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
M••••••• C•••••• I•••••••• I••
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 22 filings
SEC status approved since Oct 26, 1982
RAUM
$1.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
61%
$1.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 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$1.9B as of Mar 30, 2026
Mar 30, 2012$619M then
HNW client RAUM$1.1B as of Mar 30, 2026
Mar 29, 2018$604M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 30, 20120 then
Employees (5.A)5 as of Mar 30, 2026
Mar 27, 20135 then
Private funds1 as of Mar 30, 2021
Mar 30, 20121 then
RAUM -0.5% over the last fiscal year+9.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $15.5MderivedHNW RAUM over HNW clients
- Average account
- $20.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 21%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $218M, 10 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)
- 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$1.1B61%
- Pooled investment vehicles$328M18%
- Charitable organizations$224M12%
- Pension and profit-sharing plans$172M9.2%
- Individuals$3.5M0.2%
- Individual clients
- 6reported
- HNW clients
- 73reported
- Pension plan clients
- 2reported
- Charitable clients
- 7reported
- Accounts
- 90reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $218M for 10 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.61 fund_share=0.18 institutional_share=0.21 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N•••• S••• H•••• F••• L•no longer reported | Hedge Fund | $143M | 11 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- M•••••••• A•••••• J• · Presidentcontrolsince 07/1982 · owns 25% to 50%
- M•••••••• T••••• H• · Vice Presidentcontrolsince 01/1986 · owns 25% to 50%
- U••••• L••••• M• · Chief Compliance Officercontrolsince 10/2004 · owns less than 5%
- S•••••• T•••••• F••• · Shareholdersince 01/1994 · owns 10% to 25%
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 · 91 to 90Mar 28, 2025 to Mar 30, 2026
- Charity clients · 9 to 7Mar 28, 2025 to Mar 30, 2026
- HNW clients · 72 to 73Mar 28, 2025 to Mar 30, 2026
- Individual clients · 7 to 6Mar 28, 2025 to Mar 30, 2026
- Pension plan clients · 1 to 2Mar 28, 2025 to Mar 30, 2026
- Assets in custody · $203M to $218MMar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.9B to $1.9BMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $1.1B to $1.1BMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $3.7M to $3.5MMar 28, 2025 to Mar 30, 2026
- Pension RAUM · $163M to $172MMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $380M to $328MMar 28, 2025 to Mar 30, 2026
- RAUM · $1.9B to $1.9BMar 28, 2025 to Mar 30, 2026
- Accounts · 90 to 91Mar 28, 2024 to Mar 28, 2025
- Charity clients · 8 to 9Mar 28, 2024 to Mar 28, 2025
- HNW clients · 73 to 72Mar 28, 2024 to Mar 28, 2025
- Individual clients · 5 to 7Mar 28, 2024 to Mar 28, 2025
- Pension plan clients · 2 to 1Mar 28, 2024 to Mar 28, 2025
- Assets in custody · $116M to $203MMar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to 0Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.6B to $1.9BMar 28, 2024 to Mar 28, 2025
- HNW RAUM · $914M to $1.1BMar 28, 2024 to Mar 28, 2025
- Individual RAUM · $3.6M to $3.7MMar 28, 2024 to Mar 28, 2025
- Pension RAUM · $129M to $163MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $360M to $380MMar 28, 2024 to Mar 28, 2025
- RAUM · $1.6B to $1.9BMar 28, 2024 to Mar 28, 2025
- Accounts · 91 to 90Mar 30, 2023 to Mar 28, 2024
- Charity clients · 10 to 8Mar 30, 2023 to Mar 28, 2024
- HNW clients · 70 to 73Mar 30, 2023 to Mar 28, 2024
- Individual clients · 6 to 5Mar 30, 2023 to Mar 28, 2024
- Pension plan clients · 3 to 2Mar 30, 2023 to Mar 28, 2024
- Assets in custody · $96.8M to $116MMar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.4B to $1.6BMar 30, 2023 to Mar 28, 2024
- HNW RAUM · $770M to $914MMar 30, 2023 to Mar 28, 2024
- Individual RAUM · $3.5M to $3.6MMar 30, 2023 to Mar 28, 2024
- Pension RAUM · $117M to $129MMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $313M to $360MMar 30, 2023 to Mar 28, 2024
- RAUM · $1.4B to $1.6BMar 30, 2023 to Mar 28, 2024
- Accounts · 90 to 91Mar 30, 2022 to Mar 30, 2023
- HNW clients · 66 to 70Mar 30, 2022 to Mar 30, 2023
- Individual clients · 8 to 6Mar 30, 2022 to Mar 30, 2023
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
- Principal office phone
- 925-258-5401reportedpublic record, Form ADV, Mar 30, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026