Jun 26, 2025
Assets in custody · unset to 62040000.0
Feb 11, 2025 to Jun 26, 2025
Financial planning clients · 0 to 0
Feb 11, 2025 to Jun 26, 2025
Discretionary RAUM · $108M to $134M
Feb 11, 2025 to Jun 26, 2025
HNW RAUM · $95.9M to $111M
Feb 11, 2025 to Jun 26, 2025
Individual RAUM · $12.1M to $23.4M
Feb 11, 2025 to Jun 26, 2025
Non-discretionary RAUM · $52.0M to $53.9M
Feb 11, 2025 to Jun 26, 2025
Pension RAUM · $52.0M to $53.9M
Feb 11, 2025 to Jun 26, 2025
RAUM · $160M to $188M
Feb 11, 2025 to Jun 26, 2025
Accounts · 168 to 180
Mar 27, 2024 to Feb 11, 2025
HNW clients · 31 to 41
Mar 27, 2024 to Feb 11, 2025
Individual clients · 23 to 18
Mar 27, 2024 to Feb 11, 2025
Discretionary RAUM · $86.5M to $108M
Mar 27, 2024 to Feb 11, 2025
HNW RAUM · $71.0M to $95.9M
Mar 27, 2024 to Feb 11, 2025
Individual RAUM · $15.5M to $12.1M
Mar 27, 2024 to Feb 11, 2025
Non-discretionary RAUM · $50.2M to $52.0M
Mar 27, 2024 to Feb 11, 2025
Pension RAUM · $50.2M to $52.0M
Mar 27, 2024 to Feb 11, 2025
RAUM · $137M to $160M
Mar 27, 2024 to Feb 11, 2025
Accounts · 161 to 168
Dec 3, 2023 to Mar 4, 2024
Charity clients · unset to 0.0
Dec 3, 2023 to Mar 4, 2024
Corporate clients · 6 to 0
Dec 3, 2023 to Mar 4, 2024
HNW clients · 40 to 31
Dec 3, 2023 to Mar 4, 2024
Individual clients · 17 to 23
Dec 3, 2023 to Mar 4, 2024
Pension plan clients · unset to 6.0
Dec 3, 2023 to Mar 4, 2024
Pooled vehicle clients · unset to 0.0
Dec 3, 2023 to Mar 4, 2024
Discretionary RAUM · $78.7M to $86.5M
Dec 3, 2023 to Mar 4, 2024
HNW RAUM · $69.5M to $71.0M
Dec 3, 2023 to Mar 4, 2024
Individual RAUM · $9.2M to $15.5M
Dec 3, 2023 to Mar 4, 2024
Non-discretionary RAUM · $44.3M to $50.2M
Dec 3, 2023 to Mar 4, 2024
Pension RAUM · unset to 50241000.0
Dec 3, 2023 to Mar 4, 2024
Pooled vehicle RAUM · unset to 0.0
Dec 3, 2023 to Mar 4, 2024
RAUM · $123M to $137M
Dec 3, 2023 to Mar 4, 2024

Signals

1 dated events

••• Locked
Oct 9, 2023 · 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 email: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Sep 18, 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: $119Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026