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

F•• C••• A•••••••• L••

Independent wealth managerAlbany, CaliforniaCRD 321822SEC 801-133002websiteIAPD
Latest filing Mar 2, 2026
First filing on the tape Jun 19, 2025 · 2 filings
SEC status approved since Jun 17, 2025
RAUM
$144M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$143M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$71.8M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$144M as of Mar 2, 2026
Jun 19, 2025$123M then
HNW client RAUM$122M as of Mar 2, 2026
Jun 19, 2025$102M then
State-registered IARs (5.B.3)2 as of Mar 2, 2026
Jun 19, 20252 then
Employees (5.A)5 as of Mar 2, 2026
Jun 19, 20255 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 2, 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
RAUM per advisor
$71.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
56derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$324,935derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
0.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, otherreportedItem 5.G
Custody
$52.6M, 68 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)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$122M85%
  • Individuals$21.3M15%
  • Corporations and businesses$796,3780.6%
Individual clients
52reported
HNW clients
60reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
442reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$52.6M for 68 clientsreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.99 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
NameBranchHere sinceIn industryPrior firms
M••• K•••••• P••••••Certified Financial PlannerAlbany, CaJun 22, 202211 y2
T•••• T•• N••• N•••••Certified Financial PlannerAlbany, CaAug 24, 202310 y0
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • P••••••• M•••• K•••••• · Managing Member/Chief Compliance Officercontrol
      since 01/2022 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Albany, Ca · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • HNW clients · 58 to 60
      Jun 19, 2025 to Mar 2, 2026
    • Individual clients · 59 to 52
      Jun 19, 2025 to Mar 2, 2026
    • Discretionary RAUM · $123M to $144M
      Jun 19, 2025 to Mar 2, 2026
    • HNW RAUM · $102M to $122M
      Jun 19, 2025 to Mar 2, 2026
    • Individual RAUM · $20.2M to $21.3M
      Jun 19, 2025 to Mar 2, 2026
    • RAUM · $123M to $144M
      Jun 19, 2025 to Mar 2, 2026
    Signals
    No event on the tape.
    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
    team@fogcityadvisors.comreportedpublished by the firm, firm site, Sep 17, 2026
    Business phone
    650-508-2020reportedpublished by the firm, firm site, Sep 17, 2026
    Website
    fogcityadvisors.comreportedpublic record, Form ADV, Sep 19, 2026
    Principal office phone
    650-508-2020reportedpublic record, Form ADV, Mar 2, 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
    $71.8Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026