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
C•••••• A••••••••• I•••
Latest filing Aug 25, 2026
First filing on the tape Mar 28, 2012 · 70 filings
SEC status approved since Sep 23, 1998
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.3B individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$160M
derived; firm RAUM over IAPD count
Employees
16
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
70 filings and snapshots on the tape
RAUM$1.3B as of Aug 25, 2026
Mar 28, 2012$355M then
HNW client RAUM$1.1B as of Aug 25, 2026
Mar 28, 2018$478M then
State-registered IARs (5.B.3)9 as of Aug 25, 2026
Apr 1, 20130 then
Employees (5.A)16 as of Aug 25, 2026
Apr 1, 20139 then
Private funds: no history
RAUM +15% over the last fiscal year+12% a year over threeIARs 10 to 9offices 0 to 1
Practice profile
derived from the filing of Aug 25, 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
- 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
- RAUM per advisor
- $160MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $562,118derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B84%
- Individuals$199M16%
- Corporations and businesses$3.6M0.3%
- Charitable organizations$1.6M0.1%
- Individual clients
- 309reported
- HNW clients
- 352reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 2,271reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• S••••••• H••••• | Walnut Creek, Ca | Oct 2, 1998 | 42 y | 0 |
| I•• A••••• C•••••••Certified Financial Planner | Walnut Creek, Ca | Jul 25, 2012 | 20 y | 5 |
| I•• M•••••• B••••••• | Walnut Creek, Ca | Mar 21, 2022 | 12 y | 0 |
| J•••• A•••••••• T••••••Certified Financial Planner | Walnut Creek, Ca | Aug 4, 2022 | 14 y | 2 |
| S•••• B••••••• H•••••• | Walnut Creek, Ca | Jan 5, 2024 | 13 y | 0 |
| B•••• A•••••• W•••Chartered Financial Analyst | Walnut Creek, Ca | Jan 3, 2025 | 22 y | 1 |
| C•••• F•••••• T•••••Chartered Financial Analyst | Walnut Creek, Ca | Jan 3, 2025 | 19 y | 1 |
| D••••••••• H•••• | Walnut Creek, Ca | Nov 7, 2025 | 20 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 headcount1 left over 36 months
Left, latest
- B••••••• R••• F••• to C•••••• F•••••••• L••Mar 31, 2025 · RIA to RIA
- J••• G•••••• to M••••• G••••• A••••••• I•••Feb 4, 2022 · RIA to RIA
- B••••••• E•• A•••• to M••••••Nov 2, 2021 · RIA to affiliated broker-dealer or bank
- A•• H••••••••• to A••••••••• I•••Nov 9, 2018 · RIA to affiliated broker-dealer or bank
Joined, latest
- B•••• A•••••• W••• from F•• A•••••••• I•••Jan 3, 2025 · Other
- C•••• F•••••• T••••• from C••••••• F•••••••• P••••••• • I••••••••• M••••••••• C•••••••••Jan 3, 2025 · Other
- J•••• A•••••••• T•••••• from J••• M••••• S••••••••• L••Aug 4, 2022 · Wirehouse to independent RIA
- J••• G•••••• from W•••• F•••• A•••••••Feb 6, 2018 · Other
- B••••••• E•• A•••• from L•• F•••••••• L••Jan 22, 2015 · Other
- I•• A••••• C••••••• from L•• F•••••••• L••Jul 25, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• J•••• S••••••• · Presidentcontrolsince 06/1998 · owns less than 5%
- H••••• D••••••••• · Owner / Chief Compliance Officer / Chief Operating Officercontrolsince 08/2008 · owns 5% to 10%
- Z•••••• D••••• L•••• · Senior Financial Advisorcontrolsince 01/2011 · owns less than 5%
- C•••••••• I••• A••••• · Trusteecontrolsince 06/2019 · owns F of C••••••• F••••• T••••
- C•••••••• S•••• L•• D•••• · Trusteecontrolsince 06/2019 · owns F of C••••••• F••••• T••••
- H•••••• J•••• S••••••• · Trusteecontrolsince 04/2019 · owns F of C• T••••
- L•••••••• N••••• · Trusteecontrolsince 04/2019 · owns F of C• T••••
- Z•••••• D••••• L•••• · Trusteecontrolsince 04/2019 · owns F of Z••••• F••••• T••••
- Z•••••• M•••• A• · Trusteecontrolsince 04/2019 · owns F of Z••••• F••••• T••••
