DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

B•• C•••••• M••••••••• I••

Former SEC-registered adviserOakland, CaliforniaCRD 105195SEC 801-34890IAPD
Latest filing Jul 11, 2022
First filing on the tape Mar 21, 2012 · 22 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$1.0B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$1.2B as of Mar 3, 2022
Mar 21, 2012$456M then
HNW client RAUM$991M as of Mar 3, 2022
Mar 21, 2018$668M then
State-registered IARs (5.B.3)8 as of Mar 3, 2022
Mar 21, 20120 then
Employees (5.A)14 as of Mar 3, 2022
Feb 25, 201310 then
Private funds: no history
RAUM +16% over the last fiscal year+15% a year over threeIARs 7 to 8
Practice profile
derived from the filing of Jul 11, 2022; every figure names its basis
RAUM per advisor
$144MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
41derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.0MderivedHNW RAUM over HNW clients
Average account
$1.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
9.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
8.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+16%derivedbetween the last two annual amendments
Advisor growth, one year
+14%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.5%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$33.2M, 14 clientsreportedItem 9.A
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)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$991M86%
  • Charitable organizations$76.2M6.6%
  • Individuals$44.6M3.9%
  • Pension and profit-sharing plans$31.5M2.7%
  • Corporations and businesses$8.5M0.7%
Individual clients
79reported
HNW clients
247reported
Pension plan clients
20reported
Charitable clients
12reported
Accounts
736reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$33.2M for 14 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••• J•••••••• W•••••• · Senior Vice President/Portfolio Mgr/Secretary/B.O.D.control
      since 08/2005 · owns 10% to 25%
    • F••••••••• A••••••••• G• •• O•••• · Senior Vice Presidentcontrol
      since 10/1989 · owns 5% to 10%
    • F••••••••• M•••• P•••••• · Senior Vice President/Portfolio Mgtcontrol
      since 04/2019 · owns less than 5%
    • J••••••••• T•••••••• S•••••• · Senior Vice President/Portfolio Mgrcontrol
      since 06/2018 · owns less than 5%
    • K••••••• L••••• H• •• O•••• · Chairman Of The Boardcontrol
      since 06/1989 · owns 25% to 50%
    • K••••••• M•••• A•••••• · Senior Vice President/Chief Investment Officer/Portfolio Managercontrol
      since 07/2009 · owns 10% to 25%
    • M•••••• R•••••• C••• · Senior Vice President/Portfolio Mgrcontrol
      since 10/2015 · owns less than 5%
    • O•••••• E••••••••• •••• · Vice President/Chief Information Security Officercontrol
      since 02/2006 · owns less than 5%
    • S•••••••• J•••• A•••• · President/Chief Compliance Officer/B.O.D.control
      since 02/1993 · owns 10% to 25%
    • W••••• M••••••• L••••• · Vice President/Portfolio Mgrcontrol
      since 08/2021 · owns less than 5%
    • W••••• R•••••• C••••••••• · Senior Vice President/Portfolio Mgrcontrol
      since 02/2015 · owns less than 5%
    • S•••••••• J•••• A•••• · Non-Employee
      since 01/2020 · owns less than 5%
    • S•••••••• T•••••• M•••••• · Non-Employee
      since 01/2020 · owns less than 5%
    • W••••• G••••••• A••••• · Retired
      since 02/2015 · owns less than 5%
    • Y••••••• S••••••• P••••• · Retired
      since 06/1989 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 728 to 736
      Mar 10, 2021 to Mar 3, 2022
    • Advisory employees · 7 to 8
      Mar 10, 2021 to Mar 3, 2022
    • Charity clients · 7 to 12
      Mar 10, 2021 to Mar 3, 2022
    • HNW clients · 240 to 247
      Mar 10, 2021 to Mar 3, 2022
    • Individual clients · 75 to 79
      Mar 10, 2021 to Mar 3, 2022
    • Pension plan clients · 22 to 20
      Mar 10, 2021 to Mar 3, 2022
    • Assets in custody · $34.2M to $33.2M
      Mar 10, 2021 to Mar 3, 2022
