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
Litman Gregory Wealth Management, LLC
Latest filing Apr 11, 2025
First filing on the tape Dec 21, 2011 · 51 filings
SEC status approved since Dec 29, 1995
RAUM
$2.7B
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
87%
$2.3B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
28
8 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$2.7B as of Apr 11, 2025
Mar 27, 2012$5.4B then
HNW client RAUM$1.8B as of Apr 11, 2025
Mar 23, 2018$1.3B then
State-registered IARs (5.B.3)8 as of Apr 11, 2025
Mar 27, 20120 then
Employees (5.A)28 as of Apr 11, 2025
Mar 21, 201360 then
Private funds2 as of Mar 13, 2015
Mar 27, 20123 then
RAUM +11% over the last fiscal year+4.4% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Apr 11, 2025; every figure names its basis
- RAUM per advisor
- $335MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.0MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $1.1B, 268 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)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.8B69%
- Individuals$497M19%
- Charitable organizations$298M11%
- Corporations and businesses$32.5M1.2%
- Pension and profit-sharing plans$13.8M0.5%
- Individual clients
- 246reported
- HNW clients
- 305reported
- Pension plan clients
- 4reported
- Charitable clients
- 17reported
- Accounts
- 1,975reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1B for 268 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
9 left, 0 joined in 12 months
net -9 in 12 months0 left in 90 days0 joined in 90 days9 left over 36 months
Left, latest
- Monica Blair Munoz to Beacon Pointe Advisors, LLCFeb 26, 2026 · RIA to RIA
- Lesley Estelle Cannan to Beacon Pointe Advisors, LLCFeb 26, 2026 · RIA to RIA
- Christopher C Wheaton to Beacon Pointe Advisors, LLCFeb 26, 2026 · RIA to RIA
- Craig Bernard Keller to Beacon Pointe Advisors, LLCFeb 26, 2026 · RIA to RIA
- Anthony Lawrence Guerrerio to Beacon Pointe Advisors, LLCFeb 26, 2026 · RIA to RIA
- John Michael Baxman to Beacon Pointe Advisors, LLCFeb 26, 2026 · RIA to RIA
- Jason Jareth Siedle to Beacon Pointe Advisors, LLCFeb 26, 2026 · RIA to RIA
- Cynthia J Morris to Merrill Lynch, Pierce, Fenner & Smith IncorporatedOct 3, 2025 · RIA to wirehouse
- Gretchen Carol Hollstein to Aspiriant, LLCSep 17, 2025 · RIA to RIA
- William Samuel Thompson to Beacon Pointe Advisors, LLCSep 14, 2022 · RIA to RIA
- Taylor Michael Welz to Dkm Wealth Management, Inc.Jun 30, 2022 · RIA to RIA
- Daniel Miladinovich to Dkm Wealth Management, Inc.Oct 28, 2021 · RIA to a newly registered adviser
Joined, latest
- Anthony Lawrence Guerrerio from Wedgewood Partners, Inc.Aug 11, 2023 · RIA to RIA
- Jason Jareth Siedle from Wedgewood Partners, Inc.Aug 11, 2023 · RIA to RIA
- Cynthia J Morris from Sensiba San Filippo Financial Advisers LLCDec 17, 2021 · Other
- Taylor Michael Welz from Welz Financial Services, Inc.Jan 29, 2019 · Other
- Lesley Estelle Cannan from Strategic Advisers LLCSep 3, 2014 · Other
- John Michael Baxman from Strategic Advisers LLCJan 14, 2013 · Other
- Gretchen Carol Hollstein from Bay Isle Financial LLCFeb 8, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for Beacon Pointe Advisors, LLCFeb 26, 2026 · Paris · Firm absorbed
- 2 joined from Wedgewood Partners, Inc.Aug 7, 2023 · St Louis, Mo
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Litman Gregory Multi-Manager Balanced Fund, L.P.no longer reported | Other Private Fund | $24.2M | 74 | Mar 27, 2012 |
| Litman Gregory Special Opportunities Fund I, L.P.no longer reported | Hedge Fund | $7.6M | 56 | Mar 27, 2012 |
| Litman Gregory Long-Term Opportunity Fund, L.P.no longer reported | Hedge Fund | $65,189 | 56 | Mar 27, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Ann Jennifer Ceccarelli · Managing Director - Chief Operations Officercontrolsince 01/2011 · owns less than 5%
- Knobloch Kathlyne Kiaie · Director - Chief Compliance Officercontrolsince 04/2022 · owns less than 5%
