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.

Former SEC-registered adviser

Genovese Burford & Brothers Wealth And Retirement Plan Mgmt, LLC

Former SEC-registered adviserSacramento, CaliforniaCRD 105698SEC 801-36720IAPD
Latest filing Jan 20, 2021
First filing on the tape Mar 29, 2012 · 19 filings
RAUM
$2.2B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
69%
$1.5B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
40
35 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$2.2B as of Mar 19, 2020
Mar 29, 2012$772M then
HNW client RAUM$1.1B as of Mar 19, 2020
Mar 28, 2018$842M then
State-registered IARs (5.B.3)15 as of Mar 19, 2020
Mar 7, 20136 then
Employees (5.A)40 as of Mar 19, 2020
Mar 7, 201314 then
Private funds: no history
RAUM +9.7% over the last fiscal year+16% a year over threeIARs 15 to 15offices 2 to 1
Practice profile
derived from the filing of Jan 20, 2021; every figure names its basis
RAUM per advisor
$144MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
91derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
25%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.7derivedItem 5.A over advisors
Advisors per office
7.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+9.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+37%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Custody
$520M, 882 clientsreportedItem 9.A
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is an insurance broker or agent (6.A.6)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.1B52%
  • Pension and profit-sharing plans$504M23%
  • Individuals$363M17%
  • Corporations and businesses$131M6.1%
  • Charitable organizations$41.1M1.9%
Individual clients
915reported
HNW clients
455reported
Pension plan clients
129reported
Charitable clients
9reported
Accounts
1,672reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$520M for 882 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, 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
  • Thomas Kelly Brothers · Vice Presidentcontrol
    since 07/2012 · owns less than 5%
  • Gilbert Alexander Brown · Chief Financial Officer, Chief Executive Officercontrol
    since 07/2012 · owns less than 5%
  • Angie Butler · Chief Compliance Officercontrol
    since 01/2016 · owns less than 5%
  • Thomas Michael Genovese · Co-Chief Investment Officer, Chairmancontrol
    since 01/2019 · owns less than 5%
  • Carmack Scott Thomas · Co-Chief Investment Officercontrol
    since 02/2020 · owns less than 5%
  • M Sean Thomas · Chief Operations Officercontrol
    since 02/2020 · owns less than 5%
  • Adams Nathan Torinus · Chief Revenue Officercontrol
    since 01/2016 · owns less than 5%
  • Thomas Kelly Brothers · Vice Presidentcontrol
    since 01/2018 · owns 25% to 50% of Genovese Burford & Brothers Wealth And Retirement Plan Management, Inc.
  • Thomas Michael Genovese · President, Chairmancontrol
    since 01/1995 · owns 25% to 50% of Genovese Burford & Brothers Wealth And Retirement Plan Management, Inc.
Entity owners
  • Genovese Burford & Brothers Wealth And Retirement Plan Management, Inc. · Managing Member
    direct · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Roseville, CA8 employees
What changed
consecutive filings, newest first
  • Related adviser · false to true
    Jun 12, 2020 to Jan 20, 2021
  • Related broker-dealer · false to true
