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
H•••••• F•••••••• • I•••••••• S•••••••• I•••
Latest filing May 18, 2026
First filing on the tape May 7, 2025 · 5 filings
SEC status approved since May 6, 2025
RAUM
$116M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$109M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$23.3M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$116M as of May 18, 2026
May 7, 2025$114M then
HNW client RAUM$67.3M as of May 18, 2026
May 7, 2025$61.9M then
State-registered IARs (5.B.3)5 as of May 18, 2026
May 7, 20254 then
Employees (5.A)5 as of May 18, 2026
May 7, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 18, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $23.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $206,058derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$67.3M58%
- Individuals$42.0M36%
- Pension and profit-sharing plans$6.2M5.3%
- Corporations and businesses$479,0000.4%
- Charitable organizations$396,0000.3%
- Individual clients
- 218reported
- HNW clients
- 65reported
- Pension plan clients
- 15reported
- Charitable clients
- 1reported
- Accounts
- 565reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• R•• H••••••Certified Financial Planner, Chartered Financial Consultant | San Jose, Ca | Jan 18, 2022 | 34 y | 2 |
| R•••• L•• G•••••Chartered Financial Consultant | San Rafael, Ca | Apr 28, 2025 | 35 y | 2 |
| H••••• S••••• | San Jose, Ca | Feb 21, 2026 | 20 y | 0 |
| K•••• R•• M••••••••• | San Jose, Ca | Mar 24, 2026 | 17 y | 2 |
| W•••••• J••• S••••••• | San Jose, Ca | May 18, 2026 | 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
- R•••• L•• G••••• from F••• A•••••••Apr 28, 2025 · Other
- E••• R•• H•••••• from O• I••••••••• M••••••••• C•Jan 18, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• E•••• R•• · President/Chief Compliance Officercontrolsince 09/1992 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Jose, Ca · principal | 5 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5Mar 30, 2026 to May 18, 2026
- Employees · 4 to 5Mar 30, 2026 to May 18, 2026
- State-registered IARs · 4 to 5Mar 30, 2026 to May 18, 2026
- Advisory employees · 3 to 4Feb 21, 2026 to Mar 30, 2026
- Employees · 3 to 4Feb 21, 2026 to Mar 30, 2026
- State-registered IARs · 3 to 4Feb 21, 2026 to Mar 30, 2026
- Other offices · 1 to 2Feb 21, 2026 to Mar 30, 2026
- Accounts · 315 to 565Dec 9, 2025 to Feb 21, 2026
- Advisory employees · 2 to 3Dec 9, 2025 to Feb 21, 2026
- Charity clients · 6 to 1Dec 9, 2025 to Feb 21, 2026
- Corporate clients · unset to 6.0Dec 9, 2025 to Feb 21, 2026
- HNW clients · 112 to 65Dec 9, 2025 to Feb 21, 2026
- Individual clients · 191 to 218Dec 9, 2025 to Feb 21, 2026
- Pension plan clients · unset to 15.0Dec 9, 2025 to Feb 21, 2026
- Employees · 2 to 3Dec 9, 2025 to Feb 21, 2026
- Financial planning clients · 11-25 to 1-10Dec 9, 2025 to Feb 21, 2026
- State-registered IARs · 2 to 3Dec 9, 2025 to Feb 21, 2026
- Other offices · 2 to 1Dec 9, 2025 to Feb 21, 2026
- Discretionary RAUM · $114M to $116MDec 9, 2025 to Feb 21, 2026
- HNW RAUM · $61.9M to $67.3MDec 9, 2025 to Feb 21, 2026
- Individual RAUM · $52.0M to $42.0MDec 9, 2025 to Feb 21, 2026
- Pension RAUM · unset to 6186695.0Dec 9, 2025 to Feb 21, 2026
- RAUM · $114M to $116MDec 9, 2025 to Feb 21, 2026
- Advisory employees · 4 to 2May 7, 2025 to Dec 9, 2025
- Employees · 4 to 2May 7, 2025 to Dec 9, 2025
- State-registered IARs · 4 to 2May 7, 2025 to Dec 9, 2025
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 phone
- 408-297-9800reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 408-539-5735reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••://WWW.WEALTHCREATOR.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 408-297-9800reportedpublic record, Form ADV, May 18, 2026
- Team page
- wealthcreator.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $23.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026