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R••••••••• W••••• P•••••••• L••

Independent wealth managerSEC-registered· San Rafael, Californiawebsite

Independent wealth manager, based in San Rafael, California, reporting $705M of regulatory assets across 2 registered advisors.

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

As of 2026-03-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $705M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: +14%
Private clients: 100%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-03-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 17 Mar 2026, RAUM $620M to $705M (+13.8%) on the Form ADV filed 17 Mar 2026, while advisors on the filing held at 2.

Every filed figure, and the identifiersCRD 311984 · SEC 801-120053 · 18 filingsShow

CRD 311984SEC 801-120053First filing on the tape Nov 29, 2020, latest Mar 17, 2026SEC status approved since Jan 4, 2021IAPD

RAUM

$705M

reported, Item 5.F

Discretionary

74%

of RAUM

Private clients

100%

$703M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$353M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

18 filings and snapshots on the tape

RAUM +13% a year over three years · the tape starts Nov 29, 2020

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

RAUM$705M as of Mar 17, 2026

Mar 17, 2022$591M then

HNW client RAUM$664M as of Mar 17, 2026

Mar 17, 2022$573M then

State-registered IARs (5.B.3)2 as of Mar 17, 2026

Mar 17, 20222 then

Employees (5.A)3 as of Mar 17, 2026

Mar 17, 20223 then

Private funds: no history

RAUM +14% over the last fiscal year+13% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Mar 17, 2026; every figure names its basis

Archetypes

Independent boutique

The rule behind each archetype, and every derived figure1 ruleShow

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

RAUM per advisor: $353MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 370derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.1MderivedHNW RAUM over HNW clients
Average account: $947,778derivedRAUM over accounts (5.F.2.f)
Discretionary: 74%derivedof RAUM
Institutional: 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +14%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +7.7%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Custody: $234M, 184 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)
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)
has custody of client securities (9.A.1.b)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

94% high-net-worth individuals, 5.6% individuals, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow

High-net-worth individuals$664M94%
Individuals$39.4M5.6%
Charitable organizations$1.3M0.2%
Corporations and businesses$476,6420.1%

Individual clients: 160reported
HNW clients: 579reported
Pension plan clients: n/areported
Charitable clients: 4reported
Accounts: 744reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $234M for 184 clientsreported
Compensation: % of AUM, fixedreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

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

S••••• K••• R••••• from M••••• S••••••
Oct 18, 2022 · Wirehouse to independent RIA
C••••••••• J• C•••• from M••••• S••••••
Feb 26, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)

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
C••••••••• J• C••••	San Rafael, Ca	Feb 26, 2021	19 y	1
S••••• K••• R•••••	San Rafael, Ca	Oct 18, 2022	38 y	2

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C••••• C••••••••• J• · Partnercontrol
since 02/2021 · owns 25% to 50%
E•••••••• M•••••••• L•• · Chief Compliance Officercontrol
since 09/2023 · owns less than 5%
R•••••• S•••••• K••• · Founder/Managing Directorcontrol
since 11/2020 · 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
San Rafael, Ca · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

, 1 employee

ADV anomalies

2 against comparable advisers; where to look, not conclusions

custody status changedChange between filings · filing Mar 17, 2026
custody of client assets (Item 9.A): no on the filing of 2025-09-25, yes on the filing of 2026-03-17
peers: independent wealth managers, $500M to $1B (1,481)
discretionary share shiftChange between filings · filing Mar 17, 2026
discretionary share of RAUM moved from 59.0% to 74.0% between the annual amendments of 2025-01-24 and 2026-03-17
peers: independent wealth managers, $500M to $1B (1,481)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 688 to 744
Sep 25, 2025 to Mar 17, 2026
Charity clients · 1 to 4
Sep 25, 2025 to Mar 17, 2026
HNW clients · 499 to 579
Sep 25, 2025 to Mar 17, 2026
Individual clients · 187 to 160
Sep 25, 2025 to Mar 17, 2026
Assets in custody · unset to 233689679.0
Sep 25, 2025 to Mar 17, 2026

