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
A••••• C•••••• M•••••••••
Latest filing Jul 21, 2026
First filing on the tape Mar 24, 2012 · 38 filings
SEC status approved since Jun 4, 1992
RAUM
$582M
reported, Item 5.F
Discretionary
80%
of RAUM
Private clients
96%
$560M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$194M
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
38 filings and snapshots on the tape
RAUM$582M as of Jul 21, 2026
Mar 24, 2012$207M then
HNW client RAUM$550M as of Jul 21, 2026
Mar 16, 2018$179M then
State-registered IARs (5.B.3)3 as of Jul 21, 2026
Mar 24, 20120 then
Employees (5.A)5 as of Jul 21, 2026
Mar 11, 20134 then
Private funds: no history
RAUM +19% over the last fiscal year+16% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jul 21, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $194MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 80%derivedof RAUM
- Institutional
- 3.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%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, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- 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 securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$550M95%
- Pension and profit-sharing plans$20.6M3.5%
- Individuals$9.8M1.7%
- Charitable organizations$1.4M0.2%
- Corporations and businesses$104,8890.0%
- Individual clients
- 31reported
- HNW clients
- 129reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 508reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• N••••• R•••••••• | Menlo Park, Ca | Mar 5, 2020 | 18 y | 4 |
| C•••• B••••• | Menlo Park, Ca | Feb 26, 2025 | 34 y | 0 |
| K••• D• C••• | Menlo Park, Ca | May 29, 2025 | 11 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
none on the tape
Joined, latest
- R••• N••••• R•••••••• from A••••••••• L•••Mar 5, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• C•••• · Partner/Chief Executive Officercontrolsince 03/2016 · owns 50% to 75%
- N••••••••• S•••••• R•• · Shareholdersince 08/2021 · owns 5% to 10%
- R••••••••• R•••• N••••• · Partner/Chief Compliance Officersince 08/2021 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Menlo Park, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · PORT OF REDWOOD CITY to MENLO PARKMar 19, 2026 to Jul 21, 2026
- Accounts · 487 to 508Nov 4, 2025 to Mar 19, 2026
- Advisory employees · 2 to 3Nov 4, 2025 to Mar 19, 2026
- Charity clients · unset to 1.0Nov 4, 2025 to Mar 19, 2026
- Corporate clients · unset to 1.0Nov 4, 2025 to Mar 19, 2026
- HNW clients · 132 to 129Nov 4, 2025 to Mar 19, 2026
- Individual clients · 25 to 31Nov 4, 2025 to Mar 19, 2026
- Pension plan clients · unset to 1.0Nov 4, 2025 to Mar 19, 2026
- Assets in custody · $163M to $277MNov 4, 2025 to Mar 19, 2026
- Employees · 4 to 5Nov 4, 2025 to Mar 19, 2026
- Financial planning clients · 51-100 to 101-250Nov 4, 2025 to Mar 19, 2026
- Discretionary RAUM · $417M to $464MNov 4, 2025 to Mar 19, 2026
- HNW RAUM · $464M to $550MNov 4, 2025 to Mar 19, 2026
- Individual RAUM · $8.4M to $9.8MNov 4, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $70.6M to $118MNov 4, 2025 to Mar 19, 2026
- Pension RAUM · $13.9M to $20.6MNov 4, 2025 to Mar 19, 2026
- RAUM · $487M to $582MNov 4, 2025 to Mar 19, 2026
- Advisory employees · 3 to 2Apr 22, 2025 to Nov 4, 2025
- Employees · 5 to 4Apr 22, 2025 to Nov 4, 2025
- Financial planning clients · 51-100 to 51-100Mar 4, 2025 to Apr 22, 2025
- Accounts · 443 to 487Oct 28, 2024 to Mar 4, 2025
- Advisory employees · 2 to 3Oct 28, 2024 to Mar 4, 2025
- HNW clients · 129 to 132Oct 28, 2024 to Mar 4, 2025
- Individual clients · 22 to 25Oct 28, 2024 to Mar 4, 2025
- Assets in custody · $7.6M to $163MOct 28, 2024 to Mar 4, 2025
- Employees · 3 to 5Oct 28, 2024 to Mar 4, 2025
- State-registered IARs · 1 to 3Oct 28, 2024 to Mar 4, 2025
- Discretionary RAUM · $394M to $417MOct 28, 2024 to Mar 4, 2025
- HNW RAUM · $385M to $464MOct 28, 2024 to Mar 4, 2025
- Individual RAUM · $8.0M to $8.4MOct 28, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $6.0M to $70.6MOct 28, 2024 to Mar 4, 2025
- Pension RAUM · $6.5M to $13.9MOct 28, 2024 to Mar 4, 2025
- RAUM · $400M to $487MOct 28, 2024 to Mar 4, 2025
- Legal name · DAVID R. RAHN & ASSOCIATES INC. to A••••• C•••••• M•••••••••Jan 30, 2024 to Jan 31, 2024
- Accounts · 440 to 443Feb 21, 2023 to Jan 30, 2024
- Charity clients · 1.0 to unsetFeb 21, 2023 to Jan 30, 2024
- HNW clients · 160 to 129Feb 21, 2023 to Jan 30, 2024
- Individual clients · unset to 22.0Feb 21, 2023 to Jan 30, 2024
- Pension plan clients · 1.0 to unsetFeb 21, 2023 to Jan 30, 2024
- Assets in custody · $6.9M to $7.6MFeb 21, 2023 to Jan 30, 2024
Signals
1 dated events
- Daniel William Oberman (Vice President/Portfolio Manager) no longer on Schedule A of A••••• C•••••• M••••••••• (listed 2021-09-24, absent 2021-10-04)Oct 4, 2021 · Control person left · inference
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 email
- k•••••••@a•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 650-306-1500reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/2005914/adminreportedpublic record, Form ADV, Sep 18, 2026
- Website
- A•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 650-306-1500reportedpublic record, Form ADV, Jul 21, 2026
- Team page
- a•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $194Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026