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•• F••••••••• L••
Latest filing Jan 5, 2026
First filing on the tape Apr 12, 2021 · 12 filings
SEC status approved since May 13, 2021
RAUM
$187M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
84%
$156M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$187M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$187M as of Jan 5, 2026
Jan 12, 2022$118M then
HNW client RAUM$125M as of Jan 5, 2026
Jan 12, 2022$66.0M then
State-registered IARs (5.B.3)1 as of Jan 5, 2026
Jan 12, 20221 then
Employees (5.A)1 as of Jan 5, 2026
Jan 12, 20221 then
Private funds: no history
RAUM +15% over the last fiscal year+19% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $187MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 176derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $982,675derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +20%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $35.7M, 42 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
- High-net-worth individuals$125M67%
- Individuals$30.9M17%
- Pension and profit-sharing plans$30.8M16%
- Individual clients
- 66reported
- HNW clients
- 110reported
- Pension plan clients
- 14reported
- Charitable clients
- n/areported
- Accounts
- 190reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $0 sponsored, $179M managedreported
- Custody of client assets
- $35.7M for 42 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.16 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• M•••••• S•••Certified Financial Planner | Los Gatos, Ca | Apr 5, 2002 | 31 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••• R••••• M•••••• · Managing Member/Ccocontrolsince 09/2001 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Jan 5, 2026accounts (Item 5.F.2.f) moved from 309.0 to 190.0 (-39.0%) between the annual amendments of 2025-01-13 and 2026-01-05; the peer median change was +5.0% (3686 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,686) · 4.1% percentile
What changed
consecutive filings, newest first
- Accounts · 309 to 190Jan 13, 2025 to Jan 5, 2026
- HNW clients · 105 to 110Jan 13, 2025 to Jan 5, 2026
- Individual clients · 42 to 66Jan 13, 2025 to Jan 5, 2026
- Pension plan clients · 13 to 14Jan 13, 2025 to Jan 5, 2026
- Assets in custody · $28.6M to $35.7MJan 13, 2025 to Jan 5, 2026
- Discretionary RAUM · $163M to $179MJan 13, 2025 to Jan 5, 2026
- HNW RAUM · $122M to $125MJan 13, 2025 to Jan 5, 2026
- Individual RAUM · $12.6M to $30.9MJan 13, 2025 to Jan 5, 2026
- Non-discretionary RAUM · $0 to $7.8MJan 13, 2025 to Jan 5, 2026
- Pension RAUM · $27.9M to $30.8MJan 13, 2025 to Jan 5, 2026
- RAUM · $163M to $187MJan 13, 2025 to Jan 5, 2026
- Wrap assets (manager) · $163M to $179MJan 13, 2025 to Jan 5, 2026
- Accounts · 296 to 309Jan 9, 2024 to Jan 13, 2025
- HNW clients · 95 to 105Jan 9, 2024 to Jan 13, 2025
- Individual clients · 66 to 42Jan 9, 2024 to Jan 13, 2025
- Pension plan clients · 14 to 13Jan 9, 2024 to Jan 13, 2025
- Assets in custody · $25.7M to $28.6MJan 9, 2024 to Jan 13, 2025
- Financial planning clients · 26-50 to 26-50Jan 9, 2024 to Jan 13, 2025
- Discretionary RAUM · $137M to $163MJan 9, 2024 to Jan 13, 2025
- HNW RAUM · $91.0M to $122MJan 9, 2024 to Jan 13, 2025
- Individual RAUM · $18.8M to $12.6MJan 9, 2024 to Jan 13, 2025
- Pension RAUM · $27.3M to $27.9MJan 9, 2024 to Jan 13, 2025
- RAUM · $137M to $163MJan 9, 2024 to Jan 13, 2025
- Wrap assets (manager) · $137M to $163MJan 9, 2024 to Jan 13, 2025
- Accounts · 251 to 296Sep 5, 2023 to Jan 9, 2024
- HNW clients · 76 to 95Sep 5, 2023 to Jan 9, 2024
- Individual clients · 54 to 66Sep 5, 2023 to Jan 9, 2024
- Pension plan clients · 19 to 14Sep 5, 2023 to Jan 9, 2024
- Assets in custody · $21.6M to $25.7MSep 5, 2023 to Jan 9, 2024
- Discretionary RAUM · $112M to $137MSep 5, 2023 to Jan 9, 2024
- HNW RAUM · $62.5M to $91.0MSep 5, 2023 to Jan 9, 2024
- Individual RAUM · $17.7M to $18.8MSep 5, 2023 to Jan 9, 2024
- Pension RAUM · $31.7M to $27.3MSep 5, 2023 to Jan 9, 2024
- RAUM · $112M to $137MSep 5, 2023 to Jan 9, 2024
- Wrap assets (manager) · $112M to $137MSep 5, 2023 to Jan 9, 2024
- Accounts · 254 to 251Jan 12, 2022 to Mar 5, 2023
- HNW clients · 70 to 76Jan 12, 2022 to Mar 5, 2023
- Pension plan clients · 20 to 19Jan 12, 2022 to Mar 5, 2023
- Assets in custody · $23.8M to $21.6MJan 12, 2022 to Mar 5, 2023
- Discretionary RAUM · $118M to $112MJan 12, 2022 to Mar 5, 2023
Signals
1 dated events
- A•• F••••••••• L•• filed its initial SEC registration (Form ADV)Apr 12, 2021 · First SEC registration · fact
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
- 408.283.7256reportedpublic record, Form ADV, Jan 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
- $187Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026