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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Former SEC-registered adviser
F••••••• T•••••••• P•••••••• A•••••••• I•••
Latest filing May 13, 2022
First filing on the tape Dec 23, 2011 · 36 filings
RAUM
$6.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$5.7B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$6.3B as of Dec 24, 2021
Dec 23, 2011$6.5B then
HNW client RAUM$4.1B as of Dec 24, 2021
Dec 22, 2017$3.1B then
State-registered IARs (5.B.3)0 as of Dec 24, 2021
Dec 23, 20110 then
Employees (5.A)5 as of Dec 24, 2021
Dec 20, 201241 then
Private funds: no history
RAUM +44% over the last fiscal year+15% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of May 13, 2022; 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
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +44%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +32%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$4.1B65%
- Individuals$1.6B26%
- Insurance companies$235M3.8%
- Corporations and businesses$227M3.6%
- Pooled investment vehicles$63.8M1.0%
- Charitable organizations$14.3M0.2%
- Pension and profit-sharing plans$9.2M0.1%
- Individual clients
- 4,550reported
- HNW clients
- 1,359reported
- Pension plan clients
- 74reported
- Charitable clients
- 35reported
- Accounts
- 5,606reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $6.2B managedreported
- 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
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••••••••• P•••••• C•••••• · Director & Senior Vice Presidentcontrolsince 03/2021 · owns less than 5%
- M••••• J••••••• S•••• · Presidentcontrolsince 03/2021 · owns less than 5%
- O•••••• L••••••• H••••• · Chief Financial Officercontrolsince 10/2019 · owns less than 5%
- B•••••••• B••••• M••• · Chief Compliance Officersince 09/2009 · owns less than 5%
- C•••••••• M•••• L•••• · Treasurersince 10/2007 · owns less than 5%
- P••••••• P•••••• N•• · Directorsince 01/2011 · owns less than 5%
- T•••• C••••• S••••• · Chief Legal Officersince 12/2006 · owns less than 5%
Entity owners
- F••••••• R••••••••• I••• · Shareholderdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- B••••••• E••••• M••••••••• P••• L••••••investment adviserbankn
- B•••••• S••••• P••••••• L•••••investment advisernRAUM $28B
- B••••••••• G••••• I••••••••• M••••••••• ••••• P••• L••investment advisery
- B••••••••• G••••• I••••••••• M••••••••• •••••••• U••investment advisern
- B••••••••• G••••• I••••••••• M••••••••• ••••••• L••••••investment advisery
- B••••••••• G••••• I••••••••• M••••••••• L••investment adviserbankpooled vehicle sponsornRAUM $65B
- B•• C•• M••••••••• L••investment advisernRAUM $12B
- C•••• L••• F••••••• A•••• M• A•••••••• C••• L••••••investment advisern
- C•••••• P••••••• E••• L••••••broker-dealern
- C•••••• P••••••• E••••• ••• L••••••broker-dealern
- C•••••• P••••••• E••••• L••••••investment advisern
- C•••••• P••••••• S••••••••• L••broker-dealern
- C•••••• P•••••••investment advisernRAUM $74B
- C••••••••• I••••••••• ••••• A••••••• P•• L••••••investment advisernRAUM $2.2B
- C••••••••• I••••••••• L••••••investment advisern
- C••••••••• I••••••••• L••investment adviserbankpooled vehicle sponsornRAUM $185B
- C••••••••• R••• I••••••••• I••••••••• P•• L••••••investment advisern
- D•••• A••••••••• D• I••••••••• L•••investment advisern
- D•••• A••• I•••••••• •••• L••investment advisern
- D•••• A••• I••••••••• L••investment advisern
- D•••• O••••••• P•••••••• L•••investment adviserbanknRAUM $154M
- E•••••••• P••••••• L••••••investment advisernRAUM $4.2B
- F•••••••• T•••• C•••••• I•••••••••bankcustodiann
- F•••••••• T•••• C•••••• O• C•••••investment adviserbankn
- F•••••••• T•••• I••••••••• L••investment advisernRAUM $7.7B
- F•••••••• G••••• L••investment advisernRAUM $977,294
- F••••••• A•••••••• I•••investment adviserbanknRAUM $509B
- F••••••• A••••••• S•••••••• L••investment adviserbanknRAUM $14B
- F••••••• B•• C•••••• A•••••• L••investment advisernRAUM $4.2B
- F••••••• B•• L•••••• A••••••• L•••••investment advisernRAUM $3.0B
Advisers that list F••••••• T•••••••• P•••••••• A•••••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