- Kent Jeffrey Seeley · Chief Executive Officercontrolsince 04/2022 · owns less than 5%
Entity owners
- Im Square Holding 9 LLC (US) · Ownerdirect · owns 75% or more
- Eurazeo Se · Parentindirect · owns 75% or more of Legendre Holding 36
- Im Square Partners Holding (France) · Holding Companyindirect · owns 75% or more of Im Square Holding 9 LLC (US)
- Im Square Sas (France) · Parentindirect · owns 75% or more of Im Square Partners Holding (France)
- Jc Decaux Holding Sas · Shareholderindirect · owns 25% to 50% of Eurazeo Se
- Legendre Holding 36 · Holding Companyindirect · owns 50% to 75% of Im Square Sas (France)
Related persons
Schedule D 7.A
- Asset Preservation Advisors, LLCinvestment adviserpooled vehicle sponsornRAUM $11B
- Berkshire Asset Management, LLCinvestment adviserpooled vehicle sponsornRAUM $2.8B
- Dolan Mceniry Capital Management LLCinvestment adviserpooled vehicle sponsornRAUM $14B
- Dynamic Beta Investments LLCinvestment adviserbankpooled vehicle sponsornRAUM $5.7B
- Im Global Partner Fund Management LLCinvestment advisernRAUM $4.0B
- Richard Bernstein Advisors LLCinvestment advisernRAUM $181M
- Scharf Investments, LLCinvestment adviserbanknRAUM $4.2B
Advisers that list Litman Gregory Wealth Management, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Paris | 0 | 0 | 8 | ||
| Larkspur, Ca · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Clayton, MO1 employees
- El Segundo, CA1 employees
- Walnut Creek, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 1,890 to 1,975Jan 15, 2025 to Apr 11, 2025
- Charity clients · 16 to 17Jan 15, 2025 to Apr 11, 2025
- HNW clients · 381 to 305Jan 15, 2025 to Apr 11, 2025
- Individual clients · 148 to 246Jan 15, 2025 to Apr 11, 2025
- Pension plan clients · 5 to 4Jan 15, 2025 to Apr 11, 2025
- Assets in custody · $1.1B to $1.1BJan 15, 2025 to Apr 11, 2025
- Employees · 25 to 28Jan 15, 2025 to Apr 11, 2025
- Financial planning clients · 0 to 0Jan 15, 2025 to Apr 11, 2025
- Discretionary RAUM · $2.1B to $2.3BJan 15, 2025 to Apr 11, 2025
- HNW RAUM · $2.0B to $1.8BJan 15, 2025 to Apr 11, 2025
- Individual RAUM · $85.9M to $497MJan 15, 2025 to Apr 11, 2025
- Non-discretionary RAUM · $326M to $361MJan 15, 2025 to Apr 11, 2025
- Pension RAUM · $14.5M to $13.8MJan 15, 2025 to Apr 11, 2025
- RAUM · $2.4B to $2.7BJan 15, 2025 to Apr 11, 2025
- Accounts · 1,605 to 1,890Aug 10, 2023 to Mar 28, 2024
- Corporate clients · 7 to 8Aug 10, 2023 to Mar 28, 2024
- HNW clients · 315 to 381Aug 10, 2023 to Mar 28, 2024
- Individual clients · 84 to 148Aug 10, 2023 to Mar 28, 2024
- Pension plan clients · unset to 5.0Aug 10, 2023 to Mar 28, 2024
- Assets in custody · $870M to $1.1BAug 10, 2023 to Mar 28, 2024
- Employees · 27 to 25Aug 10, 2023 to Mar 28, 2024
- Financial planning clients · unset to 0Aug 10, 2023 to Mar 28, 2024
- Other offices · 4 to 3Aug 10, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.6B to $2.1BAug 10, 2023 to Mar 28, 2024
- HNW RAUM · $1.6B to $2.0BAug 10, 2023 to Mar 28, 2024
- Individual RAUM · $44.2M to $85.9MAug 10, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $344M to $326MAug 10, 2023 to Mar 28, 2024
- Pension RAUM · $14.0M to $14.5MAug 10, 2023 to Mar 28, 2024
- RAUM · $2.0B to $2.4BAug 10, 2023 to Mar 28, 2024
- Advisory employees · 7 to 8Jun 28, 2023 to Aug 10, 2023
- Employees · 25 to 27Jun 28, 2023 to Aug 10, 2023
- State-registered IARs · 7 to 8Jun 28, 2023 to Aug 10, 2023
- Other offices · 3 to 4Jun 28, 2023 to Aug 10, 2023
- HQ city · WALNUT CREEK to LARKSPURJun 5, 2023 to Jun 28, 2023
- Accounts · 1,748 to 1,605Dec 8, 2022 to Mar 29, 2023
- Advisory employees · 9 to 7Dec 8, 2022 to Mar 29, 2023
- Advisory activities · 4 to 3Dec 8, 2022 to Mar 29, 2023
- Charity clients · 15 to 16Dec 8, 2022 to Mar 29, 2023
- Corporate clients · 6 to 7Dec 8, 2022 to Mar 29, 2023
- HNW clients · 366 to 315Dec 8, 2022 to Mar 29, 2023
Signals
23 dated events
- Litman Gregory Wealth Management, Llc no longer on the SEC adviser roster (last listed 2026-02-02, RAUM $2.7B)Mar 2, 2026 · Left the SEC roster · derived
