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
M••••••• P•••••• W•••••• I•••
Latest filing Mar 22, 2025
First filing on the tape Mar 27, 2012 · 43 filings
SEC status approved since Nov 22, 2002
RAUM
$1.1B
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
83%
$917M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
8 advisory (5.B.1)
Offices
10
beyond the principal office
Private funds
0
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$1.1B as of Mar 22, 2025
Mar 27, 2012$217M then
HNW client RAUM$728M as of Mar 22, 2025
Mar 29, 2018$336M then
State-registered IARs (5.B.3)8 as of Mar 22, 2025
Mar 27, 20135 then
Employees (5.A)13 as of Mar 22, 2025
Mar 27, 20138 then
Private funds: no history
RAUM +14% over the last fiscal year+8.6% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Mar 22, 2025; every figure names its basis
- RAUM per advisor
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 76derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $553,601derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 0.7derived11 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.2%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 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$728M66%
- Individuals$189M17%
- Pension and profit-sharing plans$115M11%
- Charitable organizations$66.7M6.1%
- Individual clients
- 383reported
- HNW clients
- 227reported
- Pension plan clients
- 22reported
- Charitable clients
- 8reported
- Accounts
- 1,985reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
- C•••••••• A••••• C••••••••• to C••••••• P•••••••Apr 21, 2025 · RIA to RIA
- G••• E••••• D•••••• A•• to C••••••• P•••••••Apr 21, 2025 · RIA to RIA
- Z•••••••• A• H••••• to C••••••• P•••••••Apr 21, 2025 · RIA to RIA
- M••• W• K•••••• to C••••••• P•••••••Apr 21, 2025 · RIA to RIA
- S•••••• H••••• L•••• to C••••••• P•••••••Apr 21, 2025 · RIA to RIA
- H••••• D•• R•••• to C••••••• P•••••••Apr 21, 2025 · RIA to RIA
- J•••• O•••• R••• to C••••••• P•••••••Apr 21, 2025 · RIA to RIA
Joined, latest
- S•••••• H••••• L•••• from U•• F•••••••• S••••••• I•••May 17, 2019 · Wirehouse to independent RIA
- Z•••••••• A• H••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 7, 2019 · Wirehouse to independent RIA
- M••• W• K•••••• from C•••••• S••••• • C••• I•••Jan 18, 2017 · Other
- C•••••••• A••••• C••••••••• from P••••••• • R••••••••• I•••Oct 10, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for C••••••• P•••••••Apr 21, 2025 · M•••••••, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••• G•••• E••••• D•••••• · Partnercontrolsince 01/2021 · owns 25% to 50%
- C••••••••• C••••••••• A••••• · Presidentcontrolsince 03/2013 · owns less than 5%
- M••••••• S•••••• C•••••• · Chief Compliance Officer/Partnercontrolsince 01/2021 · owns less than 5%
- C••••••••• C••••••••• A••••• · Trusteecontrolsince 02/2016 · owns F of F•• C•• T•••• D•••• F••••••• 1•• 2•••
- M••••••• S•••••• C•••••• · Trusteecontrolsince 03/2005 · owns F of S••••• A•• J••••• M•••••• F••••• T•••• U•• M•••• 1•• 2•••
- C••••••••• S••••••• M•••• · Trusteesince 02/2016 · owns F of F•• C•• T•••• D•••• F••••••• 1•• 2•••
- M••••••• J•••••• M•••• · Trusteesince 03/2005 · owns F of S••••• A•• J••••• M•••••• F••••• T•••• U•• M•••• 1•• 2•••
Entity owners
- F•• C•• T•••• D•••• F••••••• 1•• 2••• · Shareholderdirect · owns 25% to 50%
- S••••• A•• J••••• M•••••• F••••• T•••• U•• M•••• 1•• 2••• · Shareholderdirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Caledonia, Mi | 0 | 0 | 0 | ||
| M•••••••, Ca · principal | 0 | 0 | 0 | ||
| Pleasanton, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Pleasanton, CA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,967 to 1,985Nov 5, 2024 to Mar 22, 2025
- HNW clients · 213 to 227Nov 5, 2024 to Mar 22, 2025
- Individual clients · 386 to 383Nov 5, 2024 to Mar 22, 2025
- Pension plan clients · 20 to 22Nov 5, 2024 to Mar 22, 2025
- Financial planning clients · 11-25 to 26-50Nov 5, 2024 to Mar 22, 2025
