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.
SEC-registered adviser
5t Wealth, LLC
Latest filing Aug 5, 2026
First filing on the tape Mar 30, 2012 · 60 filings
SEC status approved since Jul 1, 2003
RAUM
$331M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$294M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$82.8M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
60 filings and snapshots on the tape
RAUM$331M as of Aug 5, 2026
Mar 30, 2012$112M then
HNW client RAUM$232M as of Aug 5, 2026
Mar 8, 2018$93.0M then
State-registered IARs (5.B.3)4 as of Aug 5, 2026
Apr 1, 20130 then
Employees (5.A)4 as of Aug 5, 2026
Apr 1, 20135 then
Private funds1 as of Oct 10, 2025
Mar 30, 20121 then
RAUM +17% over the last fiscal year+19% a year over threeIARs 2 to 4
Practice profile
derived from the filing of Aug 5, 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
- $82.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $621,693derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +29%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Custody
- $2.6M, 17 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$232M70%
- Individuals$62.4M19%
- Charitable organizations$27.3M8.3%
- Pension and profit-sharing plans$7.4M2.3%
- Individual clients
- 206reported
- HNW clients
- 64reported
- Pension plan clients
- 18reported
- Charitable clients
- 4reported
- Accounts
- 533reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.6M for 17 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Paul James Krsek | Napa, Ca | Aug 29, 2018 | 46 y | 2 |
| Christopher Steven RothChartered Financial Analyst | Napa, Ca | Dec 13, 2024 | 19 y | 2 |
| Colton Bradley Maher | Napa, Ca | Aug 27, 2025 | 12 y | 1 |
| Jackie Lou Daclan D'Avolio-Raquidan | Napa, Ca | Jan 5, 2026 | 14 y | 5 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- Jackie Lou Daclan D'Avolio-Raquidan from U.S. Bancorp Advisors, LLCJan 5, 2026 · Affiliated broker-dealer or bank to independent RIA
- Colton Bradley Maher from Eagle Strategies LLCAug 27, 2025 · Affiliated broker-dealer or bank to independent RIA
- Christopher Steven Roth from Delegate Advisors, LLCDec 13, 2024 · RIA to RIA
- Paul James Krsek from Mid Atlantic Financial Management, Inc.Aug 29, 2018 · Other
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 5tq Fixed Income Plus Master Fund Spcno longer reported | Hedge Fund | $67.9M | 39 | Jun 20, 2016 |
| 5tq Equity Plus Master Fund Spcno longer reported | Hedge Fund | $30.0M | 30 | Jun 20, 2016 |
| 5t Wealth Partners, LP | Other Private Fund | $10.8M | 26 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Margaret Krsek · Chief Financial Officer (Cfo)controlsince 01/2009 · owns 25% to 50%
- James Paul Krsek · Chief Executive Officer (Ceo)controlsince 06/1998 · owns 25% to 50%
- L Hien Scozzafava · Chief Compliance & Client Services Officer (Cco/Cso)controlsince 07/2016 · owns 5% to 10%
Related persons
Schedule D 7.A
- 5t Wealth Partners, LPpooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Napa, Ca · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 541 to 533Jan 15, 2026 to Feb 25, 2026
- Advisory employees · 3 to 4Jan 15, 2026 to Feb 25, 2026
- Advisory activities · 7 to 6Jan 15, 2026 to Feb 25, 2026
- Charity clients · 3 to 4Jan 15, 2026 to Feb 25, 2026
- HNW clients · 42 to 64Jan 15, 2026 to Feb 25, 2026
- Individual clients · 168 to 206Jan 15, 2026 to Feb 25, 2026
- Pension plan clients · 16 to 18Jan 15, 2026 to Feb 25, 2026
- Pooled vehicle clients · 26 to 0Jan 15, 2026 to Feb 25, 2026
- Assets in custody · unset to 2637997.0Jan 15, 2026 to Feb 25, 2026
- Custody of client assets · false to trueJan 15, 2026 to Feb 25, 2026
- Financial planning clients · More than 500 to 251-500Jan 15, 2026 to Feb 25, 2026
- State-registered IARs · 3 to 4Jan 15, 2026 to Feb 25, 2026
- Discretionary RAUM · $283M to $331MJan 15, 2026 to Feb 25, 2026
- HNW RAUM · $200M to $232MJan 15, 2026 to Feb 25, 2026
- Individual RAUM · $54.1M to $62.4MJan 15, 2026 to Feb 25, 2026
- Non-discretionary RAUM · $571,466 to $601,551Jan 15, 2026 to Feb 25, 2026
- Pension RAUM · $6.3M to $7.4MJan 15, 2026 to Feb 25, 2026
- Pooled vehicle RAUM · $4.5M to $0Jan 15, 2026 to Feb 25, 2026
- RAUM · $283M to $331MJan 15, 2026 to Feb 25, 2026
- Assets in custody · 4447677.0 to unsetOct 10, 2025 to Dec 11, 2025
- Custody of client assets · true to falseOct 10, 2025 to Dec 11, 2025
- Private funds · 1 to unsetOct 10, 2025 to Dec 11, 2025
- Advisory employees · 2 to 3Jul 29, 2025 to Sep 1, 2025
- Employees · 3 to 4Jul 29, 2025 to Sep 1, 2025
- State-registered IARs · 2 to 3Jul 29, 2025 to Sep 1, 2025
- Financial planning clients · More than 500 to More than 500Feb 11, 2025 to Jul 29, 2025
- Accounts · 361 to 541Sep 3, 2024 to Jan 24, 2025
- Charity clients · 1 to 3Sep 3, 2024 to Jan 24, 2025
- HNW clients · 28 to 42Sep 3, 2024 to Jan 24, 2025
- Individual clients · 108 to 168Sep 3, 2024 to Jan 24, 2025
- Pension plan clients · 4 to 16Sep 3, 2024 to Jan 24, 2025
- Pooled vehicle clients · 32 to 26Sep 3, 2024 to Jan 24, 2025
- Assets in custody · $2.4M to $4.4MSep 3, 2024 to Jan 24, 2025
- Financial planning clients · 26-50 to More than 500Sep 3, 2024 to Jan 24, 2025
- Discretionary RAUM · $216M to $283MSep 3, 2024 to Jan 24, 2025
- HNW RAUM · $165M to $200MSep 3, 2024 to Jan 24, 2025
- Individual RAUM · $29.0M to $54.1MSep 3, 2024 to Jan 24, 2025
- Non-discretionary RAUM · $499,965 to $571,466Sep 3, 2024 to Jan 24, 2025
- Pension RAUM · $4.8M to $6.3MSep 3, 2024 to Jan 24, 2025
- Pooled vehicle RAUM · $5.5M to $4.5MSep 3, 2024 to Jan 24, 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
- Firm profile
- LINKEDIN.COM/COMPANY/5T-WEALTH-MANAGEMENT-LLCreportedpublic record, Form ADV, Sep 17, 2026
- Website
- 5TWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (707) 224-1340reportedpublic record, Form ADV, Aug 5, 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
- $82.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026