- John Michael Baxman left Litman Gregory Wealth Management, Llc for Beacon Pointe Advisors, Llc (registered 2026-01-12)Feb 26, 2026 · Advisor changed firm · fact
- Monica Blair Munoz left Litman Gregory Wealth Management, Llc for Beacon Pointe Advisors, Llc (registered 2026-01-14)Feb 26, 2026 · Advisor changed firm · fact
- Craig Bernard Keller left Litman Gregory Wealth Management, Llc for Beacon Pointe Advisors, Llc (registered 2026-01-22)Feb 26, 2026 · Advisor changed firm · fact
- Lesley Estelle Cannan left Litman Gregory Wealth Management, Llc for Beacon Pointe Advisors, Llc (registered 2026-01-12)Feb 26, 2026 · Advisor changed firm · fact
- Christopher C Wheaton left Litman Gregory Wealth Management, Llc for Beacon Pointe Advisors, Llc (registered 2026-01-12)Feb 26, 2026 · Advisor changed firm · fact
- Anthony Lawrence Guerrerio left Litman Gregory Wealth Management, Llc for Beacon Pointe Advisors, Llc (registered 2026-01-13)Feb 26, 2026 · Advisor changed firm · fact
- Jason Jareth Siedle left Litman Gregory Wealth Management, Llc for Beacon Pointe Advisors, Llc (registered 2026-02-26)Feb 26, 2026 · Advisor changed firm · fact
- Litman Gregory Wealth Management, LLC's advisors moved to Beacon Pointe Advisors, LLC (Paris): 4 of 7 registered, on the same dayFeb 26, 2026 · Firm absorbed (people side) · derived
- Cynthia J Morris left Litman Gregory Wealth Management, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2026-08-04)Oct 3, 2025 · Advisor changed firm · fact
- Gretchen Carol Hollstein left Litman Gregory Wealth Management, Llc for Aspiriant, Llc (registered 2025-09-30)Sep 17, 2025 · Advisor changed firm · fact
- 2 advisors left Wedgewood Partners, Inc. (ST Louis, MO) for Litman Gregory Wealth Management, LLC on the same dayAug 7, 2023 · Team lift-out · derived
- Kent Jeffrey Seeley (Chief Executive Officer) appeared on Schedule A of Litman Gregory Wealth Management, LlcMar 29, 2023 · Control person joined · fact
- William Samuel Thompson left Litman Gregory Wealth Management, Llc for Beacon Pointe Advisors, Llc (registered 2023-03-13)Sep 14, 2022 · Advisor changed firm · fact
- Taylor Michael Welz left Litman Gregory Wealth Management, Llc for Dkm Wealth Management, Inc. (registered 2022-06-24)Jun 30, 2022 · Advisor changed firm · fact
- Knobloch Kathlyne Kiaie (Director - Chief Compliance Officer) appeared on Schedule A of Litman Gregory Wealth Management, LlcApr 20, 2022 · Control person joined · fact
- Litman Gregory Wealth Management, Llc reported RAUM $2.3B, down 46% from $4.3B (2021-06-03 to 2021-10-01)Oct 1, 2021 · RAUM change · derived
- C Christopher Wheaton (Managing Principal, Senior Advisor) no longer on Schedule A of Litman Gregory Wealth Management, Llc (listed 2021-03-17, absent 2021-06-03)Jun 3, 2021 · Control person left · inference
- Craig Litman (Managing Principal, Co-Founding Partner) no longer on Schedule A of Litman Gregory Wealth Management, Llc (listed 2021-03-17, absent 2021-06-03)Jun 3, 2021 · Control person left · inference
- Edmond Kenneth Gregory (Managing Principal, Co-Founding Partner) no longer on Schedule A of Litman Gregory Wealth Management, Llc (listed 2021-03-17, absent 2021-06-03)Jun 3, 2021 · Control person left · inference
- Matthew Steve Savage (Managing Principal, Chief Executive Officer) no longer on Schedule A of Litman Gregory Wealth Management, Llc (listed 2021-03-17, absent 2021-06-03)Jun 3, 2021 · Control person left · inference
- Lawrence Jeremy Degroot (Managing Principal, Chief Investment Officer) no longer on Schedule A of Litman Gregory Wealth Management, Llc (listed 2021-03-17, absent 2021-06-03)Jun 3, 2021 · Control person left · inference
- Bernard Craig Keller (Managing Principal) no longer on Schedule A of Litman Gregory Wealth Management, Llc (listed 2021-03-17, absent 2021-06-03)Jun 3, 2021 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Litman Gregory Wealth Management, LLC · Private Equityshared crd · intermediary
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