DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
B••• • H••••• F•••••••• P•••••••• I•••
Latest filing May 19, 2026
First filing on the tape Mar 11, 2022 · 10 filings
SEC status approved since Apr 11, 2022
RAUM
$161M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
96%
$156M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$80.7M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$161M as of May 19, 2026
Feb 22, 2023$108M then
HNW client RAUM$84.9M as of May 19, 2026
Feb 22, 2023$46.6M then
State-registered IARs (5.B.3)2 as of May 19, 2026
Feb 22, 20232 then
Employees (5.A)3 as of May 19, 2026
Feb 22, 20234 then
Private funds: no history
RAUM +12% over the last fiscal year+14% a year over threeIARs 3 to 2
Practice profile
derived from the filing of May 19, 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
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $80.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 209derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $172,333derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $142MreportedItem 5.I
- Custody
- $142M, 423 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$84.9M53%
- Individuals$70.7M44%
- Corporations and businesses$5.8M3.6%
- Individual clients
- 367reported
- HNW clients
- 50reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 937reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $142M for 423 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J••••• H•••••Certified Financial Planner | Modesto, Ca | Feb 9, 2021 | 13 y | 2 |
| K•••••• J••• S•••••• | Modesto, Ca | Oct 23, 2023 | 11 y | 0 |
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
- M•••••• J••••• H••••• from S•• I••••••••• A•••••••• I•••Feb 9, 2021 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• G•••• G••••• · Shareholder, President, Secretary, Treasurer, & Financial Advisorcontrolsince 01/2015 · owns 25% to 50%
- H•••••• M••••••• J••••• · Cco, President, Shareholder & Financial Advisorcontrolsince 01/2024 · 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 |
|---|---|---|---|---|---|
| Modesto, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 924 to 937Mar 26, 2025 to Jan 30, 2026
- Advisory employees · 3 to 2Mar 26, 2025 to Jan 30, 2026
- Corporate clients · 10 to 6Mar 26, 2025 to Jan 30, 2026
- HNW clients · 41 to 50Mar 26, 2025 to Jan 30, 2026
- Individual clients · 372 to 367Mar 26, 2025 to Jan 30, 2026
- Assets in custody · $144M to $142MMar 26, 2025 to Jan 30, 2026
- Employees · 4 to 3Mar 26, 2025 to Jan 30, 2026
- State-registered IARs · 3 to 2Mar 26, 2025 to Jan 30, 2026
- Discretionary RAUM · $134M to $153MMar 26, 2025 to Jan 30, 2026
- HNW RAUM · $67.2M to $84.9MMar 26, 2025 to Jan 30, 2026
- Individual RAUM · $70.3M to $70.7MMar 26, 2025 to Jan 30, 2026
- Non-discretionary RAUM · $10.0M to $8.7MMar 26, 2025 to Jan 30, 2026
- RAUM · $144M to $161MMar 26, 2025 to Jan 30, 2026
- Accounts · 885 to 924Sep 3, 2024 to Mar 26, 2025
- Corporate clients · 7 to 10Sep 3, 2024 to Mar 26, 2025
- HNW clients · 31 to 41Sep 3, 2024 to Mar 26, 2025
- Individual clients · 377 to 372Sep 3, 2024 to Mar 26, 2025
- Assets in custody · $88.8M to $144MSep 3, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 1-10Sep 3, 2024 to Mar 26, 2025
- Discretionary RAUM · $123M to $134MSep 3, 2024 to Mar 26, 2025
- HNW RAUM · $54.4M to $67.2MSep 3, 2024 to Mar 26, 2025
- Individual RAUM · $71.4M to $70.3MSep 3, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $4.7M to $10.0MSep 3, 2024 to Mar 26, 2025
- RAUM · $127M to $144MSep 3, 2024 to Mar 26, 2025
- Accounts · 836 to 885Mar 9, 2023 to Jan 30, 2024
- Advisory employees · 2 to 3Mar 9, 2023 to Jan 30, 2024
- Individual clients · 353 to 377Mar 9, 2023 to Jan 30, 2024
- Assets in custody · unset to 88828507.0Mar 9, 2023 to Jan 30, 2024
- Custody of client assets · false to trueMar 9, 2023 to Jan 30, 2024
- Financial planning clients · 1-10 to 0Mar 9, 2023 to Jan 30, 2024
- State-registered IARs · 2 to 3Mar 9, 2023 to Jan 30, 2024
- Discretionary RAUM · $103M to $123MMar 9, 2023 to Jan 30, 2024
- HNW RAUM · $46.6M to $54.4MMar 9, 2023 to Jan 30, 2024
- Individual RAUM · $59.8M to $71.4MMar 9, 2023 to Jan 30, 2024
- Non-discretionary RAUM · $5.0M to $4.7MMar 9, 2023 to Jan 30, 2024
- RAUM · $108M to $127MMar 9, 2023 to Jan 30, 2024
- Accounts · 826 to 836Mar 11, 2022 to Feb 22, 2023
- Charity clients · unset to 0.0Mar 11, 2022 to Feb 22, 2023
- Corporate clients · 0 to 7Mar 11, 2022 to Feb 22, 2023
- HNW clients · 15 to 31Mar 11, 2022 to Feb 22, 2023
Signals
1 dated events
- B••• • H••••• F•••••••• P•••••••• I••• filed its initial SEC registration (Form ADV)Mar 11, 2022 · 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
- info@blomandhowell.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 209-857-5207reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/blomandhowellreportedpublic record, Form ADV, Sep 18, 2026
- Website
- blomandhowell.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 209-857-5207reportedpublic record, Form ADV, May 19, 2026
- Contact form
- blomandhowell.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- blomandhowell.com/teamreportedpublished 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
- $80.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026