    Jun 12, 2020 to Jan 20, 2021
  • Accounts · 2,654 to 1,672
    Mar 29, 2019 to Mar 19, 2020
  • Advisory employees · 29 to 35
    Mar 29, 2019 to Mar 19, 2020
  • Charity clients · 8 to 9
    Mar 29, 2019 to Mar 19, 2020
  • Corporate clients · 31 to 41
    Mar 29, 2019 to Mar 19, 2020
  • HNW clients · 340 to 455
    Mar 29, 2019 to Mar 19, 2020
  • Individual clients · 658 to 915
    Mar 29, 2019 to Mar 19, 2020
  • Pension plan clients · 122 to 129
    Mar 29, 2019 to Mar 19, 2020
  • Assets in custody · $175M to $520M
    Mar 29, 2019 to Mar 19, 2020
  • Employees · 29 to 40
    Mar 29, 2019 to Mar 19, 2020
  • Financial planning clients · 51-100 to 1-10
    Mar 29, 2019 to Mar 19, 2020
  • Other offices · 2 to 1
    Mar 29, 2019 to Mar 19, 2020
  • Discretionary RAUM · $1.4B to $2.1B
    Mar 29, 2019 to Mar 19, 2020
  • HNW RAUM · $772M to $1.1B
    Mar 29, 2019 to Mar 19, 2020
  • Individual RAUM · $343M to $363M
    Mar 29, 2019 to Mar 19, 2020
  • Non-discretionary RAUM · $596M to $52.8M
    Mar 29, 2019 to Mar 19, 2020
  • Pension RAUM · $687M to $504M
    Mar 29, 2019 to Mar 19, 2020
  • RAUM · $2.0B to $2.2B
    Mar 29, 2019 to Mar 19, 2020
  • Employees · 26 to 29
    Mar 28, 2018 to Mar 29, 2019
  • Accounts · 2,520 to 2,654
    Mar 28, 2018 to Mar 29, 2019
  • Advisory employees · 26 to 29
    Mar 28, 2018 to Mar 29, 2019
  • BD registered reps · 13 to 15
    Mar 28, 2018 to Mar 29, 2019
  • Charity clients · 5 to 8
    Mar 28, 2018 to Mar 29, 2019
  • Corporate clients · 32 to 31
    Mar 28, 2018 to Mar 29, 2019
  • HNW clients · 351 to 340
    Mar 28, 2018 to Mar 29, 2019
  • Individual clients · 660 to 658
    Mar 28, 2018 to Mar 29, 2019
  • Pension plan clients · 126 to 122
    Mar 28, 2018 to Mar 29, 2019
  • Assets in custody · $439M to $175M
    Mar 28, 2018 to Mar 29, 2019
  • State-registered IARs · 20 to 15
    Mar 28, 2018 to Mar 29, 2019
  • Discretionary RAUM · $1.5B to $1.4B
    Mar 28, 2018 to Mar 29, 2019
  • HNW RAUM · $842M to $772M
    Mar 28, 2018 to Mar 29, 2019
  • Individual RAUM · $354M to $343M
    Mar 28, 2018 to Mar 29, 2019
  • Non-discretionary RAUM · $558M to $596M
    Mar 28, 2018 to Mar 29, 2019
  • Pension RAUM · $667M to $687M
    Mar 28, 2018 to Mar 29, 2019
  • RAUM · $2.0B to $2.0B
    Mar 28, 2018 to Mar 29, 2019
  • Accounts · 1,663 to 2,520
    Dec 19, 2017 to Mar 28, 2018
  • Advisory employees · 20 to 26
    Dec 19, 2017 to Mar 28, 2018
  • BD registered reps · 14 to 13
    Dec 19, 2017 to Mar 28, 2018
  • Charity clients · unset to 5.0
    Dec 19, 2017 to Mar 28, 2018
Signals
4 dated events
  • Carmack Scott Thomas (Co-Chief Investment Officer) appeared on Schedule A of Genovese Burford & Brothers Wealth And Retirement Plan Mgmt, Llc
    Mar 19, 2020 · Control person joined · fact
  • M Sean Thomas (Chief Operations Officer) appeared on Schedule A of Genovese Burford & Brothers Wealth And Retirement Plan Mgmt, Llc
    Mar 19, 2020 · Control person joined · fact
  • Genovese Burford & Brothers Wealth And Retirement Plan Mgmt, Llc reported RAUM $2.0B, up 47% from $1.4B (2017-12-19 to 2018-03-28)
    Mar 28, 2018 · RAUM change · derived
  • Genovese Burford & Brothers Asset Management reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Apr 20, 2012 · Succession (Item 4) · 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