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
A•••••••• A•• W••••••• L••
Latest filing Jun 28, 2018
First filing on the tape Jan 26, 2012 · 13 filings
RAUM
$2.3M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$2.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$2.3M as of Jan 22, 2018
Jan 26, 2012$108M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 22, 2018
Jan 26, 20120 then
Employees (5.A)2 as of Jan 22, 2018
Jan 28, 20132 then
Private funds: no history
RAUM -99% over the last fiscal year-78% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Jun 28, 2018; every figure names its basis
- RAUM per advisor
- $2.3MderivedRAUM 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
- $179,660derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -99%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- hourlyreportedItem 5.E
- Advisory activities
- financial planning, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$2.3M100%
- Individual clients
- 5reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 13reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- hourlyreported
- 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
- A••••••••• D••••• K• · Managing Partner/Chief Compliance Officercontrolsince 04/1998 · owns 50% to 75%
- W••••••• E••••• A••• · Partnercontrolsince 04/1998 · owns 50% to 75%
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
- State-registered IARs · 0 to 1Apr 11, 2018 to May 31, 2018
- Accounts · 185 to 13Jan 16, 2017 to Jan 22, 2018
- Individual clients · unset to 5.0Jan 16, 2017 to Jan 22, 2018
- Other offices · unset to 0.0Jan 16, 2017 to Jan 22, 2018
- Individual RAUM · unset to 2335585.0Jan 16, 2017 to Jan 22, 2018
- Non-discretionary RAUM · $187M to $2.3MJan 16, 2017 to Jan 22, 2018
- RAUM · $187M to $2.3MJan 16, 2017 to Jan 22, 2018
- Accounts · 203 to 185Jan 25, 2016 to Jan 16, 2017
- HQ city · PLEASANTON to unsetJan 25, 2016 to Jan 16, 2017
- HQ state · CA to unsetJan 25, 2016 to Jan 16, 2017
- Non-discretionary RAUM · $222M to $187MJan 25, 2016 to Jan 16, 2017
- RAUM · $222M to $187MJan 25, 2016 to Jan 16, 2017
- Accounts · 213 to 203Jan 19, 2015 to Jan 25, 2016
- Non-discretionary RAUM · $220M to $222MJan 19, 2015 to Jan 25, 2016
- RAUM · $220M to $222MJan 19, 2015 to Jan 25, 2016
- Accounts · 208 to 213Jan 9, 2014 to Jan 15, 2015
- Non-discretionary RAUM · $202M to $220MJan 9, 2014 to Jan 15, 2015
- RAUM · $202M to $220MJan 9, 2014 to Jan 15, 2015
- Accounts · 67 to 208Jan 28, 2013 to Jan 9, 2014
- Non-discretionary RAUM · $195M to $202MJan 28, 2013 to Jan 9, 2014
- RAUM · $195M to $202MJan 28, 2013 to Jan 9, 2014
- Accounts · 182 to 67Jan 26, 2012 to Jan 28, 2013
- Advisory employees · unset to 1.0Jan 26, 2012 to Jan 28, 2013
- Employees · unset to 2.0Jan 26, 2012 to Jan 28, 2013
- Financial planning clients · 26-50 to 11-25Jan 26, 2012 to Jan 28, 2013
- Non-discretionary RAUM · $108M to $195MJan 26, 2012 to Jan 28, 2013
- RAUM · $108M to $195MJan 26, 2012 to Jan 28, 2013
Signals
1 dated events
- A•••••••• A•• W••••••• L•• reported RAUM $2.3M, down 99% from $187.5M (2017-01-16 to 2018-01-22)Jan 22, 2018 · RAUM change · derived
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