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.
SEC-registered adviser
Rosenblum Silverman Sutton Sf Inc
Latest filing Feb 20, 2026
First filing on the tape Mar 30, 2012 · 31 filings
SEC status approved since Jun 15, 1984
RAUM
$487M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$484M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$122M
derived; firm RAUM over IAPD count
Employees
5
3 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$487M as of Feb 20, 2026
Mar 30, 2012$206M then
HNW client RAUM$461M as of Feb 20, 2026
Mar 29, 2018$339M then
State-registered IARs (5.B.3)4 as of Feb 20, 2026
Mar 27, 20130 then
Employees (5.A)5 as of Feb 20, 2026
Mar 27, 20137 then
Private funds: no history
RAUM +5.9% over the last fiscal year+13% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 20, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $122MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $3.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $111M, 35 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$461M95%
- Individuals$23.1M4.8%
- Pension and profit-sharing plans$3.0M0.6%
- Individual clients
- 52reported
- HNW clients
- 107reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 160reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $111M for 35 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Joel Daniel Stilwell | San Francisco, Ca | Jun 16, 2023 | 13 y | 0 |
| Charles Thomson AngleCertified Financial Planner | San Francisco, Ca | Dec 11, 2024 | 13 y | 3 |
| Sherry Chan Karlsson | San Francisco, Ca | Jan 1, 2025 | 10 y | 1 |
| Holger Nmn BerndtChartered Financial Analyst | San Francisco, Ca | Sep 25, 2025 | 12 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
- Margaret Ann Dolan to Financial Planning Solutions, LLCMay 3, 2021 · RIA to RIA
- Tobi Anne Mason to Trillium Asset ManagementJun 9, 2020 · RIA to RIA
- Michael Whitney Stephens to Parallel Advisors, LLCOct 16, 2015 · Other
Joined, latest
- Sherry Chan Karlsson from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 1, 2025 · Wirehouse to independent RIA
- Charles Thomson Angle from Cerity Partners LLCDec 11, 2024 · RIA to RIA
- Tobi Anne Mason from Svb WealthMay 2, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Nmn Holger Berndt · President And Chief Investment Officercontrolsince 08/2024 · owns 25% to 50%
- Anthony Philip Huff · Executive Vice President And Chief Financial Officercontrolsince 08/2024 · owns 10% to 25%
- Daniel Joel Stilwell · Executive Vice President And Chief Compliance Officercontrolsince 08/2024 · owns 25% to 50%
- Rosenblum Phyllis Sutton · Chairperson Emeritasince 08/2024 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Francisco, Ca · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 157 to 160Feb 28, 2025 to Feb 20, 2026
- Advisory employees · 2 to 3Feb 28, 2025 to Feb 20, 2026
- HNW clients · 110 to 107Feb 28, 2025 to Feb 20, 2026
- Individual clients · 46 to 52Feb 28, 2025 to Feb 20, 2026
- Pension plan clients · 1.0 to unsetFeb 28, 2025 to Feb 20, 2026
- Assets in custody · $101M to $111MFeb 28, 2025 to Feb 20, 2026
- Financial planning clients · 1-10 to 11-25Feb 28, 2025 to Feb 20, 2026
- Discretionary RAUM · $460M to $487MFeb 28, 2025 to Feb 20, 2026
- HNW RAUM · $436M to $461MFeb 28, 2025 to Feb 20, 2026
- Individual RAUM · $20.2M to $23.1MFeb 28, 2025 to Feb 20, 2026
- Pension RAUM · $3.5M to $3.0MFeb 28, 2025 to Feb 20, 2026
- RAUM · $460M to $487MFeb 28, 2025 to Feb 20, 2026
- Accounts · 155 to 157Dec 11, 2024 to Feb 28, 2025
- Corporate clients · 1 to 0Dec 11, 2024 to Feb 28, 2025
- HNW clients · 98 to 110Dec 11, 2024 to Feb 28, 2025
- Individual clients · 53 to 46Dec 11, 2024 to Feb 28, 2025
- Pension plan clients · 2 to 1Dec 11, 2024 to Feb 28, 2025
- Assets in custody · $56.4M to $101MDec 11, 2024 to Feb 28, 2025
- Employees · 6 to 5Dec 11, 2024 to Feb 28, 2025
- Financial planning clients · 1-10 to 1-10Dec 11, 2024 to Feb 28, 2025
- State-registered IARs · 2 to 4Dec 11, 2024 to Feb 28, 2025
- Discretionary RAUM · $382M to $460MDec 11, 2024 to Feb 28, 2025
- HNW RAUM · $348M to $436MDec 11, 2024 to Feb 28, 2025
- Individual RAUM · $25.2M to $20.2MDec 11, 2024 to Feb 28, 2025
- Pension RAUM · $8.5M to $3.5MDec 11, 2024 to Feb 28, 2025
- RAUM · $382M to $460MDec 11, 2024 to Feb 28, 2025
- Succession · false to trueMar 14, 2024 to Aug 31, 2024
- Succession · true to falseAug 31, 2024 to Aug 31, 2024
- Accounts · 160 to 155Sep 6, 2023 to Feb 29, 2024
- Charity clients · 1 to 0Sep 6, 2023 to Feb 29, 2024
- HNW clients · 93 to 98Sep 6, 2023 to Feb 29, 2024
- Individual clients · 62 to 53Sep 6, 2023 to Feb 29, 2024
- Pooled vehicle clients · unset to 0.0Sep 6, 2023 to Feb 29, 2024
- Assets in custody · $38.5M to $56.4MSep 6, 2023 to Feb 29, 2024
- State-registered IARs · 0 to 2Sep 6, 2023 to Feb 29, 2024
- Discretionary RAUM · $342M to $382MSep 6, 2023 to Feb 29, 2024
- HNW RAUM · $285M to $348MSep 6, 2023 to Feb 29, 2024
- Individual RAUM · $28.7M to $25.2MSep 6, 2023 to Feb 29, 2024
- Pension RAUM · $6.2M to $8.5MSep 6, 2023 to Feb 29, 2024
- Pooled vehicle RAUM · unset to 0.0Sep 6, 2023 to Feb 29, 2024
Signals
4 dated events
- Rosenblum Silverman Sutton Sf Inc reported RAUM $341.6M, down 34% from $521.1M (2022-06-29 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Ann Margaret Dolan (Chief Compliance Officer) no longer on Schedule A of Rosenblum Silverman Sutton Sf Inc (listed 2021-03-29, absent 2021-05-03)May 3, 2021 · Control person left · inference
- Rosenblum Silverman Sutton Sf Inc reported RAUM $482.9M, up 34% from $361.2M (2020-06-24 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- Rosenblum Silverman Sutton Sf Inc reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 24, 2018 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 415-771-4500reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- RSSIC.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 415-771-4500reportedpublic record, Form ADV, Feb 20, 2026
- Contact form
- rssic.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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $122Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026