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
P•••••• F•••••••• M••••••••• L••
Latest filing Jun 18, 2026
First filing on the tape Mar 6, 2024 · 4 filings
SEC status approved since Apr 4, 2024
RAUM
$159M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
99%
$157M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$159M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$159M as of Jun 18, 2026
Mar 7, 2025$119M then
HNW client RAUM$157M as of Jun 18, 2026
Mar 7, 2025$116M then
State-registered IARs (5.B.3)1 as of Jun 18, 2026
Mar 7, 20251 then
Employees (5.A)1 as of Jun 18, 2026
Mar 7, 20252 then
Private funds: 2
RAUM +33% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jun 18, 2026; every figure names its basis
Archetypes, each a printed rule
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $159MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.4MderivedHNW RAUM over HNW clients
- Average account
- $5.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consultingreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$157M99%
- Pooled investment vehicles$1.8M1.2%
- Individual clients
- n/areported
- HNW clients
- 29reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 31reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.99 fund_share=0.01 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 |
|---|---|---|---|---|
| D•••• G••••• B•••Certified Financial Planner, Chartered Financial Analyst | Orinda, Ca | Jun 21, 2021 | 19 y | 4 |
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
- D•••• G••••• B••• from B••••••• J•••• L••Jun 21, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• D••••• G••••• · Founder, Ccocontrolsince 01/2021 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Jun 18, 2026advises private funds (Item 7.B): no on the filing of 2026-02-11, yes on the filing of 2026-06-18peers: independent wealth managers, $100M to $500M (5,676)
- compensation changedChange between filings · filing Jun 18, 2026performance-based compensation (Item 5.E.6): no on the filing of 2026-02-11, yes on the filing of 2026-06-18peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 215 to 31Feb 11, 2026 to Jun 18, 2026
- HNW clients · 30 to 29Feb 11, 2026 to Jun 18, 2026
- Pooled vehicle clients · unset to 2.0Feb 11, 2026 to Jun 18, 2026
- Private funds · unset to 2Feb 11, 2026 to Jun 18, 2026
- Discretionary RAUM · $148M to $150MFeb 11, 2026 to Jun 18, 2026
- HNW RAUM · $148M to $157MFeb 11, 2026 to Jun 18, 2026
- Non-discretionary RAUM · $0 to $8.5MFeb 11, 2026 to Jun 18, 2026
- Pooled vehicle RAUM · unset to 1843539.0Feb 11, 2026 to Jun 18, 2026
- RAUM · $148M to $159MFeb 11, 2026 to Jun 18, 2026
- Accounts · 207 to 215Mar 7, 2025 to Feb 11, 2026
- HNW clients · 26 to 30Mar 7, 2025 to Feb 11, 2026
- Employees · 2 to 1Mar 7, 2025 to Feb 11, 2026
- Discretionary RAUM · $119M to $148MMar 7, 2025 to Feb 11, 2026
- HNW RAUM · $116M to $148MMar 7, 2025 to Feb 11, 2026
- Individual RAUM · 2445701.0 to unsetMar 7, 2025 to Feb 11, 2026
- RAUM · $119M to $148MMar 7, 2025 to Feb 11, 2026
- Accounts · 164 to 207Mar 6, 2024 to Mar 7, 2025
- HNW clients · 25 to 26Mar 6, 2024 to Mar 7, 2025
- Pooled vehicle clients · 1.0 to unsetMar 6, 2024 to Mar 7, 2025
- Assets in custody · 3251000.0 to unsetMar 6, 2024 to Mar 7, 2025
- Employees · 1 to 2Mar 6, 2024 to Mar 7, 2025
- Financial planning clients · 26-50 to 26-50Mar 6, 2024 to Mar 7, 2025
- HQ city · unset to Mar 6, 2024 to Mar 7, 2025
- HQ state · unset to Mar 6, 2024 to Mar 7, 2025
- Discretionary RAUM · $106M to $119MMar 6, 2024 to Mar 7, 2025
- HNW RAUM · $102M to $116MMar 6, 2024 to Mar 7, 2025
- Individual RAUM · $1.9M to $2.4MMar 6, 2024 to Mar 7, 2025
- Pooled vehicle RAUM · 1690000.0 to unsetMar 6, 2024 to Mar 7, 2025
- RAUM · $106M to $119MMar 6, 2024 to Mar 7, 2025
Signals
1 dated events
- P•••••• F•••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 6, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P•••••• F•••••••• M••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (925)254-3790reportedpublic record, Form ADV, Jun 18, 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
- $159Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026