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••••••• R••••••• • I••••••••• M•••••••••

Independent wealth managerS•••••••, CaliforniaCRD 110506SEC 801-57695websiteIAPD
Latest filing Apr 6, 2026
First filing on the tape Mar 31, 2012 · 47 filings
SEC status approved since Jul 3, 2000
RAUM
$2.5B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
76%
$1.9B individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
$167M
derived; firm RAUM over IAPD count
Employees
21
12 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$2.5B as of Apr 6, 2026
Mar 31, 2012$759M then
HNW client RAUM$1.2B as of Apr 6, 2026
Mar 29, 2018$659M then
State-registered IARs (5.B.3)15 as of Apr 6, 2026
Mar 28, 201310 then
Employees (5.A)21 as of Apr 6, 2026
Mar 28, 201310 then
Private funds: no history
RAUM -0.1% over the last fiscal year-1.2% a year over threeIARs 15 to 15
Practice profile
derived from the filing of Apr 6, 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
RAUM per advisor
$167MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
170derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$915,808derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
4.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
3.0derived5 offices incl. principal (1.F.5)
RAUM growth, one year
-0.1%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-8.8%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
Custody
$133M, 100 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$1.2B46%
  • Individuals$748M30%
  • Corporations and businesses$310M12%
  • Investment companies$174M6.9%
  • Charitable organizations$58.2M2.3%
  • Pension and profit-sharing plans$57.8M2.3%
Individual clients
2,103reported
HNW clients
451reported
Pension plan clients
64reported
Charitable clients
31reported
Accounts
2,740reported
Financial planning clients
11-25reported
Wrap fee programs
$0 sponsored, $17.0M managedreported
Custody of client assets
$133M for 100 clientsreported
Compensation
% of AUMreported
Class basis
private_client_share=0.76 fund_share=0.07 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
15 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
K•••• P•••• T•••••S•••••••, CaAug 29, 199540 y0
P••••• A••••• S••••••Chartered Financial AnalystS•••••••, CaAug 12, 200917 y0
G••••• W••••••••Salinas, CaDec 17, 200917 y0
J•••• H••••• T•••••S•••••••, Ca May 5, 201031 y0
S•••••• A••• S•••S•••••••, CaSep 17, 201215 y0
M••• C••• C•••••Certified Financial Planner, Chartered Financial AnalystS•••••••, CaNov 20, 201215 y0
M•••••• D••••• C••••Chartered Financial AnalystS•••••••, CaJan 1, 201315 y0
J••••• H••••• P••••••Chartered Financial AnalystS•••••••, CaDec 20, 201313 y0
M••• L•• M•••••••••Certified Financial PlannerS•••••••, CaMar 11, 201433 y2
R••••• L•• M•••Chartered Financial AnalystS•••••••, CaJun 13, 201412 y0
M••••• E••••• S••••••S•••••••, CaApr 24, 201912 y0
M•••••• T•••• K••••••S•••••••, CaApr 26, 201914 y0
A••••• J••••• E••••S•••••••, CaJul 27, 201910 y0
T••••• A•••• D•••••S•••••••, Ca Nov 2, 202212 y1
T•••••• L••••••••• B•••••Certified Financial PlannerS•••••••, CaJan 12, 202313 y0
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C•••••• M•••• C••• · Presidentcontrol
    since 01/2017 · owns 5% to 10%
  • H•••••• T•••••• O••••• · Chief Financial Officercontrol
    since 05/2016 · owns 5% to 10%
  • T•••••• K••••• P•••• · Chief Executive Officer/Chief Investment Officercontrol
    since 04/1995 · owns 25% to 50%
  • H•••••• M•••••••• E••••• · Chief Compliance Officer
    since 10/2019 · owns less than 5%
  • S••••••• P•••••• A••••• · Director Of R•••••••
