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

C••••••• W••••• M••••••••• L••

Independent wealth managerOakland, CaliforniaCRD 337757SEC 801-134226IAPD
Latest filing Feb 18, 2026
First filing on the tape Jul 29, 2025 · 4 filings
SEC status approved since Aug 26, 2025
RAUM
$123M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$123M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$61.4M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$123M as of Feb 18, 2026
Jul 29, 2025$0 then
HNW client RAUM$25.9M as of Feb 18, 2026
Dec 26, 2025$97.4M then
State-registered IARs (5.B.3)2 as of Feb 18, 2026
Jul 29, 20252 then
Employees (5.A)2 as of Feb 18, 2026
Jul 29, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 18, 2026; every figure names its basis
Archetypes, each a printed rule
  • 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
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$61.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
47derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$463,156derivedHNW RAUM over HNW clients
Average account
$472,144derivedRAUM 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
2.0derived1 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$96.8M79%
  • High-net-worth individuals$25.9M21%
Individual clients
38reported
HNW clients
56reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
260reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
G••••• A•••••••• F•••••Oakland, CaNov 20, 202518 y4
M•••••• J•••• C•••••Certified Financial PlannerOakland, CaNov 20, 202529 y3
Advisor movement
0 left, 2 joined in 12 months
net +2 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
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• M••••••• J•••• · Managing Partnercontrol
        since 06/2025 · owns 50% to 75%
      • F•••••• G•••••• A•••••••• · Managing Partner And Chief Compliance Officercontrol
        since 06/2025 · 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
      OfficeAdvisorsJoinedLeftTeams outForming
      Oakland, Ca · principal220
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 257 to 260
        Dec 26, 2025 to Feb 18, 2026
      • HNW clients · 38 to 56
        Dec 26, 2025 to Feb 18, 2026
      • Individual clients · 54 to 38
        Dec 26, 2025 to Feb 18, 2026
      • Financial planning clients · 0 to 1-10
        Dec 26, 2025 to Feb 18, 2026
      • Discretionary RAUM · $123M to $123M
        Dec 26, 2025 to Feb 18, 2026
      • HNW RAUM · $97.4M to $25.9M
        Dec 26, 2025 to Feb 18, 2026
      • Individual RAUM · $25.9M to $96.8M
        Dec 26, 2025 to Feb 18, 2026
      • RAUM · $123M to $123M
        Dec 26, 2025 to Feb 18, 2026
      • Accounts · 0 to 257
        Nov 20, 2025 to Dec 26, 2025
      • HNW clients · unset to 38.0
        Nov 20, 2025 to Dec 26, 2025
      • Individual clients · unset to 54.0
        Nov 20, 2025 to Dec 26, 2025
      • Discretionary RAUM · $0 to $123M
        Nov 20, 2025 to Dec 26, 2025
      • HNW RAUM · unset to 97369057.0
        Nov 20, 2025 to Dec 26, 2025
      • Individual RAUM · unset to 25895135.0
        Nov 20, 2025 to Dec 26, 2025
      • RAUM · $0 to $123M
        Nov 20, 2025 to Dec 26, 2025
      • Financial planning clients · 0 to 0
        Jul 29, 2025 to Nov 20, 2025
      Signals
      1 dated events
      • 2 advisors left M•••• W••••• A••••••• L•• (San Rafael, CA) for C••••••• W••••• M••••••••• L•• on the same day
        Dec 31, 2025 · Team lift-out · derived
      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
      415.794.1622reportedpublic record, Form ADV, Feb 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
      $61.4Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026