- C•••••••• I••• A••••• · Senior Financial Advisorsince 06/2019 · owns less than 5%
- T•••••• C••••• F•••••• · Owner / Director Of Investment Managementsince 09/2014 · owns 10% to 25%
Entity owners
- C• T•••• · Ownerdirect · owns 50% to 75%
- C••••••• F••••• T•••• · Ownerdirect · owns 10% to 25%
- Z••••• F••••• T•••• · Ownerdirect · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Walnut Creek, Ca · principal | 8 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 9 to 8Mar 31, 2026 to Aug 25, 2026
- State-registered IARs · 10 to 9Mar 31, 2026 to Aug 25, 2026
- Accounts · 2,830 to 2,271Dec 19, 2025 to Mar 31, 2026
- HNW clients · 320 to 352Dec 19, 2025 to Mar 31, 2026
- Individual clients · 357 to 309Dec 19, 2025 to Mar 31, 2026
- Financial planning clients · 26-50 to 51-100Dec 19, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.1B to $1.3BDec 19, 2025 to Mar 31, 2026
- HNW RAUM · $921M to $1.1BDec 19, 2025 to Mar 31, 2026
- Individual RAUM · $185M to $199MDec 19, 2025 to Mar 31, 2026
- RAUM · $1.1B to $1.3BDec 19, 2025 to Mar 31, 2026
- Other offices · 0 to 1Nov 20, 2025 to Dec 19, 2025
- Employees · 14 to 16Aug 15, 2025 to Nov 20, 2025
- Accounts · 2,120 to 2,830Mar 27, 2024 to Mar 31, 2025
- Charity clients · unset to 2.0Mar 27, 2024 to Mar 31, 2025
- Corporate clients · unset to 4.0Mar 27, 2024 to Mar 31, 2025
- HNW clients · 290 to 320Mar 27, 2024 to Mar 31, 2025
- Individual clients · 422 to 357Mar 27, 2024 to Mar 31, 2025
- Employees · 13 to 14Mar 27, 2024 to Mar 31, 2025
- Financial planning clients · 51-100 to 26-50Mar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.0B to $1.1BMar 27, 2024 to Mar 31, 2025
- HNW RAUM · $814M to $921MMar 27, 2024 to Mar 31, 2025
- Individual RAUM · $169M to $185MMar 27, 2024 to Mar 31, 2025
- RAUM · $1.0B to $1.1BMar 27, 2024 to Mar 31, 2025
- Accounts · 1,987 to 2,120Dec 11, 2023 to Mar 27, 2024
- Advisory employees · 7 to 9Dec 11, 2023 to Mar 27, 2024
- HNW clients · 268 to 290Dec 11, 2023 to Mar 27, 2024
- Individual clients · 362 to 422Dec 11, 2023 to Mar 27, 2024
- Employees · 14 to 13Dec 11, 2023 to Mar 27, 2024
- HQ city · LAFAYETTE to WALNUT CREEKDec 11, 2023 to Mar 27, 2024
- Discretionary RAUM · $905M to $1.0BDec 11, 2023 to Mar 27, 2024
- HNW RAUM · $712M to $814MDec 11, 2023 to Mar 27, 2024
- Individual RAUM · $188M to $169MDec 11, 2023 to Mar 27, 2024
- RAUM · $905M to $1.0BDec 11, 2023 to Mar 27, 2024
- Accounts · 2,541 to 1,987Jan 27, 2023 to Mar 31, 2023
- Advisory employees · 6 to 7Jan 27, 2023 to Mar 31, 2023
- HNW clients · 378 to 268Jan 27, 2023 to Mar 31, 2023
- Individual clients · 236 to 362Jan 27, 2023 to Mar 31, 2023
- Assets in custody · 21313571.0 to unsetJan 27, 2023 to Mar 31, 2023
- Custody of client assets · true to falseJan 27, 2023 to Mar 31, 2023
- Employees · 13 to 14Jan 27, 2023 to Mar 31, 2023
Signals
3 dated events
- B••••••• R••• F••• left C•••••• A••••••••• I••• for C•••••• F•••••••• L•• (registered 2025-04-04)Mar 31, 2025 · Advisor changed firm · fact
- Lyn Delee Sara Castille (Trustee) appeared on Schedule A of C•••••• A••••••••• I•••Mar 31, 2022 · Control person joined · fact
- J••• G•••••• left C•••••• A••••••••• I••• for M••••• G••••• A••••••• I••• (registered 2022-02-28)Feb 4, 2022 · Advisor changed firm · fact
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@capitaladvantage.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 925-299-1500reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/CAPITAL-A••••••••-INC-reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H••••://CAPITALA••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 925-299-1500reportedpublic record, Form ADV, Aug 25, 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
- $160Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026