- San Mateo, CA2 employees
What changed
consecutive filings, newest first
- Accounts · 4,741 to 5,606Aug 24, 2021 to Dec 24, 2021
- Advisory employees · 3 to 2Aug 24, 2021 to Dec 24, 2021
- Advisory activities · 3 to 2Aug 24, 2021 to Dec 24, 2021
- Charity clients · 31 to 35Aug 24, 2021 to Dec 24, 2021
- Corporate clients · 84 to 117Aug 24, 2021 to Dec 24, 2021
- HNW clients · 981 to 1,359Aug 24, 2021 to Dec 24, 2021
- Individual clients · 3,498 to 4,550Aug 24, 2021 to Dec 24, 2021
- Pension plan clients · 31 to 74Aug 24, 2021 to Dec 24, 2021
- Pooled vehicle clients · 0 to 4Aug 24, 2021 to Dec 24, 2021
- Employees · 16 to 5Aug 24, 2021 to Dec 24, 2021
- Other offices · 0 to 1Aug 24, 2021 to Dec 24, 2021
- Discretionary RAUM · $4.3B to $6.3BAug 24, 2021 to Dec 24, 2021
- HNW RAUM · $2.8B to $4.1BAug 24, 2021 to Dec 24, 2021
- Individual RAUM · $1.4B to $1.6BAug 24, 2021 to Dec 24, 2021
- Pension RAUM · $12.1M to $9.2MAug 24, 2021 to Dec 24, 2021
- Pooled vehicle RAUM · $0 to $63.8MAug 24, 2021 to Dec 24, 2021
- RAUM · $4.3B to $6.3BAug 24, 2021 to Dec 24, 2021
- Wrap assets (manager) · $4.3B to $6.2BAug 24, 2021 to Dec 24, 2021
- BD registered reps · 0 to 4Mar 10, 2021 to Jul 22, 2021
- Accounts · 4,758 to 4,741Dec 23, 2020 to Feb 1, 2021
- Discretionary RAUM · $4.3B to $4.3BDec 23, 2020 to Feb 1, 2021
- Non-discretionary RAUM · $21 to $0Dec 23, 2020 to Feb 1, 2021
- BD registered reps · 5 to 0Jul 10, 2020 to Dec 23, 2020
- Charity clients · 53 to 31Jul 10, 2020 to Dec 23, 2020
- Corporate clients · 107 to 84Jul 10, 2020 to Dec 23, 2020
- HNW clients · 810 to 981Jul 10, 2020 to Dec 23, 2020
- Individual clients · 3,398 to 3,498Jul 10, 2020 to Dec 23, 2020
- Pension plan clients · 55 to 31Jul 10, 2020 to Dec 23, 2020
- Employees · 15 to 16Jul 10, 2020 to Dec 23, 2020
- Other offices · 1 to 0Jul 10, 2020 to Dec 23, 2020
- Discretionary RAUM · $4.1B to $4.3BJul 10, 2020 to Dec 23, 2020
- HNW RAUM · $1.9B to $2.8BJul 10, 2020 to Dec 23, 2020
- Individual RAUM · $1.3B to $1.4BJul 10, 2020 to Dec 23, 2020
- Non-discretionary RAUM · $0 to $21Jul 10, 2020 to Dec 23, 2020
- Pension RAUM · $230M to $12.1MJul 10, 2020 to Dec 23, 2020
- RAUM · $4.1B to $4.3BJul 10, 2020 to Dec 23, 2020
- Wrap assets (manager) · $4.1B to $4.3BJul 10, 2020 to Dec 23, 2020
- Accounts · 4,609 to 4,758Jul 10, 2020 to Dec 23, 2020
- Advisory employees · 5 to 3Jul 10, 2020 to Dec 23, 2020
- Advisory activities · 2 to 3Jul 10, 2020 to Dec 23, 2020
Signals
9 dated events
- F••••••• T•••••••• P•••••••• A•••••••• I••• reported RAUM $6.3B, up 44% from $4.3B (2021-08-24 to 2021-12-24)Dec 24, 2021 · RAUM change · derived
- Camille Pierre Caramazza (Director & Senior Vice President) appeared on Schedule A of F••••••• T•••••••• P•••••••• A•••••••• I•••Mar 10, 2021 · Control person joined · fact
- Scott Jeffrey Masom (President) appeared on Schedule A of F••••••• T•••••••• P•••••••• A•••••••• I•••Mar 10, 2021 · Control person joined · fact
- Thomas Daniel O'Lear (President) no longer on Schedule A of F••••••• T•••••••• P•••••••• A•••••••• I••• (listed 2021-02-16, absent 2021-03-10)Mar 10, 2021 · Control person left · inference
- Murray Robert Geppner (Senior Vice President And Director) no longer on Schedule A of F••••••• T•••••••• P•••••••• A•••••••• I••• (listed 2021-02-16, absent 2021-03-10)Mar 10, 2021 · Control person left · inference
- Sterling Madison Gulley (Executive Vice President) no longer on Schedule A of F••••••• T•••••••• P•••••••• A•••••••• I••• (listed 2021-02-01, absent 2021-02-16)Feb 16, 2021 · Control person left · inference
- Murray Robert Geppner (Senior Vice President And Director) appeared on Schedule A of F••••••• T•••••••• P•••••••• A•••••••• I•••Dec 24, 2019 · Control person joined · fact
- Michael Thomas Regner (President And Director) no longer on Schedule A of F••••••• T•••••••• P•••••••• A•••••••• I••• (listed 2019-10-29, absent 2019-12-24)Dec 24, 2019 · Control person left · inference
- Harumi Lindsey Oshita (Chief Financial Officer) appeared on Schedule A of F••••••• T•••••••• P•••••••• A•••••••• I•••Oct 29, 2019 · Control person joined · 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