AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $0.8 |
| Non-Discretionary | $0.1 |
| Total | $0.9 |
| Client | AUM |
|---|---|
| Retail | $0.9 |
| Pooled | $0.0 |
| Institutional | $0.0 |
| Total | $0.9 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 180 | $0.1 |
| Average Individual AUM | $377,064 | |
| HNW | 134 | $0.8 |
| Average HNW AUM | $6,185,567 | |
| Retail Total | 314 | $0.9 |
| Average Retail AUM | $2,855,852 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| CHARLES SCHWAB & CO., INC. | SAN FRANCISCO-CA-USA | $0.8 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.9 |
| Retail SMA AUM | $0.9 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 3% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 1% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 91% | $0.8 |
| Other Pools | 0% | $0.0 |
| Cash | 5% | $0.0 |
| Other | 0% | $0.0 |
| Total | 100% | $0.9 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| MICHAEL A. DIXON | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
5 active representatives found
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| MICHAEL DIXON | LAFAYETTE | CA | S63|1990-12-17 | ||||||
| WAYNE FREEMAN | LAFAYETTE | CA | S63|1991-12-09 | ||||||
| WALTER AU | LAFAYETTE | CA | S63|1994-12-30 | ||||||
| CORY DEGRAAF | LAFAYETTE | CA | S65|2024-03-16 | ||||||
| TYLER MULLEN | LAFAYETTE | CA | S65|2015-10-14 | ||||||
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-06-02 | $0.9 | $0.0 | 0% | 4 | 0 | 0% |
| 2025-04-21 | $0.9 | $0.0 | 0% | 4 | 0 | 0% |
| 2024-04-02 | $0.8 | $0.1 | 10% | 4 | 0 | 0% |
| 2023-04-04 | $0.7 | $0.2 | 30% | 4 | 0 | 0% |
| 2022-04-01 | $0.8 | $0.1 | 14% | 4 | 0 | 0% |
| 2021-04-05 | $0.7 | $0.3 | 40% | 4 | 0 | 0% |
| 2020-04-01 | $0.6 | $0.3 | 51% | 4 | 0 | 0% |
| 2019-04-01 | $0.5 | $0.4 | 73% | 4 | 0 | 0% |
| 2018-04-02 | $0.6 | $0.3 | 59% | 4 | 0 | 0% |
| 2017-04-01 | $0.5 | $0.4 | 79% | 4 | 0 | 0% |
| 2016-04-01 | $0.5 | $0.4 | 95% | 4 | 0 | 0% |
| 2015-04-01 | $0.5 | $0.4 | 96% | 3 | 1 | 33% |
| 2014-04-01 | $0.4 | $0.5 | 126% | 3 | 1 | 33% |
| 2013-04-01 | $0.3 | $0.6 | 209% | 3 | 1 | 33% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| AZ-02/06/2025, CA-07/17/1992, NV-02/06/2025, TX-03/25/2010, WA-02/06/2025 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV