DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

VISTA WEALTH MANAGEMENT, LLC

CRD 110252

PALO ALTO, 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:ba820d07-c4f8-443d-34d0-87034d56bbee

Data as of Aug 30, 2018 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 0
On other graphs: 0
Observed: Mar 26, 2012 to Aug 30, 2018
23 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $1.7BItem 5.F on the latest filing (2018-08-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.7B
Private client RAUM: $1.6BderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 27
Advisory employees: 25
Offices: 3Schedule D 1.F, beyond the principal office
Accounts: 1,835
Individual clients: 172
High net worth clients: 329
SEC number: 801-60117
CRD: 110252
Filings on the tape: 23
First filed: Mar 26, 2012
Latest filed: Aug 30, 2018
Organised: Limited Liability Company, California

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
FRAZIER, BRIAN, GLENN	CHIEF INVESTMENT OFFICER	B	yes	01/2009	Feb 25, 2015	Aug 30, 2018
KNIGHT, JAMES, MICHAEL	MANAGING MEMBER, CHIEF COMPLIANCE OFFICER	C	yes	02/2005	Mar 26, 2012	Aug 30, 2018
SPECTOR, MICHAEL, EDWARD	MANAGING MEMBER, CHIEF EXECUTIVE OFFICER	C	yes	07/1999	Mar 26, 2012	Aug 30, 2018
SWENSEN, ERIC, ROBERT	Member	A	no	01/2017	Feb 8, 2017	Aug 30, 2018
WHITE, AARON, JAMES	Member	A	no	01/2017	Feb 8, 2017	Aug 30, 2018

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	7	no
Pleasanton	CA	United States	2	no
Scottsdale	Az	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 15, 2018	$1.7B	$1.7B	27	25	3	n/a	n/a
2016	Feb 8, 2017	$1.5B	$1.5B	25	15	n/a	n/a	n/a
2015	Mar 28, 2016	$1.4B	$1.4B	27	15	n/a	n/a	n/a
2014	Feb 25, 2015	$1.3B	$1.3B	23	13	n/a	n/a	n/a
2013	Mar 21, 2014	$1.1B	$1.1B	19	11	n/a	n/a	n/a
2012	Feb 20, 2013	$849M	$793M	19	9	n/a	n/a	n/a
2011	Mar 26, 2012	$909M	$836M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$1.7B	$1.5B	9.8%	$1.3B	9.1%	27	25	3	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
ADERO PARTNERS, LLC	12	Aug 13, 2018	Aug 14, 2018	PALO ALTO, CA	Firm absorbed	RIA to new firm	100.0%

Relationships

Controls (3)

← FRAZIER, BRIAN, GLENNOwnerCHIEF INVESTMENT OFFICER, ownership code B, individual
Feb 25, 2015 to presentfactForm ADV
← KNIGHT, JAMES, MICHAELOwnerMANAGING MEMBER, CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 26, 2012 to presentfactForm ADV
← SPECTOR, MICHAEL, EDWARDOwnerMANAGING MEMBER, CHIEF EXECUTIVE OFFICER, ownership code C, individual
Mar 26, 2012 to presentfactForm ADV

Owns (2)

← SWENSEN, ERIC, ROBERTOwnerMEMBER, ownership code A, individual
Feb 8, 2017 to presentfactForm ADV
← WHITE, AARON, JAMESOwnerMEMBER, ownership code A, individual
Feb 8, 2017 to presentfactForm ADV

Moved with (1)

→ ADERO PARTNERS, LLCRegistered adviser12 advisors, firm absorbed, same day
Aug 13, 2018 to Aug 14, 2018factForm ADV

Registered with (20)

← JAYNE LOUISE SMITHAdvisorregistration: previous registration
May 22, 2012 to Aug 13, 2018factForm ADV
← JAMES MICHAEL KNIGHTAdvisorregistration: previous registration
Jan 18, 2005 to Aug 13, 2018factForm ADV
← MICHAEL EDWARD SPECTORAdvisorregistration: previous registration
Apr 25, 2000 to Aug 13, 2018factForm ADV
← ERIC ROBERT SWENSENAdvisorregistration: previous registration
Apr 4, 2005 to Aug 13, 2018factForm ADV
← CAROLYN ANN MASLINEAdvisorregistration: previous registration
Apr 20, 2011 to Aug 13, 2018factForm ADV
← JOHANNA SANCHEZ ADLESONAdvisorregistration: previous registration
Oct 17, 2013 to Aug 13, 2018factForm ADV
← WARREN GERALD JACKSONAdvisorregistration: previous registration
Jan 25, 2018 to Aug 13, 2018factForm ADV
← AARON JAMES WHITEAdvisorregistration: previous registration
Sep 4, 2009 to Aug 13, 2018factForm ADV
← REGAN STUART SMITHAdvisorregistration: previous registration
Feb 1, 2017 to Aug 13, 2018factForm ADV
← MARK MICHAEL BATESAdvisorregistration: previous registration
Nov 12, 2014 to Aug 13, 2018factForm ADV
← Minou Kristina RhoadesAdvisorregistration: previous registration
Apr 14, 2016 to Aug 13, 2018factForm ADV
← LUKE SEIDERMANAdvisorregistration: previous registration
Feb 2, 2017 to Aug 13, 2018factForm ADV
← MARK FRANCIS ASTRINOSAdvisorregistration: previous registration
May 1, 2012 to Feb 23, 2017factForm ADV
← Henry Burl PilgerAdvisorregistration: previous registration
Apr 15, 2009 to Jan 3, 2017factForm ADV
← DAVID SCOTT ORANSKYAdvisorregistration: previous registration
Feb 11, 2011 to Jul 1, 2013factForm ADV
← MICHAEL LANCE ROGERSAdvisorregistration: previous registration
Apr 15, 2009 to Jul 31, 2012factForm ADV
← JOSEPH PATRICK DELANEYAdvisorregistration: previous registration
Jun 24, 2009 to Jul 9, 2012factForm ADV
← Richard Andrew HillsberyAdvisorregistration: previous registration
Apr 15, 2009 to Feb 1, 2012factForm ADV
← STEVEN MAC WILLISAdvisorregistration: previous registration
Apr 15, 2009 to Dec 6, 2010factForm ADV
← ANGELA MARIE HAGERAdvisorregistration: previous registration
Apr 15, 2009 to Jan 12, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ba820d07-c4f8-443d-34d0-87034d56bbee
First observed: Mar 26, 2012
Last observed: Aug 30, 2018 98 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.

VISTA WEALTH MANAGEMENT, LLC

CRD 110252

PALO ALTO, 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:ba820d07-c4f8-443d-34d0-87034d56bbee

Data as of Aug 30, 2018 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:04 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FRAZIER, BRIAN, GLENN

CHIEF INVESTMENT OFFICER

yes

01/2009

Feb 25, 2015

Aug 30, 2018

KNIGHT, JAMES, MICHAEL

MANAGING MEMBER, CHIEF COMPLIANCE OFFICER

yes

02/2005

Mar 26, 2012

Aug 30, 2018

SPECTOR, MICHAEL, EDWARD

MANAGING MEMBER, CHIEF EXECUTIVE OFFICER

yes

07/1999

Mar 26, 2012

Aug 30, 2018

SWENSEN, ERIC, ROBERT

Member

01/2017

Feb 8, 2017

Aug 30, 2018

WHITE, AARON, JAMES

Member

01/2017

Feb 8, 2017

Aug 30, 2018

City

State

Country

Employees

Also broker-dealer

SAN FRANCISCO

United States

Pleasanton

United States

Scottsdale

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 15, 2018

$1.7B

n/a

2016

Feb 8, 2017

$1.5B

n/a

2015

Mar 28, 2016

$1.4B

n/a

2014

Feb 25, 2015

$1.3B

n/a

2013

Mar 21, 2014

$1.1B

n/a

2012

Feb 20, 2013

$849M

$793M

n/a

2011

Mar 26, 2012

$909M

$836M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$1.7B

$1.5B

9.8%

$1.3B

9.1%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ADERO PARTNERS, LLC

Aug 13, 2018

Aug 14, 2018

PALO ALTO, CA

Firm absorbed

RIA to new firm

100.0%