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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Former SEC-registered adviser
S•••••• V••••• W••••• A•••••••• L••
Latest filing Nov 27, 2023
First filing on the tape Dec 2, 2011 · 39 filings
RAUM
$329M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$327M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$329M as of Mar 24, 2023
Mar 28, 2012$193M then
HNW client RAUM$270M as of Mar 24, 2023
Mar 14, 2018$244M then
State-registered IARs (5.B.3)4 as of Mar 24, 2023
Mar 28, 20120 then
Employees (5.A)6 as of Mar 24, 2023
Apr 1, 20137 then
Private funds: no history
RAUM -31% over the last fiscal year-2.7% a year over threeIARs 5 to 4offices 2 to 1
Practice profile
derived from the filing of Nov 27, 2023; every figure names its basis
- RAUM per advisor
- $82.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $413,505derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -31%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -28%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $27.6M, 13 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$270M82%
- Individuals$57.2M17%
- Pension and profit-sharing plans$1.3M0.4%
- Charitable organizations$546,5830.2%
- Individual clients
- 142reported
- HNW clients
- 110reported
- Pension plan clients
- 3reported
- Charitable clients
- 1reported
- Accounts
- 796reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $27.6M for 13 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
- T•••• F•••• L•••••• to A••••••• F••••••••• L•••Jan 2, 2024 · RIA to affiliated broker-dealer or bank
- C•••••• D•• H•• T••• to A••••••• F••••••••• L•••Jan 2, 2024 · RIA to affiliated broker-dealer or bank
- S•••• P•••••• Y••• to A••••••• F••••••••• L•••Jan 2, 2024 · RIA to affiliated broker-dealer or bank
- R•••••• S•••• P••••• to A••••••• F••••••••• L•••Jan 2, 2024 · RIA to affiliated broker-dealer or bank
- C••••••••• A•••• D••• to M••••• A•••••••• L••Mar 21, 2022 · RIA to affiliated broker-dealer or bank
- J•••• F•••••••• K•••• to P••••••• I••••••••• M••••••••• I••Nov 7, 2018 · Other
- J•••••• Y••••• to A••••• F••••••••• L••Sep 26, 2012 · Other
Joined, latest
- R•••••• S•••• P••••• from P••••• F•••••••• G••••Nov 12, 2019 · Other
- C••••••••• A•••• D••• from W•••••• • R•••Nov 14, 2016 · Other
- J•••••• Y••••• from N••••••• T•••• S••••••••• I••Dec 1, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for A••••••• F••••••••• L•••Jan 2, 2024 · San Jose, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• T••••• F•••• · Managing Member, Chief Executive Officer,Chief Compliance Officercontrolsince 03/2006 · owns 75% or more
- P•••••• R••••••• S•••• · Senior Wealth Advisorsince 01/2020 · owns 10% to 25%
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 Jose, Ca · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Half Moon Bay, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 1,094 to 796Jun 30, 2022 to Mar 24, 2023
- Charity clients · 2 to 1Jun 30, 2022 to Mar 24, 2023
- HNW clients · 137 to 110Jun 30, 2022 to Mar 24, 2023
- Individual clients · 214 to 142Jun 30, 2022 to Mar 24, 2023
- Pension plan clients · 6 to 3Jun 30, 2022 to Mar 24, 2023
- Assets in custody · $4.2M to $27.6MJun 30, 2022 to Mar 24, 2023
- Other offices · 2 to 1Jun 30, 2022 to Mar 24, 2023
