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••••• I••••••••• P•••••••• I•••

Institutional managerWalnut Creek, CaliforniaCRD 110954SEC 801-48848websiteIAPD
Latest filing Mar 31, 2026
First filing on the tape Dec 9, 2011 · 43 filings
SEC status approved since May 18, 1995
RAUM
$5.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$5.5B as of Mar 31, 2026
Dec 9, 2011$2.5B then
HNW client RAUM$0 as of Mar 31, 2026
Dec 16, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Dec 9, 20110 then
Employees (5.A)9 as of Mar 31, 2026
Dec 17, 20129 then
Private funds: no history
RAUM -1.0% over the last fiscal year+9.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
  • Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
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
unknownderivedHNW RAUM over HNW clients
Average account
$45.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-1.0%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$5.5B100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
120reported
Charitable clients
0reported
Accounts
120reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••••• B••••• C••••••••• · President/Ceo/Directorcontrol
        since 03/1996 · owns 75% or more
      • S••••••••• D••••• · Cco, Cfo, Executive Vice Presidentcontrol
        since 10/2013 · owns less than 5%
      • A••••• J••••• E••••• · Sr. Vice President/Cio
        since 11/2024 · owns less than 5%
      • D•••••••• J•••• F•••••• · Sr. Vice President
        since 03/1996 · owns 5% to 10%
      • M••••••• J••••• G•••• · Vice President
        since 03/1996 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Oak Brook, IL2 employees
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 113 to 120
        Apr 29, 2025 to Dec 12, 2025
      • Pension plan clients · 113 to 120
        Apr 29, 2025 to Dec 12, 2025
      • Discretionary RAUM · $5.6B to $5.5B
        Apr 29, 2025 to Dec 12, 2025
      • Pension RAUM · $5.6B to $5.5B
        Apr 29, 2025 to Dec 12, 2025
      • RAUM · $5.6B to $5.5B
        Apr 29, 2025 to Dec 12, 2025
      • Financial planning clients · 0 to 0
        Dec 20, 2024 to Apr 29, 2025
      • Accounts · 110 to 113
        Jul 15, 2024 to Dec 20, 2024
      • Pension plan clients · 110 to 113
        Jul 15, 2024 to Dec 20, 2024
      • Employees · 8 to 9
        Jul 15, 2024 to Dec 20, 2024
      • Discretionary RAUM · $4.6B to $5.6B
        Jul 15, 2024 to Dec 20, 2024
      • Pension RAUM · $4.6B to $5.6B
        Jul 15, 2024 to Dec 20, 2024
      • RAUM · $4.6B to $5.6B
        Jul 15, 2024 to Dec 20, 2024
      • Accounts · 112 to 110
        Aug 23, 2023 to Dec 15, 2023
      • Pension plan clients · 112 to 110
        Aug 23, 2023 to Dec 15, 2023
      • Discretionary RAUM · $4.2B to $4.6B
        Aug 23, 2023 to Dec 15, 2023
      • Pension RAUM · $4.2B to $4.6B
        Aug 23, 2023 to Dec 15, 2023
      • RAUM · $4.2B to $4.6B
        Aug 23, 2023 to Dec 15, 2023
      • Accounts · 116 to 112
        Jun 27, 2022 to Dec 22, 2022
      • Pension plan clients · 116 to 112
        Jun 27, 2022 to Dec 22, 2022
      • Discretionary RAUM · $5.4B to $4.2B
        Jun 27, 2022 to Dec 22, 2022
      • Pension RAUM · $5.4B to $4.2B
        Jun 27, 2022 to Dec 22, 2022
      • RAUM · $5.4B to $4.2B
        Jun 27, 2022 to Dec 22, 2022
      • Discretionary RAUM · $4.4B to $5.4B
        Feb 21, 2021 to Dec 22, 2021
      • Pension RAUM · $4.4B to $5.4B
        Feb 21, 2021 to Dec 22, 2021
      • RAUM · $4.4B to $5.4B
        Feb 21, 2021 to Dec 22, 2021
      • Accounts · 109 to 116
        Nov 11, 2019 to Dec 5, 2020
      • Pension plan clients · 72 to 116
        Nov 11, 2019 to Dec 5, 2020
      • Discretionary RAUM · $3.8B to $4.4B
        Nov 11, 2019 to Dec 5, 2020
      • Pension RAUM · $3.8B to $4.4B
        Nov 11, 2019 to Dec 5, 2020
      • RAUM · $3.8B to $4.4B
        Nov 11, 2019 to Dec 5, 2020
      • Accounts · 120 to 109
        Dec 16, 2018 to Nov 11, 2019
      • Pension plan clients · 84 to 72
        Dec 16, 2018 to Nov 11, 2019
      • Discretionary RAUM · $3.9B to $3.8B
        Dec 16, 2018 to Nov 11, 2019
      • Pension RAUM · $3.9B to $3.8B
        Dec 16, 2018 to Nov 11, 2019
      • RAUM · $3.9B to $3.8B
        Dec 16, 2018 to Nov 11, 2019
      • Accounts · 125 to 120
        May 12, 2018 to Dec 16, 2018
      • Pension plan clients · 90 to 84
        May 12, 2018 to Dec 16, 2018
      • Employees · 9 to 8
        May 12, 2018 to Dec 16, 2018
      • Discretionary RAUM · $3.8B to $3.9B
        May 12, 2018 to Dec 16, 2018
      • Pension RAUM · $3.8B to $3.9B
        May 12, 2018 to Dec 16, 2018
      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
      Website
      S•••••INV.COMreportedpublic record, Form ADV, Sep 19, 2026
      Principal office phone
      925-941-6300reportedpublic record, Form ADV, Mar 31, 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
      Institutional managerderiveda 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