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
R•• A••••••• S•••••••• I•••
Latest filing May 15, 2020
First filing on the tape Mar 29, 2012 · 31 filings
RAUM
$451M
reported, Item 5.F
Discretionary
59%
of RAUM
Private clients
55%
$249M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$451M as of May 15, 2020
Mar 29, 2012$192M then
HNW client RAUM$138M as of May 15, 2020
Mar 31, 2019$178M then
State-registered IARs (5.B.3)6 as of May 15, 2020
Mar 29, 20120 then
Employees (5.A)8 as of May 15, 2020
Apr 3, 20137 then
Private funds: no history
RAUM +6.3% over the last fiscal year+8.9% a year over threeIARs 8 to 6offices 4 to 3
Practice profile
derived from the filing of May 15, 2020; every figure names its basis
- RAUM per advisor
- $75.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $518,439derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 59%derivedof RAUM
- Institutional
- 45%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $39.7MreportedItem 5.I
- Custody
- $183M, 234 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$196M44%
- High-net-worth individuals$138M31%
- Individuals$111M25%
- Charitable organizations$5.1M1.1%
- Corporations and businesses$772,0290.2%
- Individual clients
- 370reported
- HNW clients
- 54reported
- Pension plan clients
- 14reported
- Charitable clients
- 5reported
- Accounts
- 870reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $19.9M sponsored, $19.9M managedreported
- Custody of client assets
- $183M for 234 clientsreported
- Compensation
- % of AUM, fixed, 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
- D••••• J•••••• M•• to B••••••••• S•••••••• W•••••• L••Jul 1, 2020 · RIA to RIA
- T•••• L•• N••••••• to B••••••••• S•••••••• W•••••• L••Jul 1, 2020 · RIA to RIA
- M•••••• R•••••••• to B••••••••• S•••••••• W•••••• L••Jul 1, 2020 · RIA to RIA
- D••••• T••••• N••••••• to B••••••••• S•••••••• W•••••• L••Jul 1, 2020 · RIA to RIA
- B••••• L•••• F••••••••• to M•••••• A•••••• N••••••May 28, 2020 · RIA to RIA
- L•• M•••••• M••••• to S••••••••• A•••••• A•••••••• I•••Apr 7, 2020 · RIA to affiliated broker-dealer or bank
- G••• J•••• D•••••••• to D•••••••• W••••• A•••••••Jan 6, 2016 · Other
- E•••• K••• R•••••••• to L•• F•••••••• I•••Apr 22, 2013 · Other
- M•••• H••••• A•••• to H•••••• F•••••••• N•••••••Dec 31, 2005 · Other
Joined, latest
- D••••• J•••••• M•• from C•••••• S••••• • C••• I•••Nov 23, 2016 · Other
- L•• M•••••• M••••• from S••••••• F•••••••• S•••••••• I•••Nov 20, 2014 · Other
- G••• J•••• D•••••••• from E•••••••• A••••••• I••Apr 9, 2012 · Other
- T•••• L•• N••••••• from L•• F•••••••• L••Jun 22, 2006 · Other
- D••••• T••••• N••••••• from L•• F•••••••• L••Jun 22, 2006 · Other
- B••••• L•••• F••••••••• from A••••••••• F•••••••• S•••••••• L••Sep 22, 2004 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for B••••••••• S•••••••• W•••••• L••Jul 1, 2020 · Morgan Hill, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••••••• D•••••• T••••• · Principal, Senior Wealth A••••••controlsince 12/2007 · owns less than 5%
- N•••••••• T••••• L•• · Principal, President, Chief Compliance Officercontrolsince 12/2007 · owns less than 5%
- R••••••••• C•••• H•••• · Chairmancontrolsince 12/2005 · owns less than 5%
- R••••••••• M••••••• J•••• · Shareholder, Wealth A••••••, Principalcontrolsince 01/2016 · owns 25% to 50%
- N•••••••• D•••••• T••••• · Trusteecontrolsince 12/2007 · owns 50% to 75% of T•• N••••••• F••••• T••••
