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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Former SEC-registered adviser
S•••••• • P••••• C• L••
Latest filing Feb 20, 2024
First filing on the tape Mar 15, 2012 · 29 filings
RAUM
$1.0B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
94%
$967M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$1.0B as of Feb 20, 2024
Mar 15, 2012$693M then
HNW client RAUM$928M as of Feb 20, 2024
Mar 13, 2018$816M then
State-registered IARs (5.B.3)3 as of Feb 20, 2024
Mar 15, 20120 then
Employees (5.A)5 as of Feb 20, 2024
Mar 14, 20134 then
Private funds: no history
RAUM +10.0% over the last fiscal year+1.9% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 20, 2024; every figure names its basis
- RAUM per advisor
- $343MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 107derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 5.6%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
- +10.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $110M, 39 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$928M90%
- Charitable organizations$57.9M5.6%
- Individuals$39.1M3.8%
- Corporations and businesses$4.0M0.4%
- Individual clients
- 91reported
- HNW clients
- 231reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 773reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $110M for 39 clientsreported
- Compensation
- % of AUMreported
- 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
- L••• E• S•••••• to A••••••• F••••••••• L•••Dec 12, 2024 · RIA to affiliated broker-dealer or bank
- R••••• M• G••••• to A••••••• F••••••••• L•••Dec 12, 2024 · RIA to affiliated broker-dealer or bank
- A•••••••• P••••• L••••• to A••••••• F••••••••• L•••Dec 12, 2024 · RIA to affiliated broker-dealer or bank
- S•••••• A• A••••• E••••••• to G••••••• I••••••••• M•••••••••Apr 30, 2013 · Other
Joined, latest
- A•••••••• P••••• L••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 2, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for A••••••• F••••••••• L•••Dec 12, 2024 · Lafayette, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• R•••••• M•••••• · Member, Principal, CFAcontrolsince 01/2002 · owns 50% to 75%
- S••••••• L•••• E••••• · Member,Principal, CFP, Chief Compliance Officercontrolsince 01/2003 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Lafayette, Ca · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 748 to 773Mar 9, 2023 to Feb 20, 2024
- HNW clients · 227 to 231Mar 9, 2023 to Feb 20, 2024
- Individual clients · 83 to 91Mar 9, 2023 to Feb 20, 2024
- Assets in custody · $85.6M to $110MMar 9, 2023 to Feb 20, 2024
- Discretionary RAUM · $919M to $1.0BMar 9, 2023 to Feb 20, 2024
- HNW RAUM · $843M to $928MMar 9, 2023 to Feb 20, 2024
- Individual RAUM · $36.6M to $39.1MMar 9, 2023 to Feb 20, 2024
- Non-discretionary RAUM · $16.1M to $18.5MMar 9, 2023 to Feb 20, 2024
- RAUM · $935M to $1.0BMar 9, 2023 to Feb 20, 2024
- Accounts · 739 to 748Jun 24, 2022 to Mar 9, 2023
- HNW clients · 234 to 227Jun 24, 2022 to Mar 9, 2023
- Individual clients · 73 to 83Jun 24, 2022 to Mar 9, 2023
- Assets in custody · $43.8M to $85.6MJun 24, 2022 to Mar 9, 2023
- Discretionary RAUM · $1.0B to $919MJun 24, 2022 to Mar 9, 2023
- HNW RAUM · $946M to $843MJun 24, 2022 to Mar 9, 2023
- Individual RAUM · $33.7M to $36.6MJun 24, 2022 to Mar 9, 2023
- Non-discretionary RAUM · $14.8M to $16.1MJun 24, 2022 to Mar 9, 2023
- RAUM · $1.0B to $935MJun 24, 2022 to Mar 9, 2023
- Accounts · 751 to 739Nov 17, 2021 to Mar 9, 2022
- Corporate clients · 8 to 4Nov 17, 2021 to Mar 9, 2022
- HNW clients · 235 to 234Nov 17, 2021 to Mar 9, 2022
- Individual clients · 86 to 73Nov 17, 2021 to Mar 9, 2022
- Assets in custody · $40.2M to $43.8MNov 17, 2021 to Mar 9, 2022
- HQ city · SAN FRANCISCO to LAFAYETTENov 17, 2021 to Mar 9, 2022
- Discretionary RAUM · $955M to $1.0BNov 17, 2021 to Mar 9, 2022
- HNW RAUM · $865M to $946MNov 17, 2021 to Mar 9, 2022
- Individual RAUM · $36.7M to $33.7MNov 17, 2021 to Mar 9, 2022
- Non-discretionary RAUM · $16.7M to $14.8MNov 17, 2021 to Mar 9, 2022
- RAUM · $972M to $1.0BNov 17, 2021 to Mar 9, 2022
- Accounts · 772 to 751Jul 7, 2020 to Feb 16, 2021
- HNW clients · 225 to 235Jul 7, 2020 to Feb 16, 2021
- Individual clients · 110 to 86Jul 7, 2020 to Feb 16, 2021
- Assets in custody · $36.5M to $40.2MJul 7, 2020 to Feb 16, 2021
- Discretionary RAUM · $950M to $955MJul 7, 2020 to Feb 16, 2021
- HNW RAUM · $855M to $865MJul 7, 2020 to Feb 16, 2021
- Individual RAUM · $48.0M to $36.7MJul 7, 2020 to Feb 16, 2021
- Non-discretionary RAUM · $18.8M to $16.7MJul 7, 2020 to Feb 16, 2021
- Pension RAUM · 6198140.0 to unsetJul 7, 2020 to Feb 16, 2021
- RAUM · $969M to $972MJul 7, 2020 to Feb 16, 2021
- Accounts · 768 to 772Mar 14, 2019 to Mar 5, 2020
Signals
5 dated events
- L••• E• S•••••• left S•••••• • P••••• C• L•• for A••••••• F••••••••• L••• (registered 2024-06-05)Dec 12, 2024 · Advisor changed firm · fact
- A•••••••• P••••• L••••• left S•••••• • P••••• C• L•• for A••••••• F••••••••• L••• (registered 2024-06-06)Dec 12, 2024 · Advisor changed firm · fact
- R••••• M• G••••• left S•••••• • P••••• C• L•• for A••••••• F••••••••• L••• (registered 2024-06-05)Dec 12, 2024 · Advisor changed firm · fact
- S•••••• • P••••• C• L••'s advisors moved to A••••••• F••••••••• L••• (Lafayette, CA): 3 of 3 registered, on the same dayDec 12, 2024 · Firm absorbed (people side) · derived
- Sheridan Ronald P••••• (Member, Principal) no longer on Schedule A of S•••••• • P••••• C• L•• (listed 2018-03-13, absent 2019-03-14)Mar 14, 2019 · 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.
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