Adviser Profile

As of Date 03/26/2026
Registration SEC, Approved, 06/26/2017
Other registrations (2)
ADV Location SAN RAFAEL, CA, United States
Contact Info 866 xxxxxxx
Websites
AUM* 427,050,449 32%
of that, discretionary 410,814,381 42%
Number of Employees 12 140%
of those in investment advisory functions 4 100%
Private Fund GAV* 0
Avg Account Size 427,478 18%
% High Net Worth 9.39% -55%
SMA’s Yes
Private Funds 0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pension and profit sharing plans
- Charitable organizations
- Corporations or other businesses not listed above

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Educational seminars/workshops

Compensation Arrangments

- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

Reported AUM

411M 352M 293M 235M 176M 117M 59M
2017 2018 2019 2020 2021 2022 2023 2024 2025 2026
Discretionary
Non-discretionary

Private Funds

No private funds

Employees

Top Holdings

Stock Ticker Stock Name $ Position % Position $ Change # Change
Stck Ticker78464A854 Stock NameSPDR SERIES TRUST $ Position$68,842,292 % Position20.00% $ Change18.00% # Change2.00%
Stck Ticker33738R506 Stock NameFIRST TR EXCHANGE TRADED FD $ Position$30,501,905 % Position9.00% $ Change23.00% # Change4.00%
Stck Ticker23908L207 Stock NameDAVIS FUNDAMENTAL ETF TR $ Position$25,802,182 % Position8.00% $ Change25.00% # Change13.00%
Stck Ticker33733E823 Stock NameFIRST TR EXCHANGE-TRADED FD $ Position$19,161,367 % Position6.00% $ Change12.00% # Change3.00%
Stck Ticker921910816 Stock NameVANGUARD WORLD FD $ Position$22,050,641 % Position6.00% $ Change22.00% # Change410.00%
Stck Ticker464287465 Stock NameISHARES TR $ Position$19,197,855 % Position6.00% $ Change15.00% # Change8.00%
Stck Ticker33735T109 Stock NameFIRST TR EXCHANGE-TRADED FD $ Position$17,778,784 % Position5.00% $ Change12.00% # Change7.00%
Stck Ticker46138G649 Stock NameINVESCO EXCH TRADED FD TR II $ Position$16,898,152 % Position5.00% $ Change35.00% # Change6.00%
Stck Ticker092528504 Stock NameBLACKROCK ETF TRUST II $ Position$8,554,880 % Position3.00% $ Change11.00% # Change11.00%
Stck Ticker26922A321 Stock NameETF SER SOLUTIONS $ Position$7,730,155 % Position2.00% $ Change-19.00% # Change-22.00%

Brochure Summary