DFX Intelligence
RIA Intelligence
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SEC-registered adviser
B••••••••• C•••••• A•••••••• I•••
Latest filing Sep 14, 2026
First filing on the tape Jun 30, 2026 · 2 filings
SEC status approved since Jun 26, 2026
RAUM
$122M
reported, Item 5.F
Discretionary
41%
of RAUM
Private clients
99%
$121M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$61.1M
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
2 filings and snapshots on the tape
RAUM$122M as of Sep 14, 2026
Jun 30, 2026$114M then
HNW client RAUM$92.6M as of Sep 14, 2026
Jun 30, 2026$84.8M then
State-registered IARs (5.B.3)2 as of Sep 14, 2026
Jun 30, 20262 then
Employees (5.A)2 as of Sep 14, 2026
Jun 30, 20262 then
Private funds: no history
Practice profile
derived from the filing of Sep 14, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $61.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 76derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $286,129derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 41%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, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$92.6M76%
- Individuals$28.8M24%
- Corporations and businesses$777,6170.6%
- Individual clients
- 106reported
- HNW clients
- 45reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 427reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• N•••• W••••••Certified Financial Planner | El Dorado Hills, Ca | Aug 8, 2006 | 26 y | 3 |
| A••••• C•••••• H•••••Certified Financial Planner | El Dorado Hills, Ca | Dec 8, 2025 | 10 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- A••••• C•••••• H••••• from C•••••• S••••• • C••• I•••Dec 8, 2025 · Affiliated broker-dealer or bank to independent RIA
- D•••• N•••• W•••••• from C••••••• J•••• W•Aug 8, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| El Dorado Hills, Ca · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 431 to 427Jun 30, 2026 to Sep 14, 2026
- Corporate clients · 1 to 2Jun 30, 2026 to Sep 14, 2026
- HNW clients · 44 to 45Jun 30, 2026 to Sep 14, 2026
- Individual clients · 111 to 106Jun 30, 2026 to Sep 14, 2026
- Financial planning clients · 26-50 to 51-100Jun 30, 2026 to Sep 14, 2026
- Discretionary RAUM · $26.4M to $50.1MJun 30, 2026 to Sep 14, 2026
- HNW RAUM · $84.8M to $92.6MJun 30, 2026 to Sep 14, 2026
- Individual RAUM · $28.7M to $28.8MJun 30, 2026 to Sep 14, 2026
- Non-discretionary RAUM · $87.7M to $72.0MJun 30, 2026 to Sep 14, 2026
- RAUM · $114M to $122MJun 30, 2026 to Sep 14, 2026
- Related adviser · false to unsetJun 30, 2026 to Sep 14, 2026
- Related bank · false to unsetJun 30, 2026 to Sep 14, 2026
- Related broker-dealer · false to unsetJun 30, 2026 to Sep 14, 2026
- Related insurance company · false to unsetJun 30, 2026 to Sep 14, 2026
- Succession · false to unsetJun 30, 2026 to Sep 14, 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 phone
- 916-235-6857reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- B•••••••••ADVISORS.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 916-235-6857reportedpublic record, Form ADV, Sep 14, 2026
- Team page
- b•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $61.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026