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
A••••• A•••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Mar 30, 2012 · 27 filings
SEC status approved since May 7, 2007
RAUM
$389M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
96%
$373M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$43.2M
derived; firm RAUM over IAPD count
Employees
9
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$389M as of Mar 20, 2026
Mar 30, 2012$125M then
HNW client RAUM$325M as of Mar 20, 2026
Mar 20, 2018$174M then
State-registered IARs (5.B.3)9 as of Mar 20, 2026
Mar 30, 20120 then
Employees (5.A)9 as of Mar 20, 2026
Mar 5, 20139 then
Private funds: no history
RAUM +9.2% over the last fiscal year+15% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Mar 20, 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
- RAUM per advisor
- $43.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $888,039derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 3.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$325M84%
- Individuals$47.8M12%
- Charitable organizations$8.3M2.1%
- Pension and profit-sharing plans$5.4M1.4%
- Corporations and businesses$2.5M0.7%
- Individual clients
- 100reported
- HNW clients
- 91reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 438reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=true related_bank=false bd_reps=9.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••• G••••• F••• | Sacramento, Ca | Oct 17, 2002 | 31 y | 1 |
| D•••• L•••• B•••••• | Sacramento, Ca | Apr 6, 2006 | 41 y | 1 |
| M••••• T••••••• H••••• | Sacramento, Ca | May 1, 2009 | 40 y | 1 |
| L•••• M•• B••••• | Reno, Nv | May 11, 2009 | 39 y | 1 |
| K•••••• E•••• B•••• | Sacramento, Ca | Feb 5, 2010 | 40 y | 1 |
| A••• W•••• R•••••• | Sacramento, Ca | Feb 8, 2010 | 37 y | 0 |
| D•••• H••••••Certified Financial Planner | Sacramento, Ca | Jul 15, 2011 | 21 y | 0 |
| M••••••• J•••• K••••••••• | Sacramento, Ca | Jun 25, 2019 | 23 y | 0 |
| J•••• T• F••• | Sacramento, Ca | May 1, 2023 | 14 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
- R•••••• S•••• D••••• to A••••••• A••••••• S•••••••Apr 10, 2017 · Other
- J••• Z•••••••• to T• A••••••••• I•••Sep 27, 2012 · Other
- T••••• W•••••• O•••• to F•••• A••••• S••••••••• I•••Nov 18, 2009 · Other
- P•••• M•••••• G•••••••• to A• G• E•••••• • S•••• I•••Dec 12, 2005 · Other
Joined, latest
- J••• Z•••••••• from C••••• A•••••• N••••••• L••Jan 21, 2011 · Other
- K•••••• E•••• B•••• from L••• C•••••• G•••• L••Feb 5, 2010 · Other
- L•••• M•• B••••• from U•• F•••••••• S••••••• I•••May 11, 2009 · Other
- M••••• T••••••• H••••• from U•• F•••••••• S••••••• I•••May 1, 2009 · Other
- T••••• W•••••• O•••• from W•••• F•••• A•••••••Oct 3, 2007 · Other
- D•••• L•••• B•••••• from M••••• S•••••• D• I•••Apr 6, 2006 · Other
- P•••• M•••••• G•••••••• from M••••• S•••••• D• I•••Jul 14, 2004 · Other
- R•••••• S•••• D••••• from W•••• F•••• A•••••••Jul 14, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• K••••••• E•••• · Managing Membercontrolsince 05/2001 · owns 50% to 75%
- R••••••• A•••• W•••• · Managing Member & Chief Compliance Officercontrolsince 05/2001 · owns 50% to 75%
Related persons
Schedule D 7.A
- A••••• W••••• M••••••••• I•••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Sacramento, Ca · principal | 9 | 0 | 0 | ||
| Reno, Nv | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Reno, NV2 employees
What changed
consecutive filings, newest first
- Accounts · 422 to 438Nov 4, 2025 to Mar 20, 2026
- HNW clients · 89 to 91Nov 4, 2025 to Mar 20, 2026
- Individual clients · 101 to 100Nov 4, 2025 to Mar 20, 2026
- Discretionary RAUM · $352M to $384MNov 4, 2025 to Mar 20, 2026
- HNW RAUM · $291M to $325MNov 4, 2025 to Mar 20, 2026
- Individual RAUM · $43.6M to $47.8MNov 4, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $4.0M to $5.1MNov 4, 2025 to Mar 20, 2026
- Pension RAUM · $8.9M to $5.4MNov 4, 2025 to Mar 20, 2026
- RAUM · $356M to $389MNov 4, 2025 to Mar 20, 2026
- Accounts · 419 to 422Sep 25, 2024 to Mar 13, 2025
- HNW clients · 100 to 89Sep 25, 2024 to Mar 13, 2025
- Individual clients · 78 to 101Sep 25, 2024 to Mar 13, 2025
- Financial planning clients · 101-250 to 51-100Sep 25, 2024 to Mar 13, 2025
- Discretionary RAUM · $304M to $352MSep 25, 2024 to Mar 13, 2025
- HNW RAUM · $262M to $291MSep 25, 2024 to Mar 13, 2025
- Individual RAUM · $25.0M to $43.6MSep 25, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $1.6M to $4.0MSep 25, 2024 to Mar 13, 2025
- Pension RAUM · $7.1M to $8.9MSep 25, 2024 to Mar 13, 2025
- Pooled vehicle RAUM · unset to 0.0Sep 25, 2024 to Mar 13, 2025
- RAUM · $305M to $356MSep 25, 2024 to Mar 13, 2025
- Accounts · 397 to 419Mar 27, 2023 to Mar 27, 2024
- Advisory employees · 8 to 9Mar 27, 2023 to Mar 27, 2024
- BD registered reps · 8 to 9Mar 27, 2023 to Mar 27, 2024
- HNW clients · 87 to 100Mar 27, 2023 to Mar 27, 2024
- Individual clients · 104 to 78Mar 27, 2023 to Mar 27, 2024
- Employees · 8 to 9Mar 27, 2023 to Mar 27, 2024
- Financial planning clients · 26-50 to 101-250Mar 27, 2023 to Mar 27, 2024
- State-registered IARs · 8 to 9Mar 27, 2023 to Mar 27, 2024
- Discretionary RAUM · $258M to $304MMar 27, 2023 to Mar 27, 2024
- HNW RAUM · $211M to $262MMar 27, 2023 to Mar 27, 2024
- Individual RAUM · $31.0M to $25.0MMar 27, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $779,757 to $1.6MMar 27, 2023 to Mar 27, 2024
- Pension RAUM · $5.2M to $7.1MMar 27, 2023 to Mar 27, 2024
- RAUM · $258M to $305MMar 27, 2023 to Mar 27, 2024
- Accounts · 382 to 397Nov 7, 2022 to Mar 27, 2023
- HNW clients · 90 to 87Nov 7, 2022 to Mar 27, 2023
- Individual clients · 89 to 104Nov 7, 2022 to Mar 27, 2023
- Discretionary RAUM · $310M to $258MNov 7, 2022 to Mar 27, 2023
- HNW RAUM · $261M to $211MNov 7, 2022 to Mar 27, 2023
- Individual RAUM · $30.1M to $31.0MNov 7, 2022 to Mar 27, 2023
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
- Principal office phone
- 916-480-2747reportedpublic record, Form ADV, Mar 20, 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
- $43.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026