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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SEC-registered adviser
S••••• I••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Mar 16, 2012 · 62 filings
SEC status approved since May 6, 1983
RAUM
$4.2B
reported, Item 5.F
Discretionary
63%
of RAUM
Private clients
32%
$1.4B individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$702M
derived; firm RAUM over IAPD count
Employees
23
15 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
62 filings and snapshots on the tape
RAUM$4.2B as of Mar 24, 2026
Mar 16, 2012$1.3B then
HNW client RAUM$1.4B as of Mar 24, 2026
Feb 23, 2018$2.5B then
State-registered IARs (5.B.3)8 as of Mar 24, 2026
Apr 1, 20136 then
Employees (5.A)23 as of Mar 24, 2026
Apr 1, 201315 then
Private funds: no history
RAUM -0.4% over the last fiscal year+3.1% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $702MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 219derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $3.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 63%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.8derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.3%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$1.5B37%
- High-net-worth individuals$1.4B32%
- Investment companies$1.1B25%
- Corporations and businesses$155M3.7%
- Charitable organizations$62.1M1.5%
- Pension and profit-sharing plans$26.4M0.6%
- Individual clients
- 0reported
- HNW clients
- 1,314reported
- Pension plan clients
- 11reported
- Charitable clients
- 18reported
- Accounts
- 1,395reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $1.5B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.32 fund_share=0.62 institutional_share=0.02 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• C• J••••Chartered Financial Analyst | Los Gatos, Ca | Aug 7, 2019 | 17 y | 3 |
| A•••• D••••••• M•••••Chartered Financial Analyst | Los Gatos, Ca | Mar 4, 2020 | 16 y | 2 |
| T••••••• D• H•••••••• | Los Gatos, Ca | Feb 20, 2024 | 12 y | 3 |
| M••••• A••• P••••••Certified Financial Planner | Los Gatos, Ca | May 22, 2024 | 10 y | 3 |
| D•••••• L•••• R••••••• | Los Gatos, Ca | Nov 17, 2025 | 15 y | 0 |
| J••••• T••••• C••••Chartered Financial Analyst | Los Gatos, Ca | Jan 1, 2026 | 10 y | 0 |
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount4 left over 36 months
Left, latest
- K•••••• M••••• V••••• K••• to S•••••••• L••Jan 2, 2026 · RIA to RIA
- D••••• R••••• D••••••• to P••••••• A•••••••• L••Nov 13, 2025 · RIA to RIA
- E••••••• A•••• L••••• to S••••• W••••• A•••••••• I•••Sep 2, 2025 · Other
- R••••• E••• O•••••• to A•••• C•••••• P•••••••• L••Mar 3, 2025 · RIA to RIA
- L••• M•••• P•••••••• to S•••••• V••••• C•••••• P•••••••• L•••Mar 31, 2020 · RIA to RIA
- M•••••• L•• A••••• to F•••••••• C•••••• M••••••••• L••May 15, 2019 · RIA to RIA
- S••••• P•• to F•••••••• C•••••• M••••••••• L••May 15, 2019 · RIA to RIA
- R•••• B••• to F•••••••• C•••••• M••••••••• L••May 15, 2019 · RIA to RIA
- L•••• L••• K•••••• to C•••••••• F•••••••• G•••• L••Feb 23, 2018 · RIA to a state-registered adviser
- M••••• M•••••• P•••••• to N•••••• C•••••• M••••••••• I••Apr 25, 2006 · Other
Joined, latest
- M••••• A••• P•••••• from K••••• A••••••• S•••••••• L••May 22, 2024 · Affiliated broker-dealer or bank to independent RIA
- T••••••• D• H•••••••• from R•• C•••••• M••••••• L••Feb 20, 2024 · Affiliated broker-dealer or bank to independent RIA
- D••••• R••••• D••••••• from K•• I••••••••• A•••••••Mar 23, 2021 · RIA to RIA
- A•••• D••••••• M••••• from W•••• F•••• A•••••••Mar 4, 2020 · Wirehouse to independent RIA
- R••••• E••• O•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 13, 2018 · Wirehouse to independent RIA
- S••••• P•• from S•••• C•••••• L••Feb 5, 2018 · Other
- R•••• B••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 21, 2016 · Other
- L••• M•••• P•••••••• from N••••••• H•••••• • C••••••• L••Jun 2, 2015 · Other
- M•••••• L•• A••••• from W•••• F•••• I••••••••• L••Jul 28, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for F•••••••• C•••••• M••••••••• L••May 15, 2019 · Los Gatos, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• B••••• A••• · President & Managing Member (Class A)controlsince 10/2010 · owns 10% to 25%
- K•••••• K•••• · Member (Class A)controlsince 01/2019 · owns 10% to 25%
- K•••••• B••••• A••• · Partnercontrolsince 10/2017 · owns 25% to 50% of K• C•••••• M••••••••• L••
- K•••••• K•••• · Partnercontrolsince 10/2017 · owns 25% to 50% of K• C•••••• M••••••••• L••
