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

Vista Wealth Management, LLC

Former SEC-registered adviserPalo Alto, CaliforniaCRD 110252SEC 801-60117IAPD
Latest filing Aug 30, 2018
First filing on the tape Mar 26, 2012 · 23 filings
RAUM
$1.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$1.6B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
27
25 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$1.7B as of Mar 15, 2018
Mar 26, 2012$909M then
HNW client RAUM: $1.5B
State-registered IARs (5.B.3)16 as of Mar 15, 2018
Mar 26, 20120 then
Employees (5.A)27 as of Mar 15, 2018
Feb 20, 201319 then
Private funds: no history
RAUM +9.8% over the last fiscal year+9.1% a year over threeIARs 14 to 16
Practice profile
derived from the filing of Aug 30, 2018; every figure names its basis
RAUM per advisor
$105MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
31derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.7MderivedHNW RAUM over HNW clients
Average account
$911,978derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
4.0derived4 offices incl. principal (1.F.5)
RAUM growth, one year
+9.8%derivedbetween the last two annual amendments
Advisor growth, one year
+14%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 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$1.5B92%
  • Individuals$75.9M4.5%
  • Corporations and businesses$34.4M2.1%
  • Pension and profit-sharing plans$13.7M0.8%
  • Charitable organizations$7.8M0.5%
Individual clients
172reported
HNW clients
329reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,835reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Glenn Brian Frazier · Chief Investment Officercontrol
      since 01/2009 · owns 10% to 25%
    • Michael James Knight · Managing Member, Chief Compliance Officercontrol
      since 02/2005 · owns 25% to 50%
    • Edward Michael Spector · Managing Member, Chief Executive Officercontrol
      since 07/1999 · owns 25% to 50%
    • Robert Eric Swensen · Member
      since 01/2017 · owns 5% to 10%
    • James Aaron White · Member
      since 01/2017 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • San Francisco, CA7 employees
    • Pleasanton, CA2 employees
    • Scottsdale, AZ1 employees
    What changed
    consecutive filings, newest first
    • Assets in custody · 1564539800.0 to unset
      Apr 20, 2018 to Aug 30, 2018
    • Custody of client assets · true to false
      Apr 20, 2018 to Aug 30, 2018
    • HQ city · E. PALO ALTO to PALO ALTO
      Mar 15, 2018 to Apr 20, 2018
    • Accounts · 1,758 to 1,835
      Nov 21, 2017 to Mar 15, 2018
    • Advisory employees · 15 to 25
      Nov 21, 2017 to Mar 15, 2018
    • HNW clients · unset to 329.0
      Nov 21, 2017 to Mar 15, 2018
    • Individual clients · unset to 172.0
      Nov 21, 2017 to Mar 15, 2018
    • Assets in custody · $23.6M to $1.6B
      Nov 21, 2017 to Mar 15, 2018
    • Employees · 25 to 27
      Nov 21, 2017 to Mar 15, 2018
    • Financial planning clients · 101-250 to 251-500
      Nov 21, 2017 to Mar 15, 2018
    • State-registered IARs · 14 to 16
      Nov 21, 2017 to Mar 15, 2018
    • Discretionary RAUM · $1.5B to $1.7B
      Nov 21, 2017 to Mar 15, 2018
    • HNW RAUM · unset to 1541728825.0
      Nov 21, 2017 to Mar 15, 2018
    • Individual RAUM · unset to 75882089.0
      Nov 21, 2017 to Mar 15, 2018
    • Pension RAUM · unset to 13704948.0
      Nov 21, 2017 to Mar 15, 2018
    • RAUM · $1.5B to $1.7B
      Nov 21, 2017 to Mar 15, 2018
    • Other offices · unset to 3.0
      Aug 8, 2017 to Nov 21, 2017
    • Accounts · 1,638 to 1,758
      Nov 15, 2016 to Feb 8, 2017
    • BD registered reps · 1 to 0
      Nov 15, 2016 to Feb 8, 2017
    • Assets in custody · $203,712 to $23.6M
      Nov 15, 2016 to Feb 8, 2017
    • Employees · 27 to 25
      Nov 15, 2016 to Feb 8, 2017
    • Financial planning clients · 251-500 to 101-250
      Nov 15, 2016 to Feb 8, 2017
    • State-registered IARs · 12 to 14
      Nov 15, 2016 to Feb 8, 2017
    • Discretionary RAUM · $1.4B to $1.5B
      Nov 15, 2016 to Feb 8, 2017
    • Non-discretionary RAUM · $9.9M to $0
      Nov 15, 2016 to Feb 8, 2017
    • RAUM · $1.4B to $1.5B
      Nov 15, 2016 to Feb 8, 2017
    • Related insurance company · true to false
      Nov 15, 2016 to Feb 8, 2017
    • Accounts · 1,455 to 1,638
      Sep 25, 2015 to Mar 28, 2016
    • Advisory employees · 13 to 15
      Sep 25, 2015 to Mar 28, 2016
    • Assets in custody · $28.3M to $203,712
      Sep 25, 2015 to Mar 28, 2016
    • Employees · 23 to 27
      Sep 25, 2015 to Mar 28, 2016
    • State-registered IARs · 13 to 12
      Sep 25, 2015 to Mar 28, 2016
    • Discretionary RAUM · $1.3B to $1.4B
      Sep 25, 2015 to Mar 28, 2016
    • Non-discretionary RAUM · $0 to $9.9M
      Sep 25, 2015 to Mar 28, 2016
    • RAUM · $1.3B to $1.4B
      Sep 25, 2015 to Mar 28, 2016
    • Assets in custody · unset to 28261000.0
      Sep 15, 2015 to Sep 25, 2015
    • Custody of client assets · false to true
      Sep 15, 2015 to Sep 25, 2015
    • Accounts · 1,298 to 1,455
      Nov 26, 2014 to Feb 25, 2015
    • Advisory employees · 11 to 13
      Nov 26, 2014 to Feb 25, 2015
    • Employees · 19 to 23
      Nov 26, 2014 to Feb 25, 2015
    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.
    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