- Discretionary RAUM · $943M to $1.0BNov 5, 2024 to Mar 22, 2025
- HNW RAUM · $663M to $728MNov 5, 2024 to Mar 22, 2025
- Individual RAUM · $179M to $189MNov 5, 2024 to Mar 22, 2025
- Non-discretionary RAUM · $62.5M to $55.9MNov 5, 2024 to Mar 22, 2025
- Pension RAUM · $104M to $115MNov 5, 2024 to Mar 22, 2025
- RAUM · $1.0B to $1.1BNov 5, 2024 to Mar 22, 2025
- Accounts · 1,929 to 1,967Mar 1, 2024 to Apr 9, 2024
- HNW clients · 204 to 213Mar 1, 2024 to Apr 9, 2024
- Individual clients · 387 to 386Mar 1, 2024 to Apr 9, 2024
- Discretionary RAUM · $905M to $943MMar 1, 2024 to Apr 9, 2024
- HNW RAUM · $616M to $663MMar 1, 2024 to Apr 9, 2024
- Individual RAUM · $199M to $179MMar 1, 2024 to Apr 9, 2024
- Non-discretionary RAUM · $61.0M to $62.5MMar 1, 2024 to Apr 9, 2024
- Pension RAUM · $94.3M to $104MMar 1, 2024 to Apr 9, 2024
- RAUM · $966M to $1.0BMar 1, 2024 to Apr 9, 2024
- Accounts · 1,922 to 1,929Oct 12, 2023 to Feb 29, 2024
- HNW clients · 382 to 204Oct 12, 2023 to Feb 29, 2024
- Individual clients · 382 to 387Oct 12, 2023 to Feb 29, 2024
- Employees · 12 to 13Oct 12, 2023 to Feb 29, 2024
- Discretionary RAUM · $852M to $905MOct 12, 2023 to Feb 29, 2024
- HNW RAUM · $598M to $616MOct 12, 2023 to Feb 29, 2024
- Individual RAUM · $169M to $199MOct 12, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $59.7M to $61.0MOct 12, 2023 to Feb 29, 2024
- Pension RAUM · $91.5M to $94.3MOct 12, 2023 to Feb 29, 2024
- RAUM · $911M to $966MOct 12, 2023 to Feb 29, 2024
- Accounts · 1,864 to 1,922Mar 28, 2023 to Aug 15, 2023
- Charity clients · 9 to 8Mar 28, 2023 to Aug 15, 2023
- HNW clients · 212 to 382Mar 28, 2023 to Aug 15, 2023
- Individual clients · 364 to 382Mar 28, 2023 to Aug 15, 2023
- Pension plan clients · 19 to 20Mar 28, 2023 to Aug 15, 2023
- Discretionary RAUM · $818M to $852MMar 28, 2023 to Aug 15, 2023
- HNW RAUM · $554M to $598MMar 28, 2023 to Aug 15, 2023
- Individual RAUM · $148M to $169MMar 28, 2023 to Aug 15, 2023
- Non-discretionary RAUM · $23.5M to $59.7MMar 28, 2023 to Aug 15, 2023
- Pension RAUM · $85.4M to $91.5MMar 28, 2023 to Aug 15, 2023
Signals
11 dated events
- M••••••• P•••••• W•••••• I••• no longer on the SEC adviser roster (last listed 2025-06-02, RAUM $1.1B)Jul 1, 2025 · Left the SEC roster · derived
- M••••••• P•••••• W•••••• I•••'s advisors moved to C••••••• P••••••• (M•••••••, CA): 6 of 7 registered, on the same dayApr 21, 2025 · Firm absorbed (people side) · derived
- H••••• D•• R•••• left M••••••• P•••••• W•••••• I••• for C••••••• P••••••• (registered 2025-04-01)Apr 21, 2025 · Advisor changed firm · fact
- J•••• O•••• R••• left M••••••• P•••••• W•••••• I••• for C••••••• P••••••• (registered 2025-04-01)Apr 21, 2025 · Advisor changed firm · fact
- C•••••••• A••••• C••••••••• left M••••••• P•••••• W•••••• I••• for C••••••• P••••••• (registered 2025-04-01)Apr 21, 2025 · Advisor changed firm · fact
- S•••••• H••••• L•••• left M••••••• P•••••• W•••••• I••• for C••••••• P••••••• (registered 2025-04-01)Apr 21, 2025 · Advisor changed firm · fact
- M••• W• K•••••• left M••••••• P•••••• W•••••• I••• for C••••••• P••••••• (registered 2025-04-01)Apr 21, 2025 · Advisor changed firm · fact
- G••• E••••• D•••••• A•• left M••••••• P•••••• W•••••• I••• for C••••••• P••••••• (registered 2025-04-01)Apr 21, 2025 · Advisor changed firm · fact
- Z•••••••• A• H••••• left M••••••• P•••••• W•••••• I••• for C••••••• P••••••• (registered 2025-04-01)Apr 21, 2025 · Advisor changed firm · fact
- M••••••• P•••••• W•••••• I••• reported 10 offices beyond its principal office, up from 2 (2021-08-06 to 2022-03-16)Mar 16, 2022 · Office count change · derived
- Burton Kenneth Petersen (Principal) no longer on Schedule A of M••••••• P•••••• W•••••• I••• (listed 2020-11-03, absent 2021-02-01)Feb 1, 2021 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- M••••••• P•••••• W•••••• I••• · Private Equityshared crd · intermediary
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