Full history · 71 changes

Custody of client assets · false to true
Sep 25, 2025 to Mar 17, 2026
Discretionary RAUM · $366M to $522M
Sep 25, 2025 to Mar 17, 2026
HNW RAUM · $581M to $664M
Sep 25, 2025 to Mar 17, 2026
Individual RAUM · $38.0M to $39.4M
Sep 25, 2025 to Mar 17, 2026
Non-discretionary RAUM · $254M to $183M
Sep 25, 2025 to Mar 17, 2026
RAUM · $620M to $705M
Sep 25, 2025 to Mar 17, 2026
Financial planning clients · 0 to 0
Jan 24, 2025 to Sep 25, 2025
Accounts · 653 to 688
Dec 20, 2024 to Jan 24, 2025
Charity clients · 4 to 1
Dec 20, 2024 to Jan 24, 2025
HNW clients · 472 to 499
Dec 20, 2024 to Jan 24, 2025
Individual clients · 175 to 187
Dec 20, 2024 to Jan 24, 2025
Pension plan clients · 1.0 to unset
Dec 20, 2024 to Jan 24, 2025
Discretionary RAUM · $299M to $366M
Dec 20, 2024 to Jan 24, 2025
HNW RAUM · $501M to $581M
Dec 20, 2024 to Jan 24, 2025
Individual RAUM · $34.3M to $38.0M
Dec 20, 2024 to Jan 24, 2025
Non-discretionary RAUM · $244M to $254M
Dec 20, 2024 to Jan 24, 2025
Pension RAUM · 4860184.0 to unset
Dec 20, 2024 to Jan 24, 2025
RAUM · $543M to $620M
Dec 20, 2024 to Jan 24, 2025
HQ city · MILL VALLEY to SAN RAFAEL
Jun 25, 2024 to Dec 20, 2024
Other offices · 0 to 1
Jun 25, 2024 to Dec 20, 2024
Accounts · 591 to 653
Nov 1, 2023 to Mar 26, 2024
Charity clients · 3 to 4
Nov 1, 2023 to Mar 26, 2024
HNW clients · 453 to 472
Nov 1, 2023 to Mar 26, 2024
Individual clients · 133 to 175
Nov 1, 2023 to Mar 26, 2024
Discretionary RAUM · $262M to $299M
Nov 1, 2023 to Mar 26, 2024
HNW RAUM · $461M to $501M
Nov 1, 2023 to Mar 26, 2024
Individual RAUM · $21.0M to $34.3M
Nov 1, 2023 to Mar 26, 2024
Non-discretionary RAUM · $225M to $244M
Nov 1, 2023 to Mar 26, 2024
Pension RAUM · $3.1M to $4.9M
Nov 1, 2023 to Mar 26, 2024
RAUM · $487M to $543M
Nov 1, 2023 to Mar 26, 2024
Accounts · 548 to 591
Mar 18, 2022 to Mar 30, 2023
Charity clients · 2 to 3
Mar 18, 2022 to Mar 30, 2023
Corporate clients · unset to 1.0
Mar 18, 2022 to Mar 30, 2023
HNW clients · 475 to 453
Mar 18, 2022 to Mar 30, 2023
Individual clients · 70 to 133
Mar 18, 2022 to Mar 30, 2023
Discretionary RAUM · $244M to $262M
Mar 18, 2022 to Mar 30, 2023
HNW RAUM · $573M to $461M
Mar 18, 2022 to Mar 30, 2023
Individual RAUM · $12.5M to $21.0M
Mar 18, 2022 to Mar 30, 2023
Non-discretionary RAUM · $346M to $225M
Mar 18, 2022 to Mar 30, 2023
Pension RAUM · $4.7M to $3.1M
Mar 18, 2022 to Mar 30, 2023
RAUM · $591M to $487M
Mar 18, 2022 to Mar 30, 2023
Accounts · 444 to 548
Sep 8, 2021 to Mar 17, 2022
Charity clients · unset to 2.0
Sep 8, 2021 to Mar 17, 2022
HNW clients · 356 to 475
Sep 8, 2021 to Mar 17, 2022
Individual clients · 87 to 70
Sep 8, 2021 to Mar 17, 2022
Pension plan clients · unset to 1.0
Sep 8, 2021 to Mar 17, 2022
Discretionary RAUM · $446M to $244M
Sep 8, 2021 to Mar 17, 2022
HNW RAUM · $439M to $573M
Sep 8, 2021 to Mar 17, 2022
Individual RAUM · $16.3M to $12.5M
Sep 8, 2021 to Mar 17, 2022
Non-discretionary RAUM · $14.1M to $346M
Sep 8, 2021 to Mar 17, 2022
Pension RAUM · $4.8M to $4.7M
Sep 8, 2021 to Mar 17, 2022
RAUM · $460M to $591M
Sep 8, 2021 to Mar 17, 2022
Accounts · 0 to 444
Jan 13, 2021 to May 4, 2021
Advisory employees · 1 to 2
Jan 13, 2021 to May 4, 2021
Advisory activities · 2 to 4
Jan 13, 2021 to May 4, 2021
HNW clients · unset to 356.0
Jan 13, 2021 to May 4, 2021
Individual clients · unset to 87.0
Jan 13, 2021 to May 4, 2021
Employees · 2 to 3
Jan 13, 2021 to May 4, 2021
Financial planning clients · 1-10 to 0
Jan 13, 2021 to May 4, 2021
State-registered IARs · 1 to 2
Jan 13, 2021 to May 4, 2021
Discretionary RAUM · $0 to $446M
Jan 13, 2021 to May 4, 2021
HNW RAUM · unset to 439258067.0
Jan 13, 2021 to May 4, 2021
Individual RAUM · unset to 16295965.0
Jan 13, 2021 to May 4, 2021
Non-discretionary RAUM · $0 to $14.1M
Jan 13, 2021 to May 4, 2021
Pension RAUM · unset to 4756970.0
Jan 13, 2021 to May 4, 2021
RAUM · $0 to $460M
Jan 13, 2021 to May 4, 2021

Signals

7 dated events

••• Locked
Sep 12, 2023 · Control person left · inference
••• Locked
Sep 12, 2023 · Control person joined · fact
••• Locked
Mar 17, 2022 · RAUM change · derived
••• Locked
May 4, 2021 · Control person joined · fact
••• Locked
May 4, 2021 · Control person left · inference

Full timeline · 7 events

••• Locked
Jan 13, 2021 · Control person joined · fact
••• Locked
Nov 29, 2020 · 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, Mar 17, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 17, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 24, 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: $353Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026