    since 09/2024 · owns 5% to 10%
  • T•••••• J••••• H••••• · Director Of Operations
    since 04/1995 · 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
OfficeAdvisorsJoinedLeftTeams outForming
S•••••••, Ca · principal1400
Offices
Schedule D 1.F, the 25 largest
  • Seattle, WA1 employees
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 3,016 to 2,740
    Apr 11, 2025 to Mar 16, 2026
  • Charity clients · 40 to 31
    Apr 11, 2025 to Mar 16, 2026
  • Corporate clients · 98 to 90
    Apr 11, 2025 to Mar 16, 2026
  • HNW clients · 445 to 451
    Apr 11, 2025 to Mar 16, 2026
  • Individual clients · 2,355 to 2,103
    Apr 11, 2025 to Mar 16, 2026
  • Pension plan clients · 77 to 64
    Apr 11, 2025 to Mar 16, 2026
  • Pooled vehicle clients · unset to 0.0
    Apr 11, 2025 to Mar 16, 2026
  • Assets in custody · $75.1M to $133M
    Apr 11, 2025 to Mar 16, 2026
  • Employees · 22 to 21
    Apr 11, 2025 to Mar 16, 2026
  • Financial planning clients · 1-10 to 11-25
    Apr 11, 2025 to Mar 16, 2026
  • Discretionary RAUM · $2.5B to $2.5B
    Apr 11, 2025 to Mar 16, 2026
  • HNW RAUM · $1.1B to $1.2B
    Apr 11, 2025 to Mar 16, 2026
  • Individual RAUM · $802M to $748M
    Apr 11, 2025 to Mar 16, 2026
  • Non-discretionary RAUM · $50.9M to $43.0M
    Apr 11, 2025 to Mar 16, 2026
  • Pension RAUM · $61.1M to $57.8M
    Apr 11, 2025 to Mar 16, 2026
  • Pooled vehicle RAUM · unset to 0.0
    Apr 11, 2025 to Mar 16, 2026
  • RAUM · $2.5B to $2.5B
    Apr 11, 2025 to Mar 16, 2026
  • Wrap assets (manager) · $29.8M to $17.0M
    Apr 11, 2025 to Mar 16, 2026
  • Accounts · 3,207 to 3,016
    Apr 5, 2024 to Apr 11, 2025
  • Advisory employees · 13 to 12
    Apr 5, 2024 to Apr 11, 2025
  • Charity clients · 46 to 40
    Apr 5, 2024 to Apr 11, 2025
  • Corporate clients · 117 to 98
    Apr 5, 2024 to Apr 11, 2025
  • HNW clients · 456 to 445
    Apr 5, 2024 to Apr 11, 2025
  • Individual clients · 2,493 to 2,355
    Apr 5, 2024 to Apr 11, 2025
  • Pension plan clients · 93 to 77
    Apr 5, 2024 to Apr 11, 2025
  • Pooled vehicle clients · 1.0 to unset
    Apr 5, 2024 to Apr 11, 2025
  • Assets in custody · $73.0M to $75.1M
    Apr 5, 2024 to Apr 11, 2025
  • Employees · 23 to 22
    Apr 5, 2024 to Apr 11, 2025
  • Financial planning clients · 1-10 to 1-10
    Apr 5, 2024 to Apr 11, 2025
  • State-registered IARs · 16 to 15
    Apr 5, 2024 to Apr 11, 2025
  • Other offices · 5 to 4
    Apr 5, 2024 to Apr 11, 2025
  • Discretionary RAUM · $2.7B to $2.5B
    Apr 5, 2024 to Apr 11, 2025
  • HNW RAUM · $1.1B to $1.1B
    Apr 5, 2024 to Apr 11, 2025
  • Individual RAUM · $834M to $802M
    Apr 5, 2024 to Apr 11, 2025
  • Non-discretionary RAUM · $53.0M to $50.9M
    Apr 5, 2024 to Apr 11, 2025
  • Pension RAUM · $79.3M to $61.1M
    Apr 5, 2024 to Apr 11, 2025
  • Pooled vehicle RAUM · 32051946.0 to unset
    Apr 5, 2024 to Apr 11, 2025
  • RAUM · $2.7B to $2.5B
    Apr 5, 2024 to Apr 11, 2025
  • Wrap assets (manager) · $25.9M to $29.8M
    Apr 5, 2024 to Apr 11, 2025
  • Accounts · 3,287 to 3,207
    Apr 28, 2023 to Mar 28, 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
c••••••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Business phone
408-741-2330reportedpublished by the firm, firm site, Sep 16, 2026
Firm profile
linkedin.com/company/saratoga-rimreportedpublic record, Form ADV, Sep 18, 2026
Website
S•••••••RIM.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
(408) 741-2330reportedpublic record, Form ADV, Apr 6, 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
$167Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026