    • HQ city · SAN FRANCISCO to OAKLAND
      Mar 10, 2021 to Mar 3, 2022
    • State-registered IARs · 7 to 8
      Mar 10, 2021 to Mar 3, 2022
    • Discretionary RAUM · $989M to $1.2B
      Mar 10, 2021 to Mar 3, 2022
    • HNW RAUM · $841M to $991M
      Mar 10, 2021 to Mar 3, 2022
    • Individual RAUM · $50.9M to $44.6M
      Mar 10, 2021 to Mar 3, 2022
    • Pension RAUM · $30.7M to $31.5M
      Mar 10, 2021 to Mar 3, 2022
    • RAUM · $989M to $1.2B
      Mar 10, 2021 to Mar 3, 2022
    • Accounts · 745 to 728
      Oct 5, 2020 to Mar 10, 2021
    • HNW clients · 238 to 240
      Oct 5, 2020 to Mar 10, 2021
    • Individual clients · 81 to 75
      Oct 5, 2020 to Mar 10, 2021
    • Pension plan clients · 13 to 22
      Oct 5, 2020 to Mar 10, 2021
    • Assets in custody · $31.8M to $34.2M
      Oct 5, 2020 to Mar 10, 2021
    • Discretionary RAUM · $913M to $989M
      Oct 5, 2020 to Mar 10, 2021
    • HNW RAUM · $775M to $841M
      Oct 5, 2020 to Mar 10, 2021
    • Individual RAUM · $49.7M to $50.9M
      Oct 5, 2020 to Mar 10, 2021
    • Pension RAUM · $26.2M to $30.7M
      Oct 5, 2020 to Mar 10, 2021
    • RAUM · $913M to $989M
      Oct 5, 2020 to Mar 10, 2021
    • Advisory employees · 8 to 7
      Jun 9, 2020 to Oct 5, 2020
    • Employees · 12 to 14
      Jun 9, 2020 to Oct 5, 2020
    • State-registered IARs · 8 to 7
      Jun 9, 2020 to Oct 5, 2020
    • Accounts · 731 to 745
      Apr 23, 2019 to Mar 30, 2020
    • Charity clients · 6 to 7
      Apr 23, 2019 to Mar 30, 2020
    • Corporate clients · 0 to 5
      Apr 23, 2019 to Mar 30, 2020
    • HNW clients · 213 to 238
      Apr 23, 2019 to Mar 30, 2020
    • Individual clients · 110 to 81
      Apr 23, 2019 to Mar 30, 2020
    • Pension plan clients · 14 to 13
      Apr 23, 2019 to Mar 30, 2020
    • Assets in custody · $101M to $31.8M
      Apr 23, 2019 to Mar 30, 2020
    • Discretionary RAUM · $760M to $913M
      Apr 23, 2019 to Mar 30, 2020
    • HNW RAUM · $620M to $775M
      Apr 23, 2019 to Mar 30, 2020
    • Individual RAUM · $63.9M to $49.7M
      Apr 23, 2019 to Mar 30, 2020
    • Pension RAUM · $25.5M to $26.2M
      Apr 23, 2019 to Mar 30, 2020
    • RAUM · $760M to $913M
      Apr 23, 2019 to Mar 30, 2020
    • Advisory employees · 7 to 8
      Mar 11, 2019 to Apr 23, 2019
    Signals
    9 dated events
    • J••••••• W•••••• B••••• left B•• C•••••• M••••••••• I•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-11-16)
      Dec 6, 2022 · Advisor changed firm · fact
    • T••••••• S•••••• J•••••••• left B•• C•••••• M••••••••• I•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-11-16)
      Dec 6, 2022 · Advisor changed firm · fact
    • M••• P•••••• F••••••••• left B•• C•••••• M••••••••• I•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-11-16)
      Dec 6, 2022 · Advisor changed firm · fact
    • J••• S••••••• left B•• C•••••• M••••••••• I•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-11-16)
      Dec 6, 2022 · Advisor changed firm · fact
    • B•• C•••••• M••••••••• I••'s advisors moved to W••••• E••••••••• A••••••• S•••••••• L•• (Oakland, CA): 4 of 4 registered, on the same day
      Dec 6, 2022 · Firm absorbed (people side) · derived
    • L••••• M•••••• W•••• (Vice President/Portfolio Mgr) appeared on Schedule A of B•• C•••••• M••••••••• I••
      Mar 3, 2022 · Control person joined · fact
    • P•••••• M••• F••••••••• (Senior Vice President/Portfolio Mgt) appeared on Schedule A of B•• C•••••• M••••••••• I••
      Apr 23, 2019 · Control person joined · fact
    • Paul Ward Lindenmayer (Senior Vice President/Portfolio Mgr) no longer on Schedule A of B•• C•••••• M••••••••• I•• (listed 2018-03-21, absent 2019-03-11)
      Mar 11, 2019 · Control person left · inference
    • S•••••• T••••••• J•••••••• (Senior Vice President/Portfolio Mgr) appeared on Schedule A of B•• C•••••• M••••••••• I••
      Mar 11, 2019 · Control person joined · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026