- Discretionary RAUM · $467M to $327MJun 30, 2022 to Mar 24, 2023
- HNW RAUM · $376M to $270MJun 30, 2022 to Mar 24, 2023
- Individual RAUM · $92.3M to $57.2MJun 30, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $12.3M to $2.5MJun 30, 2022 to Mar 24, 2023
- Pension RAUM · $10.5M to $1.3MJun 30, 2022 to Mar 24, 2023
- RAUM · $479M to $329MJun 30, 2022 to Mar 24, 2023
- Advisory employees · 5 to 4Mar 11, 2022 to Mar 21, 2022
- Employees · 7 to 6Mar 11, 2022 to Mar 21, 2022
- Insurance-licensed employees · 2 to 0Mar 11, 2022 to Mar 21, 2022
- State-registered IARs · 5 to 4Mar 11, 2022 to Mar 21, 2022
- Accounts · 1,014 to 1,094Nov 22, 2021 to Mar 11, 2022
- HNW clients · 185 to 137Nov 22, 2021 to Mar 11, 2022
- Individual clients · 131 to 214Nov 22, 2021 to Mar 11, 2022
- Assets in custody · $135M to $4.2MNov 22, 2021 to Mar 11, 2022
- Discretionary RAUM · $396M to $467MNov 22, 2021 to Mar 11, 2022
- HNW RAUM · $69.7M to $376MNov 22, 2021 to Mar 11, 2022
- Individual RAUM · $326M to $92.3MNov 22, 2021 to Mar 11, 2022
- Non-discretionary RAUM · $9.9M to $12.3MNov 22, 2021 to Mar 11, 2022
- Pension RAUM · $9.5M to $10.5MNov 22, 2021 to Mar 11, 2022
- RAUM · $406M to $479MNov 22, 2021 to Mar 11, 2022
- Accounts · 964 to 1,014Jan 12, 2021 to Mar 26, 2021
- Charity clients · 0 to 2Jan 12, 2021 to Mar 26, 2021
- HNW clients · 206 to 185Jan 12, 2021 to Mar 26, 2021
- Individual clients · 120 to 131Jan 12, 2021 to Mar 26, 2021
- Assets in custody · $230M to $135MJan 12, 2021 to Mar 26, 2021
- Discretionary RAUM · $350M to $396MJan 12, 2021 to Mar 26, 2021
- HNW RAUM · $68.1M to $69.7MJan 12, 2021 to Mar 26, 2021
- Individual RAUM · $282M to $326MJan 12, 2021 to Mar 26, 2021
- Non-discretionary RAUM · $8.0M to $9.9MJan 12, 2021 to Mar 26, 2021
- Pension RAUM · $7.7M to $9.5MJan 12, 2021 to Mar 26, 2021
- RAUM · $358M to $406MJan 12, 2021 to Mar 26, 2021
- Accounts · 790 to 964Jun 27, 2019 to Feb 5, 2020
- HNW clients · 107 to 206Jun 27, 2019 to Feb 5, 2020
Signals
8 dated events
- T•••• F•••• L•••••• left S•••••• V••••• W••••• A•••••••• L•• for A••••••• F••••••••• L••• (registered 2023-12-08)Jan 2, 2024 · Advisor changed firm · fact
- C•••••• D•• H•• T••• left S•••••• V••••• W••••• A•••••••• L•• for A••••••• F••••••••• L••• (registered 2023-12-07)Jan 2, 2024 · Advisor changed firm · fact
- S•••• P•••••• Y••• left S•••••• V••••• W••••• A•••••••• L•• for A••••••• F••••••••• L••• (registered 2023-12-21)Jan 2, 2024 · Advisor changed firm · fact
- R•••••• S•••• P••••• left S•••••• V••••• W••••• A•••••••• L•• for A••••••• F••••••••• L••• (registered 2023-12-07)Jan 2, 2024 · Advisor changed firm · fact
- S•••••• V••••• W••••• A•••••••• L••'s advisors moved to A••••••• F••••••••• L••• (San Jose, CA): 4 of 4 registered, on the same dayJan 2, 2024 · Firm absorbed (people side) · derived
- S•••••• V••••• W••••• A•••••••• L•• reported RAUM $329.2M, down 31% from $479.4M (2022-06-30 to 2023-03-24)Mar 24, 2023 · RAUM change · derived
- C••••••••• A•••• D••• left S•••••• V••••• W••••• A•••••••• L•• for M••••• A•••••••• L•• (registered 2022-03-22)Mar 21, 2022 · Advisor changed firm · fact
- S•••• R•••••• P••••• (Member, Senior Wealth Advisor) appeared on Schedule A of S•••••• V••••• W••••• A•••••••• L••Feb 5, 2020 · Control person joined · 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