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••• F•••••••• S•••••••• L••
Latest filing Mar 2, 2026
First filing on the tape Aug 29, 2022 · 18 filings
SEC status approved since Sep 29, 2022
RAUM
$138M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$138M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$46.0M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$138M as of Mar 2, 2026
Mar 24, 2023$81.4M then
HNW client RAUM$101M as of Mar 2, 2026
Mar 24, 2023$37.2M then
State-registered IARs (5.B.3)3 as of Mar 2, 2026
Mar 24, 20233 then
Employees (5.A)3 as of Mar 2, 2026
Mar 24, 20233 then
Private funds: no history
RAUM -11% over the last fiscal year+19% a year over threeIARs 3 to 3offices 0 to 2
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
- RAUM per advisor
- $46.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $439,685derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $65.2M, 75 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$101M73%
- Individuals$36.9M27%
- Individual clients
- 105reported
- HNW clients
- 54reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 314reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $65.2M for 75 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• G•••••• W••• | Sparks, Nv | Sep 29, 2022 | 13 y | 2 |
| M•••••• P•••••• K•••••• | Sparks, Nv | Sep 29, 2022 | 36 y | 3 |
| B•••• G••••• B••• | Sparks, Nv | Sep 30, 2022 | 32 y | 3 |
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
- B•••• G••••• B••• from I••••••••• F•••••••• G••••• L••Sep 30, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• P•••••• K•••••• from I••••••••• F•••••••• G••••• L••Sep 29, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- R••• G•••••• W••• from I••••••••• F•••••••• G••••• L••Sep 29, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from I••••••••• F•••••••• G••••• L••Sep 30, 2022 · Pleasant Hill, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• B••••• G••••• · Owner & Chief Compliance Officercontrolsince 08/2022 · owns 50% to 75%
- K••••••• M••••••• P•••••• · Ownercontrolsince 08/2022 · owns 50% to 75%
Related persons
Schedule D 7.A
- B••• T•• • F•••••••• S•••••••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Sparks, Nv | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 347 to 314Feb 6, 2026 to Mar 2, 2026
- HNW clients · 50 to 54Feb 6, 2026 to Mar 2, 2026
- Individual clients · 118 to 105Feb 6, 2026 to Mar 2, 2026
- Assets in custody · $65.8M to $65.2MFeb 6, 2026 to Mar 2, 2026
- Discretionary RAUM · $155M to $138MFeb 6, 2026 to Mar 2, 2026
- HNW RAUM · $102M to $101MFeb 6, 2026 to Mar 2, 2026
- Individual RAUM · $53.4M to $36.9MFeb 6, 2026 to Mar 2, 2026
- RAUM · $155M to $138MFeb 6, 2026 to Mar 2, 2026
- HQ city · PLEASANT HILL to Feb 7, 2025 to Oct 30, 2025
- HQ state · CA to Feb 7, 2025 to Oct 30, 2025
- Other offices · 0 to 2Feb 7, 2025 to Oct 30, 2025
- Financial planning clients · 101-250 to 101-250Jan 31, 2025 to Feb 7, 2025
- Accounts · 331 to 347Oct 29, 2024 to Jan 31, 2025
- Advisory activities · 1 to 2Oct 29, 2024 to Jan 31, 2025
- HNW clients · 38 to 50Oct 29, 2024 to Jan 31, 2025
- Individual clients · 293 to 118Oct 29, 2024 to Jan 31, 2025
- Assets in custody · unset to 65809502.0Oct 29, 2024 to Jan 31, 2025
- Custody of client assets · false to trueOct 29, 2024 to Jan 31, 2025
- Financial planning clients · 0 to 101-250Oct 29, 2024 to Jan 31, 2025
- Discretionary RAUM · $118M to $155MOct 29, 2024 to Jan 31, 2025
- HNW RAUM · $49.3M to $102MOct 29, 2024 to Jan 31, 2025
- Individual RAUM · $69.2M to $53.4MOct 29, 2024 to Jan 31, 2025
- RAUM · $118M to $155MOct 29, 2024 to Jan 31, 2025
- Assets in custody · 55878583.0 to unsetJul 2, 2024 to Oct 29, 2024
- Custody of client assets · true to falseJul 2, 2024 to Oct 29, 2024
- Assets in custody · unset to 55878583.0Feb 21, 2024 to May 20, 2024
- Custody of client assets · false to trueFeb 21, 2024 to May 20, 2024
- Accounts · 318 to 331Mar 24, 2023 to Feb 21, 2024
- HNW clients · 23 to 38Mar 24, 2023 to Feb 21, 2024
- Individual clients · 295 to 293Mar 24, 2023 to Feb 21, 2024
- Assets in custody · 34942568.0 to unsetMar 24, 2023 to Feb 21, 2024
- Custody of client assets · true to falseMar 24, 2023 to Feb 21, 2024
- Financial planning clients · unset to 0Mar 24, 2023 to Feb 21, 2024
- Discretionary RAUM · $81.4M to $118MMar 24, 2023 to Feb 21, 2024
- HNW RAUM · $37.2M to $49.3MMar 24, 2023 to Feb 21, 2024
- Individual RAUM · $44.2M to $69.2MMar 24, 2023 to Feb 21, 2024
- RAUM · $81.4M to $118MMar 24, 2023 to Feb 21, 2024
- Accounts · 0 to 318Sep 29, 2022 to Jan 5, 2023
- HNW clients · unset to 23.0Sep 29, 2022 to Jan 5, 2023
- Individual clients · unset to 295.0Sep 29, 2022 to Jan 5, 2023
Signals
2 dated events
- 3 advisors left I••••••••• F•••••••• G••••• L•• (Pleasant Hill, CA) for B••• F•••••••• S•••••••• L•• on the same daySep 30, 2022 · Team lift-out · derived
- B••• F•••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Aug 29, 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
- Principal office phone
- 925-676-6007reportedpublic 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
- $46.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026