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.

Former SEC-registered adviser

Wealth Design, LLC

Former SEC-registered adviserSan Jose, CaliforniaCRD 114293SEC 801-77786IAPD
Latest filing Feb 22, 2021
First filing on the tape Feb 17, 2012 · 45 filings
RAUM
$312M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$312M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$312M as of Feb 22, 2021
Feb 17, 2012$77.8M then
HNW client RAUM$278M as of Feb 22, 2021
Mar 22, 2018$173M then
State-registered IARs (5.B.3)1 as of Feb 22, 2021
Mar 21, 20142 then
Employees (5.A)3 as of Feb 22, 2021
Mar 21, 20147 then
Private funds: no history
RAUM +17% over the last fiscal year+19% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 22, 2021; every figure names its basis
RAUM per advisor
$312MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
129derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.7MderivedHNW RAUM over HNW clients
Average account
$712,835derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+7.5%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$312M, 129 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)
  • compensates persons for client referrals (8.G.1)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$278M89%
  • Individuals$34.3M11%
Individual clients
54reported
HNW clients
75reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
438reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$312M for 129 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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • (Nmn) Gene Ka · Managing Membercontrol
    since 06/2001 · owns 75% or more
  • Thi Thu Ka · Chief Compliance Officer
    since 12/2009 · owns less than 5%
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
  • Accounts · 415 to 438
    Jun 22, 2020 to Feb 22, 2021
  • HNW clients · 66 to 75
    Jun 22, 2020 to Feb 22, 2021
  • Assets in custody · $267M to $312M
    Jun 22, 2020 to Feb 22, 2021
  • Employees · 4 to 3
    Jun 22, 2020 to Feb 22, 2021
  • Financial planning clients · 0 to 1-10
    Jun 22, 2020 to Feb 22, 2021
  • Discretionary RAUM · $267M to $312M
    Jun 22, 2020 to Feb 22, 2021
  • HNW RAUM · $240M to $278M
    Jun 22, 2020 to Feb 22, 2021
  • Individual RAUM · $26.7M to $34.3M
    Jun 22, 2020 to Feb 22, 2021
  • RAUM · $267M to $312M
    Jun 22, 2020 to Feb 22, 2021
  • Accounts · 397 to 415
    Nov 12, 2019 to Mar 19, 2020
  • HNW clients · 52 to 66
    Nov 12, 2019 to Mar 19, 2020
  • Assets in custody · $207M to $267M
    Nov 12, 2019 to Mar 19, 2020
  • Discretionary RAUM · $217M to $267M
    Nov 12, 2019 to Mar 19, 2020
  • HNW RAUM · $194M to $240M
    Nov 12, 2019 to Mar 19, 2020
  • Individual RAUM · $23.5M to $26.7M
    Nov 12, 2019 to Mar 19, 2020
  • RAUM · $217M to $267M
    Nov 12, 2019 to Mar 19, 2020
  • Accounts · 367 to 397
    Apr 30, 2018 to Mar 13, 2019
  • BD registered reps · 2 to 1
    Apr 30, 2018 to Mar 13, 2019
  • HNW clients · 108 to 52
    Apr 30, 2018 to Mar 13, 2019
  • Individual clients · 44 to 54
    Apr 30, 2018 to Mar 13, 2019
  • Assets in custody · $147M to $207M
    Apr 30, 2018 to Mar 13, 2019
  • Discretionary RAUM · $184M to $217M
    Apr 30, 2018 to Mar 13, 2019
  • HNW RAUM · $173M to $194M
    Apr 30, 2018 to Mar 13, 2019
  • Individual RAUM · $10.9M to $23.5M
    Apr 30, 2018 to Mar 13, 2019
  • RAUM · $184M to $217M
    Apr 30, 2018 to Mar 13, 2019
  • Accounts · 333 to 367
    Jan 9, 2018 to Mar 22, 2018
  • Advisory employees · 2 to 1
    Jan 9, 2018 to Mar 22, 2018
  • HNW clients · 66 to 108
    Jan 9, 2018 to Mar 22, 2018
  • Individual clients · 68 to 44
    Jan 9, 2018 to Mar 22, 2018
  • Assets in custody · unset to 147032400.0
    Jan 9, 2018 to Mar 22, 2018
  • Custody of client assets · false to true
    Jan 9, 2018 to Mar 22, 2018
  • Discretionary RAUM · $174M to $184M
    Jan 9, 2018 to Mar 22, 2018
  • HNW RAUM · $146M to $173M
    Jan 9, 2018 to Mar 22, 2018
  • Individual RAUM · $27.2M to $10.9M
    Jan 9, 2018 to Mar 22, 2018
  • RAUM · $174M to $184M
    Jan 9, 2018 to Mar 22, 2018
  • Accounts · 339 to 333
    Aug 11, 2017 to Oct 6, 2017
  • HNW clients · unset to 66.0
    Aug 11, 2017 to Oct 6, 2017
  • Individual clients · unset to 68.0
    Aug 11, 2017 to Oct 6, 2017
  • Other offices · unset to 0.0
    Aug 11, 2017 to Oct 6, 2017
  • Discretionary RAUM · $152M to $174M
    Aug 11, 2017 to Oct 6, 2017
Signals
2 dated events
  • Wealth Design, Llc filed its initial SEC registration (Form ADV)
    Mar 15, 2013 · First SEC registration · fact
  • Wealth Design, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Feb 17, 2012 · Succession (Item 4) · 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