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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C•••••••• P•••••••• I•••
Latest filing Jan 14, 2026
First filing on the tape Nov 9, 2011 · 31 filings
SEC status approved since May 18, 1989
RAUM
$197M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$196M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$98.3M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$197M as of Jan 14, 2026
Feb 22, 2012$152M then
HNW client RAUM$139M as of Jan 14, 2026
Feb 20, 2018$43.8M then
State-registered IARs (5.B.3)2 as of Jan 14, 2026
Feb 22, 20120 then
Employees (5.A)2 as of Jan 14, 2026
Feb 15, 20133 then
Private funds: no history
RAUM +13% over the last fiscal year+9.7% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 14, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $98.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 93derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $366,833derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.6%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $56,390, 2 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)
- 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$139M71%
- Individuals$57.3M29%
- Corporations and businesses$519,9060.3%
- Individual clients
- 126reported
- HNW clients
- 60reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 536reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $56,390 for 2 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• M••• M••••• | San Ramon, Ca | Jul 8, 1997 | 32 y | 0 |
| A••••••• K•••••• K•••••Certified Financial Planner | San Ramon, Ca | Jul 3, 2009 | 31 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- L•••• M••••••• S•••••••• to F•• S••••••••• C•••••••••Apr 17, 2008 · Other
Joined, latest
- L•••• M••••••• S•••••••• from B••• O•• S••••••••• C•••••••••Mar 2, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• A•••••••• K•••••• · Vp/Secretarycontrolsince 12/2008 · owns less than 5%
- M•••••• A•••• M••• · President, Chief Compliance Officercontrolsince 01/1995 · owns less than 5%
- K•••••• A•••••••• K•••••• · Trusteecontrolsince 05/2010 · owns 75% or more of 2••• K••••• F••••• R•••••••• T••••
- M•••••• A•••• M••• · Trusteecontrolsince 12/2009 · owns 75% or more of A••• M••• M••••• R•••••••• T••••
Entity owners
- 2••• K••••• F••••• R•••••••• T•••• · Shareholderdirect · owns 5% to 10%
- A••• M••• M••••• R•••••••• T•••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- A••• M••• M•••••y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Ramon, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 551 to 536Jun 2, 2025 to Jan 14, 2026
- HNW clients · 55 to 60Jun 2, 2025 to Jan 14, 2026
- Individual clients · 138 to 126Jun 2, 2025 to Jan 14, 2026
- Assets in custody · $198,108 to $56,390Jun 2, 2025 to Jan 14, 2026
- Employees · 7 to 2Jun 2, 2025 to Jan 14, 2026
- Discretionary RAUM · $174M to $197MJun 2, 2025 to Jan 14, 2026
- HNW RAUM · $112M to $139MJun 2, 2025 to Jan 14, 2026
- Individual RAUM · $60.8M to $57.3MJun 2, 2025 to Jan 14, 2026
- RAUM · $174M to $197MJun 2, 2025 to Jan 14, 2026
- Financial planning clients · 101-250 to 101-250Mar 21, 2025 to Jun 2, 2025
- Accounts · 601 to 551Nov 7, 2024 to Mar 21, 2025
- HNW clients · 46 to 55Nov 7, 2024 to Mar 21, 2025
- Individual clients · 160 to 138Nov 7, 2024 to Mar 21, 2025
- Assets in custody · $576,364 to $198,108Nov 7, 2024 to Mar 21, 2025
- Discretionary RAUM · $161M to $174MNov 7, 2024 to Mar 21, 2025
- HNW RAUM · $91.4M to $112MNov 7, 2024 to Mar 21, 2025
- Individual RAUM · $69.4M to $60.8MNov 7, 2024 to Mar 21, 2025
- RAUM · $161M to $174MNov 7, 2024 to Mar 21, 2025
- Accounts · 605 to 601Jan 20, 2023 to Jan 22, 2024
- HNW clients · 38 to 46Jan 20, 2023 to Jan 22, 2024
- Individual clients · 178 to 160Jan 20, 2023 to Jan 22, 2024
- Assets in custody · $177,672 to $576,364Jan 20, 2023 to Jan 22, 2024
- Employees · 8 to 7Jan 20, 2023 to Jan 22, 2024
- Discretionary RAUM · $149M to $161MJan 20, 2023 to Jan 22, 2024
- HNW RAUM · $75.4M to $91.4MJan 20, 2023 to Jan 22, 2024
- Individual RAUM · $73.5M to $69.4MJan 20, 2023 to Jan 22, 2024
- RAUM · $149M to $161MJan 20, 2023 to Jan 22, 2024
- Accounts · 631 to 605May 31, 2022 to Jan 20, 2023
- HNW clients · 62 to 38May 31, 2022 to Jan 20, 2023
- Individual clients · 157 to 178May 31, 2022 to Jan 20, 2023
- Assets in custody · $229,196 to $177,672May 31, 2022 to Jan 20, 2023
- Employees · 7 to 8May 31, 2022 to Jan 20, 2023
- Discretionary RAUM · $185M to $149MMay 31, 2022 to Jan 20, 2023
- HNW RAUM · $117M to $75.4MMay 31, 2022 to Jan 20, 2023
- Individual RAUM · $68.1M to $73.5MMay 31, 2022 to Jan 20, 2023
- RAUM · $185M to $149MMay 31, 2022 to Jan 20, 2023
- Accounts · 648 to 631Nov 2, 2021 to Jan 31, 2022
- HNW clients · 50 to 62Nov 2, 2021 to Jan 31, 2022
- Individual clients · 180 to 157Nov 2, 2021 to Jan 31, 2022
- Assets in custody · $405,645 to $229,196Nov 2, 2021 to Jan 31, 2022
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- h••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 925-553-7775reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 925-553-7200reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- C••••••••P•••••••INC.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 925-553-7200reportedpublic record, Form ADV, Jan 14, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $98.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026