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
Liberty Wealth Management, LLC
Latest filing Jul 16, 2018
First filing on the tape Mar 30, 2012 · 27 filings
RAUM
$357M
reported, Item 5.F
Discretionary
0.4%
of RAUM
Private clients
2.3%
$8.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
23
16 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$858M as of Mar 31, 2018
Mar 30, 2012$179M then
HNW client RAUM: $429M
State-registered IARs (5.B.3)15 as of Mar 31, 2018
Mar 30, 20120 then
Employees (5.A)23 as of Mar 31, 2018
Mar 19, 201323 then
Private funds: no history
RAUM -58% over the last fiscal year-17% a year over threeIARs 15 to 16
Practice profile
derived from the filing of Jul 16, 2018; every figure names its basis
- RAUM per advisor
- $22.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $3.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.4%derivedof RAUM
- Institutional
- 9.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.3derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- 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
- is a broker-dealer (6.A.1)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$34.9M81%
- Individuals$8.1M19%
- Individual clients
- 58reported
- HNW clients
- n/areported
- Pension plan clients
- 30reported
- Charitable clients
- n/areported
- Accounts
- 94reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
- David James Hollander to Wildwood Asset Management LLCOct 10, 2018 · Other
- Robert Alan Love to LPL Financial LLCJan 17, 2018 · Other
- Stephen Ernest Mantzouris to O'Donnell Financial Services, LLCOct 9, 2017 · Other
- Michael Powell to National Planning Corporation ("Npc Of America" In Fl & Ny)Jun 19, 2013 · Other
- Everett Lyle Johnson to Wildwood Asset Management LLCFeb 20, 2013 · Other
- Erik Lawrence Krom to Alphastar Capital ManagementJul 20, 2012 · Other
- Matthew S Klaess to Alphastar Capital ManagementJul 20, 2012 · Other
- Robert Paul Klaess to Alphastar Capital ManagementJul 20, 2012 · Other
- Erik Jason Kautzmann to Strategic Advisers LLCOct 18, 2011 · Other
- Elaine Thompson-Perez to Ameritas Advisory ServicesOct 12, 2011 · Other
- Randy King Barkley to Tricord Advisors, Inc.Apr 1, 2011 · Other
- David A Minor to Ameriprise Financial Services, LLCNov 22, 2010 · Other
- M. Benay Curtis-Bauer to Cetera Investment Advisers LLCNov 2, 2009 · Other
- Gregory Charles O'Donnell to Financial Telesis, Inc.May 28, 2009 · Other
- Brent Curtis Wolf to Qa3 Financial LLCMay 18, 2009 · Other
Joined, latest
- Kenneth William Henson from LPL Financial LLCAug 6, 2018 · Other
- Ron L Guidi from Robertson Stephens AdvisorsAug 24, 2017 · Other
- Timothy Daniel Gallagher from E*Trade Capital Management, LLCJun 5, 2017 · Other
- Jennifer L Kilby from Tuttle Wealth Management, LLCSep 14, 2015 · Other
- Robert Alan Love from New England Securities CorporationApr 15, 2014 · Other
- Elaine Thompson-Perez from Msi Financial Services, Inc.Mar 30, 2011 · Other
- Erik Jason Kautzmann from Wells Fargo AdvisorsDec 22, 2010 · Other
- Stephen Ernest Mantzouris from Atlas Capital Advisors Inc.May 27, 2010 · Other
- Paul Otto Gelormini from Securities America Advisors, Inc.Mar 26, 2010 · Other
- Charles Nicholas Moore from Cuna Brokerage Services, Inc.Aug 5, 2009 · Other
- David James Hollander from Liberty Group, LLCOct 22, 2008 · Other
- David A Minor from Liberty Group, LLCOct 22, 2008 · Other
- Balamir Trunec from Liberty Group, LLCOct 22, 2008 · Other
- M. Benay Curtis-Bauer from Liberty Group, LLCOct 21, 2008 · Other
- Karl Erik Hansen from Liberty Group, LLCOct 21, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 15 left for Liberty Wealth Management, LLCOct 10, 2018 · Oakland, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Scott Brown · Cfo/Finopcontrolsince 06/2018 · owns less than 5%
- Ron L Guidi · Chief Operating Officer/Co-Chief Compliance Officercontrolsince 06/2018 · owns less than 5%
- David J Hollander · Presidentcontrolsince 03/1999 · owns 75% or more
- Nancy Ann Ohearn · Consultant/ Co-Chief Compliance Officersince 06/2018 · owns less than 5%
Related persons
Schedule D 7.A
- Law Offices Of Hollander And Hollander Pcn
- Lg Financial And Insurance Servicesreal estaten
- Lifetime Planning Marketing Inc.real estaten
Offices
Schedule D 1.F, the 25 largest
- Mountain View, CA3 employees
- Roseville, CA3 employees
- Laguna Niguel, CA1 employees
- Los Altos, CA1 employees
- San Francisco, CA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,375 to 94Mar 31, 2018 to Jul 15, 2018
- Advisory employees · 14 to 16Mar 31, 2018 to Jul 15, 2018
- BD registered reps · 23 to 20Mar 31, 2018 to Jul 15, 2018
- HNW clients · 650.0 to unsetMar 31, 2018 to Jul 15, 2018
- Individual clients · 650 to 58Mar 31, 2018 to Jul 15, 2018
- Pension plan clients · unset to 30.0Mar 31, 2018 to Jul 15, 2018
- Insurance-licensed employees · 2 to 0Mar 31, 2018 to Jul 15, 2018
- Financial planning clients · More than 500 to 1-10Mar 31, 2018 to Jul 15, 2018
- State-registered IARs · 15 to 16Mar 31, 2018 to Jul 15, 2018
- Discretionary RAUM · $317M to $1.3MMar 31, 2018 to Jul 15, 2018
- HNW RAUM · 428946170.0 to unsetMar 31, 2018 to Jul 15, 2018
- Individual RAUM · $429M to $8.1MMar 31, 2018 to Jul 15, 2018
- Non-discretionary RAUM · $540M to $356MMar 31, 2018 to Jul 15, 2018
- Pension RAUM · unset to 34861600.0Mar 31, 2018 to Jul 15, 2018
- RAUM · $858M to $357MMar 31, 2018 to Jul 15, 2018
- Wrap assets (manager) · 100000000.0 to unsetMar 31, 2018 to Jul 15, 2018
- Wrap assets (sponsor) · 100000000.0 to unsetMar 31, 2018 to Jul 15, 2018
- HNW clients · unset to 650.0Sep 29, 2017 to Mar 31, 2018
- Individual clients · unset to 650.0Sep 29, 2017 to Mar 31, 2018
- Other offices · unset to 6.0Sep 29, 2017 to Mar 31, 2018
- HNW RAUM · unset to 428946170.0Sep 29, 2017 to Mar 31, 2018
- Individual RAUM · unset to 428946170.0Sep 29, 2017 to Mar 31, 2018
- Wrap assets (manager) · unset to 100000000.0Sep 29, 2017 to Mar 31, 2018
- Wrap assets (sponsor) · unset to 100000000.0Sep 29, 2017 to Mar 31, 2018
- Accounts · 1,340 to 1,375Mar 4, 2017 to Mar 31, 2017
- Discretionary RAUM · $253M to $317MMar 4, 2017 to Mar 31, 2017
- Non-discretionary RAUM · $430M to $540MMar 4, 2017 to Mar 31, 2017
- RAUM · $683M to $858MMar 4, 2017 to Mar 31, 2017
- Business name · LIBERTY GROUP, LLC to LIBERTY WEALTH MANAGEMENT, LLCFeb 6, 2017 to Mar 4, 2017
- Legal name · LIBERTY GROUP, LLC to LIBERTY WEALTH MANAGEMENT, LLCJan 4, 2017 to Feb 6, 2017
- Succession · true to falseJan 4, 2017 to Feb 6, 2017
- Succession · false to trueSep 15, 2016 to Jan 4, 2017
- Accounts · 1,567 to 1,340Nov 13, 2015 to Mar 29, 2016
- Discretionary RAUM · $212M to $253MNov 13, 2015 to Mar 29, 2016
- Non-discretionary RAUM · $412M to $430MNov 13, 2015 to Mar 29, 2016
- RAUM · $624M to $683MNov 13, 2015 to Mar 29, 2016
- Accounts · 739 to 1,567Feb 18, 2015 to Mar 24, 2015
- Discretionary RAUM · $161M to $212MFeb 18, 2015 to Mar 24, 2015
- Non-discretionary RAUM · $346M to $412MFeb 18, 2015 to Mar 24, 2015
- RAUM · $507M to $624MFeb 18, 2015 to Mar 24, 2015
Signals
2 dated events
- Liberty Wealth Management, Llc reported RAUM $356.8M, down 58% from $857.9M (2018-03-31 to 2018-07-15)Jul 15, 2018 · RAUM change · derived
- Liberty Group, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 4, 2017 · 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