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
S••••• A•••• M•••••••••
Legal name S•• A•••••••• L••
Latest filing Jul 23, 2026
First filing on the tape Feb 1, 2012 · 24 filings
SEC status approved since Jul 28, 1999
RAUM
$462M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
87%
$400M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$462M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$462M as of Jul 23, 2026
Feb 1, 2012$112M then
HNW client RAUM$261M as of Jul 23, 2026
Mar 30, 2018$69.1M then
State-registered IARs (5.B.3)1 as of Jul 23, 2026
Feb 1, 20120 then
Employees (5.A)3 as of Jul 23, 2026
Feb 12, 20134 then
Private funds: no history
RAUM +20% over the last fiscal year+19% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jul 23, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $462MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 849derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $262,947derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $85.6M, 352 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$261M56%
- Individuals$140M30%
- Pension and profit-sharing plans$48.8M11%
- Corporations and businesses$7.4M1.6%
- Charitable organizations$5.6M1.2%
- Individual clients
- 738reported
- HNW clients
- 111reported
- Pension plan clients
- 25reported
- Charitable clients
- 7reported
- Accounts
- 1,758reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $85.6M for 352 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• A•••••• D•••••••••Certified Financial Planner | Oakhurst, Ca | Mar 17, 2005 | 25 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
- M•••••• J•••• R••• to W••••• F••••••••Mar 3, 2021 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••••• D•••••• A•••••• · LLC Managing Member, President & Chief Compliance Officercontrolsince 12/2010 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,650 to 1,758Mar 6, 2025 to Feb 18, 2026
- Charity clients · 14 to 7Mar 6, 2025 to Feb 18, 2026
- Corporate clients · 21 to 9Mar 6, 2025 to Feb 18, 2026
- HNW clients · 81 to 111Mar 6, 2025 to Feb 18, 2026
- Individual clients · 691 to 738Mar 6, 2025 to Feb 18, 2026
- Pension plan clients · 23 to 25Mar 6, 2025 to Feb 18, 2026
- Assets in custody · $178M to $85.6MMar 6, 2025 to Feb 18, 2026
- Financial planning clients · 1-10 to 11-25Mar 6, 2025 to Feb 18, 2026
- Discretionary RAUM · $378M to $456MMar 6, 2025 to Feb 18, 2026
- HNW RAUM · $210M to $261MMar 6, 2025 to Feb 18, 2026
- Individual RAUM · $129M to $140MMar 6, 2025 to Feb 18, 2026
- Non-discretionary RAUM · $7.3M to $6.4MMar 6, 2025 to Feb 18, 2026
- Pension RAUM · $26.2M to $48.8MMar 6, 2025 to Feb 18, 2026
- RAUM · $385M to $462MMar 6, 2025 to Feb 18, 2026
- Accounts · 1,565 to 1,650Mar 25, 2024 to Mar 6, 2025
- Charity clients · 8 to 14Mar 25, 2024 to Mar 6, 2025
- Corporate clients · 17 to 21Mar 25, 2024 to Mar 6, 2025
- HNW clients · 74 to 81Mar 25, 2024 to Mar 6, 2025
- Individual clients · 693 to 691Mar 25, 2024 to Mar 6, 2025
- Pension plan clients · 11 to 23Mar 25, 2024 to Mar 6, 2025
- Assets in custody · $109M to $178MMar 25, 2024 to Mar 6, 2025
- Financial planning clients · 1-10 to 1-10Mar 25, 2024 to Mar 6, 2025
- Discretionary RAUM · $329M to $378MMar 25, 2024 to Mar 6, 2025
- HNW RAUM · $180M to $210MMar 25, 2024 to Mar 6, 2025
- Individual RAUM · $120M to $129MMar 25, 2024 to Mar 6, 2025
- Non-discretionary RAUM · $5.4M to $7.3MMar 25, 2024 to Mar 6, 2025
- Pension RAUM · $8.7M to $26.2MMar 25, 2024 to Mar 6, 2025
- RAUM · $334M to $385MMar 25, 2024 to Mar 6, 2025
- Accounts · 1,462 to 1,565Mar 17, 2023 to Mar 25, 2024
- Charity clients · 6 to 8Mar 17, 2023 to Mar 25, 2024
- Corporate clients · 10 to 17Mar 17, 2023 to Mar 25, 2024
- HNW clients · 64 to 74Mar 17, 2023 to Mar 25, 2024
- Individual clients · 621 to 693Mar 17, 2023 to Mar 25, 2024
- Pension plan clients · 6 to 11Mar 17, 2023 to Mar 25, 2024
- Assets in custody · $106M to $109MMar 17, 2023 to Mar 25, 2024
- Discretionary RAUM · $269M to $329MMar 17, 2023 to Mar 25, 2024
- HNW RAUM · $143M to $180MMar 17, 2023 to Mar 25, 2024
- Individual RAUM · $98.7M to $120MMar 17, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $4.4M to $5.4MMar 17, 2023 to Mar 25, 2024
- Pension RAUM · $7.3M to $8.7MMar 17, 2023 to Mar 25, 2024
Signals
No event on the tape.
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
- info@sierraam.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- contact@sierraam.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 877-658-5193reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 559-658-5193reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 559-658-6193reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/sierra-asset-management/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- S•••••AM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 559-658-5193reportedpublic record, Form ADV, Jul 23, 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
- $462Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026