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
R••••• W•••• C••••• P••••••••• I••••••••• M•••
Legal name C••••• R••••• P••••• W••••
Latest filing Mar 9, 2026
First filing on the tape Mar 21, 2012 · 12 filings
SEC status approved since Dec 10, 2019
RAUM
$219M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$219M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$219M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$219M as of Mar 9, 2026
Mar 21, 2012$67.6M then
HNW client RAUM$217M as of Mar 9, 2026
Mar 24, 2020$117M then
State-registered IARs (5.B.3)1 as of Mar 9, 2026
Mar 21, 20120 then
Employees (5.A)1 as of Mar 9, 2026
Mar 24, 20201 then
Private funds: no history
RAUM +17% over the last fiscal year+15% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $219MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.6MderivedHNW RAUM over HNW clients
- Average account
- $5.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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$217M99%
- Individuals$1.7M0.8%
- Individual clients
- 9reported
- HNW clients
- 33reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 42reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• P••••• W•••• C••••• | Napa, Ca | Apr 8, 2011 | 36 y | 0 |
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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• R•••••• P••••• W•••• · Owner/Chief Compliance Officercontrolsince 02/1990 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HNW clients · 32 to 33Mar 21, 2025 to Mar 9, 2026
- Individual clients · 10 to 9Mar 21, 2025 to Mar 9, 2026
- Discretionary RAUM · $187M to $219MMar 21, 2025 to Mar 9, 2026
- HNW RAUM · $185M to $217MMar 21, 2025 to Mar 9, 2026
- Individual RAUM · $1.9M to $1.7MMar 21, 2025 to Mar 9, 2026
- RAUM · $187M to $219MMar 21, 2025 to Mar 9, 2026
- Accounts · 43 to 42Mar 8, 2024 to Mar 21, 2025
- HNW clients · 30 to 32Mar 8, 2024 to Mar 21, 2025
- Individual clients · 13 to 10Mar 8, 2024 to Mar 21, 2025
- Financial planning clients · unset to Mar 8, 2024 to Mar 21, 2025
- HQ city · unset to Mar 8, 2024 to Mar 21, 2025
- HQ state · unset to Mar 8, 2024 to Mar 21, 2025
- Discretionary RAUM · $163M to $187MMar 8, 2024 to Mar 21, 2025
- HNW RAUM · $159M to $185MMar 8, 2024 to Mar 21, 2025
- Individual RAUM · $3.9M to $1.9MMar 8, 2024 to Mar 21, 2025
- RAUM · $163M to $187MMar 8, 2024 to Mar 21, 2025
- HNW clients · 31 to 30Mar 6, 2023 to Mar 8, 2024
- Individual clients · 12 to 13Mar 6, 2023 to Mar 8, 2024
- Discretionary RAUM · $144M to $163MMar 6, 2023 to Mar 8, 2024
- HNW RAUM · $140M to $159MMar 6, 2023 to Mar 8, 2024
- Individual RAUM · $3.9M to $3.9MMar 6, 2023 to Mar 8, 2024
- RAUM · $144M to $163MMar 6, 2023 to Mar 8, 2024
- Accounts · 42 to 43Mar 18, 2022 to Mar 6, 2023
- HNW clients · 32 to 31Mar 18, 2022 to Mar 6, 2023
- Individual clients · 10 to 12Mar 18, 2022 to Mar 6, 2023
- Discretionary RAUM · $175M to $144MMar 18, 2022 to Mar 6, 2023
- HNW RAUM · $173M to $140MMar 18, 2022 to Mar 6, 2023
- Individual RAUM · $2.9M to $3.9MMar 18, 2022 to Mar 6, 2023
- RAUM · $175M to $144MMar 18, 2022 to Mar 6, 2023
- Accounts · 40 to 42Mar 10, 2021 to Mar 18, 2022
- HNW clients · 28 to 32Mar 10, 2021 to Mar 18, 2022
- Individual clients · 12 to 10Mar 10, 2021 to Mar 18, 2022
- Discretionary RAUM · $142M to $175MMar 10, 2021 to Mar 18, 2022
- HNW RAUM · $138M to $173MMar 10, 2021 to Mar 18, 2022
- Individual RAUM · $4.2M to $2.9MMar 10, 2021 to Mar 18, 2022
- RAUM · $142M to $175MMar 10, 2021 to Mar 18, 2022
- HNW clients · 27 to 28Jun 26, 2020 to Mar 10, 2021
- Individual clients · 13 to 12Jun 26, 2020 to Mar 10, 2021
- Discretionary RAUM · $121M to $142MJun 26, 2020 to Mar 10, 2021
- HNW RAUM · $117M to $138MJun 26, 2020 to Mar 10, 2021
Signals
1 dated events
- R••••• W•••• C••••• P••••••••• I••••••••• M••• filed its initial SEC registration (Form ADV)Nov 6, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 707-938-2220reportedpublic record, Form ADV, Mar 9, 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
- $219Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026