- M•••••• J••••• A••• · Chief Compliance Officer & Chief Operating Officersince 11/2010 · owns less than 5%
Entity owners
- K• C•••••• M••••••••• L•• · Member (Class A)direct · owns 25% to 50%
- E•••••• S• · Holding Companyindirect · owns 75% or more of L••••••• H•••••• 3•
- I• S••••• S•• · Parentindirect · owns 75% or more of I• S••••• H•••••• 5• L••
- L••••••• H•••••• 3• · Holding Companyindirect · owns 50% to 75% of I• S••••• S••
- I• S••••• H•••••• 5• L•• · Member (Class C)direct · owns 25% to 50%
Related persons
Schedule D 7.A
- I• G••••• P•••••• F••• M••••••••• L••investment advisernRAUM $4.0B
- I• G••••• U• D••••••••• L••broker-dealern
Advisers that list S••••• I••••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los Gatos, Ca · principal | 6 | 2 | 2 | ||
| Jacksonville, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Soquel, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 1,523 to 1,395Mar 17, 2025 to Mar 24, 2026
- Charity clients · 19 to 18Mar 17, 2025 to Mar 24, 2026
- Corporate clients · 44 to 37Mar 17, 2025 to Mar 24, 2026
- HNW clients · 1,433 to 1,314Mar 17, 2025 to Mar 24, 2026
- Pension plan clients · 12 to 11Mar 17, 2025 to Mar 24, 2026
- Discretionary RAUM · $2.8B to $2.7BMar 17, 2025 to Mar 24, 2026
- HNW RAUM · $1.8B to $1.4BMar 17, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $1.4B to $1.5BMar 17, 2025 to Mar 24, 2026
- Pension RAUM · $31.5M to $26.4MMar 17, 2025 to Mar 24, 2026
- RAUM · $4.2B to $4.2BMar 17, 2025 to Mar 24, 2026
- Wrap assets (manager) · $1.2B to $1.5BMar 17, 2025 to Mar 24, 2026
- Accounts · 1,603 to 1,523Aug 19, 2024 to Mar 17, 2025
- Advisory employees · 14 to 15Aug 19, 2024 to Mar 17, 2025
- Charity clients · 23 to 19Aug 19, 2024 to Mar 17, 2025
- Corporate clients · 53 to 44Aug 19, 2024 to Mar 17, 2025
- HNW clients · 1,497 to 1,433Aug 19, 2024 to Mar 17, 2025
- Pension plan clients · 17 to 12Aug 19, 2024 to Mar 17, 2025
- Financial planning clients · 101-250 to 101-250Aug 19, 2024 to Mar 17, 2025
- State-registered IARs · 6 to 8Aug 19, 2024 to Mar 17, 2025
- Discretionary RAUM · $3.3B to $2.8BAug 19, 2024 to Mar 17, 2025
- HNW RAUM · $1.9B to $1.8BAug 19, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $1.3B to $1.4BAug 19, 2024 to Mar 17, 2025
- Pension RAUM · $371M to $31.5MAug 19, 2024 to Mar 17, 2025
- RAUM · $4.5B to $4.2BAug 19, 2024 to Mar 17, 2025
- Wrap assets (manager) · $1.3B to $1.2BAug 19, 2024 to Mar 17, 2025
- Accounts · 1,522 to 1,603Mar 23, 2023 to Mar 11, 2024
- Advisory employees · 12 to 14Mar 23, 2023 to Mar 11, 2024
- Charity clients · 24 to 23Mar 23, 2023 to Mar 11, 2024
- Corporate clients · 59 to 53Mar 23, 2023 to Mar 11, 2024
- HNW clients · 1,412 to 1,497Mar 23, 2023 to Mar 11, 2024
- Pension plan clients · 15 to 17Mar 23, 2023 to Mar 11, 2024
- Employees · 25 to 23Mar 23, 2023 to Mar 11, 2024
- State-registered IARs · 7 to 6Mar 23, 2023 to Mar 11, 2024
- Discretionary RAUM · $2.7B to $3.3BMar 23, 2023 to Mar 11, 2024
- HNW RAUM · $1.6B to $1.9BMar 23, 2023 to Mar 11, 2024
- Non-discretionary RAUM · $1.2B to $1.3BMar 23, 2023 to Mar 11, 2024
- Pension RAUM · $64.6M to $371MMar 23, 2023 to Mar 11, 2024
- RAUM · $3.8B to $4.5BMar 23, 2023 to Mar 11, 2024
- Wrap assets (manager) · $1.3B to $1.3BMar 23, 2023 to Mar 11, 2024
- Accounts · 1,435 to 1,522Oct 10, 2022 to Mar 10, 2023
Signals
5 dated events
- K•••••• M••••• V••••• K••• left S••••• I••••••••• L•• for S•••••••• L•• (registered 2024-02-27)Jan 2, 2026 · Advisor changed firm · fact
- D••••• R••••• D••••••• left S••••• I••••••••• L•• for P••••••• A•••••••• L•• (registered 2021-09-17)Nov 13, 2025 · Advisor changed firm · fact
- E••••••• A•••• L••••• left S••••• I••••••••• L•• for S••••• W••••• A•••••••• I••• (registered 2025-09-05)Sep 2, 2025 · Advisor changed firm · fact
- R••••• E••• O•••••• left S••••• I••••••••• L•• for A•••• C•••••• P•••••••• L•• (registered 2019-08-06)Mar 3, 2025 · Advisor changed firm · fact
- S••••• I••••••••• L•• reported RAUM $3.2B, down 35% from $5.0B (2018-07-26 to 2019-02-28)Feb 28, 2019 · RAUM change · derived
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 phone
- 800-617-0004reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/S•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••://S•••••ETFS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 831-429-6513reportedpublic record, Form ADV, Mar 24, 2026
- Contact form
- scharfetfs.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $702Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026