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
Moirai Wealth Management LLC
Latest filing Feb 4, 2025
First filing on the tape Mar 13, 2012 · 15 filings
SEC status approved since Mar 15, 2019
RAUM
$335M
reported, Item 5.F
Discretionary
75%
of RAUM
Private clients
98%
$328M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$335M as of Feb 4, 2025
Mar 28, 2012$65.0M then
HNW client RAUM$320M as of Feb 4, 2025
Jan 31, 2020$124M then
State-registered IARs (5.B.3)0 as of Feb 4, 2025
Mar 28, 20120 then
Employees (5.A)5 as of Feb 4, 2025
Jan 31, 20205 then
Private funds: no history
RAUM -6.8% over the last fiscal year+22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 4, 2025; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $11.0MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 75%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$320M95%
- Individuals$7.9M2.4%
- Charitable organizations$7.5M2.2%
- Individual clients
- 24reported
- HNW clients
- 29reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 202reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
- Karen Marie Schmid to Rwa Wealth PartnersSep 9, 2025 · 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
- Marie Karen Schmid · Principal/Investment Advisor/Chief Compliance Officercontrolsince 01/2001 · owns 75% or more
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 |
|---|---|---|---|---|---|
| San Francisco, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 194 to 202Feb 15, 2024 to Feb 4, 2025
- Individual clients · 20 to 24Feb 15, 2024 to Feb 4, 2025
- Assets in custody · $18.1M to $20.7MFeb 15, 2024 to Feb 4, 2025
- HQ city · unset to Feb 15, 2024 to Feb 4, 2025
- HQ state · unset to Feb 15, 2024 to Feb 4, 2025
- Discretionary RAUM · $238M to $251MFeb 15, 2024 to Feb 4, 2025
- HNW RAUM · $347M to $320MFeb 15, 2024 to Feb 4, 2025
- Individual RAUM · $5.7M to $7.9MFeb 15, 2024 to Feb 4, 2025
- Non-discretionary RAUM · $122M to $84.1MFeb 15, 2024 to Feb 4, 2025
- RAUM · $360M to $335MFeb 15, 2024 to Feb 4, 2025
- Accounts · 171 to 194Feb 8, 2023 to Feb 15, 2024
- HNW clients · 25 to 29Feb 8, 2023 to Feb 15, 2024
- Individual clients · 15 to 20Feb 8, 2023 to Feb 15, 2024
- Assets in custody · $7.7M to $18.1MFeb 8, 2023 to Feb 15, 2024
- Employees · 4 to 5Feb 8, 2023 to Feb 15, 2024
- Discretionary RAUM · $179M to $238MFeb 8, 2023 to Feb 15, 2024
- HNW RAUM · $262M to $347MFeb 8, 2023 to Feb 15, 2024
- Individual RAUM · $4.2M to $5.7MFeb 8, 2023 to Feb 15, 2024
- Non-discretionary RAUM · $93.5M to $122MFeb 8, 2023 to Feb 15, 2024
- RAUM · $272M to $360MFeb 8, 2023 to Feb 15, 2024
- Accounts · 150 to 171Apr 20, 2022 to Feb 8, 2023
- HNW clients · 24 to 25Apr 20, 2022 to Feb 8, 2023
- Individual clients · 12 to 15Apr 20, 2022 to Feb 8, 2023
- Assets in custody · $8.8M to $7.7MApr 20, 2022 to Feb 8, 2023
- Discretionary RAUM · $183M to $179MApr 20, 2022 to Feb 8, 2023
- HNW RAUM · $174M to $262MApr 20, 2022 to Feb 8, 2023
- Individual RAUM · $3.1M to $4.2MApr 20, 2022 to Feb 8, 2023
- Non-discretionary RAUM · $1.6M to $93.5MApr 20, 2022 to Feb 8, 2023
- RAUM · $184M to $272MApr 20, 2022 to Feb 8, 2023
- Accounts · 132 to 150Mar 17, 2021 to Mar 30, 2022
- Advisory employees · 2 to 1Mar 17, 2021 to Mar 30, 2022
- HNW clients · 22 to 24Mar 17, 2021 to Mar 30, 2022
- Individual clients · 13 to 12Mar 17, 2021 to Mar 30, 2022
- Assets in custody · unset to 8799803.0Mar 17, 2021 to Mar 30, 2022
- Employees · 5 to 4Mar 17, 2021 to Mar 30, 2022
- Discretionary RAUM · $155M to $183MMar 17, 2021 to Mar 30, 2022
- HNW RAUM · $147M to $174MMar 17, 2021 to Mar 30, 2022
- Individual RAUM · $3.5M to $3.1MMar 17, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $1.5M to $1.6MMar 17, 2021 to Mar 30, 2022
- RAUM · $157M to $184MMar 17, 2021 to Mar 30, 2022
Signals
3 dated events
- Moirai Wealth Management Llc no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $335.4M)Dec 20, 2025 · Left the SEC roster · derived
- Karen Marie Schmid left Moirai Wealth Management Llc for Rwa Wealth Partners (registered 2025-09-08)Sep 9, 2025 · Advisor changed firm · fact
- Moirai Wealth Management Llc filed its initial SEC registration (Form ADV)Feb 13, 2019 · First SEC registration · fact
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