- N•••••••• T••••• L•• · Trusteecontrolsince 12/2007 · owns 50% to 75% of T•• N••••••• F••••• T••••
- R••••••••• C•••• H•••• · Trusteecontrolsince 12/2005 · owns 50% to 75% of T•• C••• A•• G•••••••• R•••••••• L••••• T••••
- R••••••••• G•••••••• · Trusteecontrolsince 12/2005 · owns 50% to 75% of T•• C••• A•• G•••••••• R•••••••• L••••• T••••
Entity owners
- T•• C••• A•• G•••••••• R•••••••• L••••• T•••• · Shareholderdirect · owns 25% to 50%
- T•• N••••••• F••••• T•••• · Shareholderdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- R•• E••••• A•• I•••••••• S•••••••• I•••real estatey
Advisers that list R•• A••••••• S•••••••• I••• as a related person
- 1027 n
Offices
Schedule D 1.F, the 25 largest
- Los Gatos, CA5 employees
- Salinas, CA2 employees
- Fresno, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 1,023 to 870Mar 31, 2019 to May 15, 2020
- Advisory employees · 8 to 6Mar 31, 2019 to May 15, 2020
- BD registered reps · 6 to 0Mar 31, 2019 to May 15, 2020
- Charity clients · 9 to 5Mar 31, 2019 to May 15, 2020
- Corporate clients · 18 to 12Mar 31, 2019 to May 15, 2020
- HNW clients · 168 to 54Mar 31, 2019 to May 15, 2020
- Individual clients · 275 to 370Mar 31, 2019 to May 15, 2020
- Pension plan clients · 38 to 14Mar 31, 2019 to May 15, 2020
- Commission compensation · true to falseMar 31, 2019 to May 15, 2020
- Assets in custody · unset to 182760000.0Mar 31, 2019 to May 15, 2020
- Custody of client assets · false to trueMar 31, 2019 to May 15, 2020
- Financial planning clients · 101-250 to 251-500Mar 31, 2019 to May 15, 2020
- State-registered IARs · 8 to 6Mar 31, 2019 to May 15, 2020
- Other offices · 4 to 3Mar 31, 2019 to May 15, 2020
- Discretionary RAUM · $224M to $266MMar 31, 2019 to May 15, 2020
- HNW RAUM · $178M to $138MMar 31, 2019 to May 15, 2020
- Individual RAUM · $47.4M to $111MMar 31, 2019 to May 15, 2020
- Non-discretionary RAUM · $201M to $185MMar 31, 2019 to May 15, 2020
- Pension RAUM · $193M to $196MMar 31, 2019 to May 15, 2020
- RAUM · $424M to $451MMar 31, 2019 to May 15, 2020
- Related adviser · true to falseMar 31, 2019 to May 15, 2020
- Related broker-dealer · true to falseMar 31, 2019 to May 15, 2020
- Wrap assets (manager) · $153M to $19.9MMar 31, 2019 to May 15, 2020
- Wrap assets (sponsor) · $153M to $19.9MMar 31, 2019 to May 15, 2020
- Accounts · 975 to 1,023Mar 22, 2018 to Mar 31, 2019
- Charity clients · 8 to 9Mar 22, 2018 to Mar 31, 2019
- HNW clients · 262 to 168Mar 22, 2018 to Mar 31, 2019
- Individual clients · 232 to 275Mar 22, 2018 to Mar 31, 2019
- Pension plan clients · 23 to 38Mar 22, 2018 to Mar 31, 2019
- Employees · 11 to 8Mar 22, 2018 to Mar 31, 2019
- Insurance-licensed employees · 6 to 0Mar 22, 2018 to Mar 31, 2019
- Discretionary RAUM · $202M to $224MMar 22, 2018 to Mar 31, 2019
- HNW RAUM · $145M to $178MMar 22, 2018 to Mar 31, 2019
- Individual RAUM · $47.0M to $47.4MMar 22, 2018 to Mar 31, 2019
- Non-discretionary RAUM · $147M to $201MMar 22, 2018 to Mar 31, 2019
- Pension RAUM · $146M to $193MMar 22, 2018 to Mar 31, 2019
- RAUM · $349M to $424MMar 22, 2018 to Mar 31, 2019
- Wrap assets (manager) · $148M to $153MMar 22, 2018 to Mar 31, 2019
- Wrap assets (sponsor) · $148M to $153MMar 22, 2018 to Mar 31, 2019
- Charity clients · unset to 8.0Aug 14, 2017 to Mar 22, 2018
Signals
1 dated events
- Geraldine Reinhardt (Trustee) appeared on Schedule A of R•• A••••••• S•••••••• I•••May 15, 2020 · 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