DFX Intelligence

R•••••••• A•••• M•••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserbroker-dealer affiliated wealth managerSEC registeredRAUM 1b 10b

R•••••••• A•••• M•••••••••

R•••••••• A•••• M•••••••••, LLC, CRD 323736

MENLO PARK, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9638285e-8550-5545-7225-1d258ae47f47

Data as of Jun 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 149
Dated events: 16
On other graphs: 0
Observed: Jan 23, 2023 to Jun 15, 2026
19 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: broker-dealer affiliated wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=138.0
Regulatory AUM: $1.5B••• Locked
Discretionary RAUM: $1.5B
Private client RAUM: $1.5Bderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 137
RAUM per advisor

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••••• J••••• S•••••••	n/a	MENLO PARK, CA	1	31	2	yes
H••• F••	n/a	NEW YORK, NY \| MENLO PARK, CA	1	11

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••• S••••••••• J•••••	President	Na	yes	08/2022	Jun 15, 2026	Jun 15, 2026
S•••••••• R•••••• J•••••	CHIEF COMPLIANCE OFFICER	Na	yes	01/2023	Jun 15, 2026	Jun 15, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•••••••• D••••••••• L••	n/a	n/a	n/a	N	yes	n/a
R•••••••• F••••••••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	1	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 6, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
39	6	33	4.4%	8	2	0	72	7

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.5B	$0	n/a	n/a	n/a	138	6	6	1

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S•••••••• A••••••• L••	2	Nov 6, 2025	May 1, 2026	BOSTON, MA	Team lift out	Ibd to RIA	0.0%

Relationships

showing 80 of 149

Registered with (78)

← D•••••• J••• S••••••••Advisorregistration: current employment
Sep 21, 2026 to presentfactForm ADV
← D••••••• R•••• H••••••Advisorregistration: current employment
Sep 9, 2026 to presentfactForm ADV
← R••• D•••• F•••••Advisorregistration: current employment
Sep 8, 2026 to presentfactForm ADV
← B•••• A•••••••• P••••••••

Dated events

5 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 11, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 30, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 2, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9638285e-8550-5545-7225-1d258ae47f47
First observed: Jan 23, 2023
Last observed: Jun 15, 2026 3 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.