DFX Intelligence

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G••••• P••••••••• I••

No RAUM reportedSEC-registeredwebsite

No RAUM reported.

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

As of 2026-08-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Advisors: 1
Net advisor flow, 12 months: 0

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-08-24 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 327520 · SEC 801-128513 · 12 filingsShow

CRD 327520SEC 801-128513First filing on the tape Jul 3, 2023, latest Aug 24, 2026SEC status approved since Aug 14, 2023IAPD

RAUM

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

12 filings and snapshots on the tape

Filed figures over time · the tape starts Jul 3, 2023

Peer group: Other advisers, under $100M, 660 firms

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

RAUM$0 as of Aug 24, 2026

Apr 16, 2025$0 then

HNW client RAUM$0 as of Aug 24, 2026

Mar 15, 2024$0 then

State-registered IARs (5.B.3)1 as of Aug 24, 2026

Mar 15, 20242 then

Employees (5.A)8 as of Aug 24, 2026

Mar 15, 20248 then

Private funds: no history

RAUM n/a over the last fiscal yearIARs 1 to 1

Practice profile

derived from the filing of Aug 24, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $0derivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: unknownderivedRAUM over accounts (5.F.2.f)
Discretionary: unknownderivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 8.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: otherreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Financial planning clients: 1,158reportedItem 5.H
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

marketing includes testimonials (5.L.1.c)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 0reported
Financial planning clients: 1,158reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: n/areported
Class basis: RAUM: 0% 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

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
A•••••••• J•••• H••••••	Oakland, Ca	Jan 1, 2025	11 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

H••••••• A••••••••• J•••• · Chief Executive Officer And Chief Compliance Officercontrol
since 03/2024 · owns 75% or more
H••••••• C•••• R••• · Head Of Investingcontrol
since 03/2024 · owns 10% to 25%

Ownership changes

Schedule A, between consecutive filings

No owner or control person joined or left between filings on the tape.

Who runs the funds

related persons named most often on the Form D filings of the firm's funds

No Form D related person is on record for this firm's funds.

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Financial planning clients · 0 to More than 500
Jul 22, 2025 to Feb 17, 2026
Advisory activities · 1 to 2
Jun 18, 2025 to Jul 22, 2025
Financial planning clients · unset to 0
Jun 18, 2025 to Jul 22, 2025
HQ city · SAN FRANCISCO to
May 16, 2025 to Jun 18, 2025
HQ state · CA to
May 16, 2025 to Jun 18, 2025

Full history · 12 changes

Accounts · unset to 0.0
Nov 26, 2024 to Apr 16, 2025
Advisory employees · 2 to 1
Nov 26, 2024 to Apr 16, 2025
State-registered IARs · 2 to 1
Nov 26, 2024 to Apr 16, 2025
Discretionary RAUM · unset to 0.0
Nov 26, 2024 to Apr 16, 2025
Non-discretionary RAUM · unset to 0.0
Nov 26, 2024 to Apr 16, 2025
RAUM · unset to 0.0
Nov 26, 2024 to Apr 16, 2025
State-registered IARs · 0 to 2
Jul 17, 2023 to Mar 15, 2024

Signals

1 dated events

••• Locked
Jul 3, 2023 · 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.

Web presence

addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

Website (2), LinkedIn company page (2), LinkedIn profile (1), Facebook (1), X (Twitter) (3), Instagram (2), Other link (2) · the addresses open with an account

1 earlier address on Form ADV filings, the earliest seen Nov 26, 2024

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Aug 24, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Aug 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: No RAUM reportedderiveda rule over Items 5.D and 7.A
RAUM per advisor: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: regulatory AUM, RAUM change, 1 year, private clients.