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
S•••• R•••• W••••• M•••••••••
Latest filing Mar 13, 2026
First filing on the tape Mar 5, 2018 · 21 filings
SEC status approved since Apr 4, 2018
RAUM
$366M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$364M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$91.6M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$366M as of Mar 13, 2026
Mar 25, 2019$123M then
HNW client RAUM$289M as of Mar 13, 2026
Mar 25, 2019$74.8M then
State-registered IARs (5.B.3)2 as of Mar 13, 2026
Mar 25, 20192 then
Employees (5.A)6 as of Mar 13, 2026
Mar 25, 20194 then
Private funds: no history
RAUM +13% over the last fiscal year+19% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 13, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $91.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $435,677derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$289M79%
- Individuals$75.2M21%
- Pension and profit-sharing plans$2.4M0.6%
- Individual clients
- 152reported
- HNW clients
- 125reported
- Pension plan clients
- 4reported
- Charitable clients
- 0reported
- Accounts
- 841reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H•••• S• M••••••• | San Rafael, Ca | May 13, 2015 | 33 y | 2 |
| L•••••• S•• N••••••Certified Financial Planner | Larkspur, Ca | Mar 11, 2022 | 36 y | 2 |
| T••••••••• T• O••• | San Rafael, Ca | May 6, 2024 | 13 y | 1 |
| A••••• A•••• | San Rafael, Ca | Mar 24, 2025 | 10 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
- T••••••••• T• O••• from W••••• E••••••••• A••••••• S•••••••• L••May 6, 2024 · RIA to RIA
- L•••••• S•• N•••••• from L•• F•••••••• L••Mar 11, 2022 · Other
- H•••• S• M••••••• from L•• F•••••••• L••May 13, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from L•• F•••••••• L••May 21, 2015 · Larkspur, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••••• L••••••• S•• · Managing Principal / Chief Compliance Officercontrolsince 06/2000 · owns 75% or more
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 |
|---|---|---|---|---|---|
| San Rafael, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Santa Rosa, CA2 employees
What changed
consecutive filings, newest first
- Accounts · 829 to 841Oct 30, 2025 to Mar 13, 2026
- Individual clients · 148 to 152Oct 30, 2025 to Mar 13, 2026
- Pension plan clients · 3 to 4Oct 30, 2025 to Mar 13, 2026
- Discretionary RAUM · $322M to $366MOct 30, 2025 to Mar 13, 2026
- HNW RAUM · $257M to $289MOct 30, 2025 to Mar 13, 2026
- Individual RAUM · $63.8M to $75.2MOct 30, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $1.3M to $625,791Oct 30, 2025 to Mar 13, 2026
- Pension RAUM · $1.8M to $2.4MOct 30, 2025 to Mar 13, 2026
- RAUM · $323M to $366MOct 30, 2025 to Mar 13, 2026
- Financial planning clients · 101-250 to 101-250Mar 3, 2025 to Mar 21, 2025
- Accounts · 774 to 829Oct 1, 2024 to Mar 3, 2025
- HNW clients · 123 to 125Oct 1, 2024 to Mar 3, 2025
- Individual clients · 137 to 148Oct 1, 2024 to Mar 3, 2025
- Pension plan clients · 2 to 3Oct 1, 2024 to Mar 3, 2025
- Employees · 4 to 6Oct 1, 2024 to Mar 3, 2025
- Discretionary RAUM · $271M to $322MOct 1, 2024 to Mar 3, 2025
- HNW RAUM · $226M to $257MOct 1, 2024 to Mar 3, 2025
- Individual RAUM · $44.4M to $63.8MOct 1, 2024 to Mar 3, 2025
- Non-discretionary RAUM · $1.3M to $1.3MOct 1, 2024 to Mar 3, 2025
- Pension RAUM · $1.7M to $1.8MOct 1, 2024 to Mar 3, 2025
- RAUM · $272M to $323MOct 1, 2024 to Mar 3, 2025
- HQ city · LARKSPUR to SAN RAFAELFeb 26, 2024 to Jul 3, 2024
- Accounts · 719 to 774Sep 29, 2023 to Feb 26, 2024
- HNW clients · 117 to 123Sep 29, 2023 to Feb 26, 2024
- Individual clients · 124 to 137Sep 29, 2023 to Feb 26, 2024
- Pension plan clients · 1 to 2Sep 29, 2023 to Feb 26, 2024
- Discretionary RAUM · $218M to $271MSep 29, 2023 to Feb 26, 2024
- HNW RAUM · $37.0M to $226MSep 29, 2023 to Feb 26, 2024
- Individual RAUM · $182M to $44.4MSep 29, 2023 to Feb 26, 2024
- Non-discretionary RAUM · $1.3M to $1.3MSep 29, 2023 to Feb 26, 2024
- Pension RAUM · $142,230 to $1.7MSep 29, 2023 to Feb 26, 2024
- RAUM · $219M to $272MSep 29, 2023 to Feb 26, 2024
- Accounts · 674 to 719Mar 18, 2022 to Mar 14, 2023
- HNW clients · 114 to 117Mar 18, 2022 to Mar 14, 2023
- Individual clients · 109 to 124Mar 18, 2022 to Mar 14, 2023
- Discretionary RAUM · $243M to $218MMar 18, 2022 to Mar 14, 2023
- HNW RAUM · $207M to $37.0MMar 18, 2022 to Mar 14, 2023
- Individual RAUM · $36.8M to $182MMar 18, 2022 to Mar 14, 2023
- Non-discretionary RAUM · $1.7M to $1.3MMar 18, 2022 to Mar 14, 2023
- Pension RAUM · $172,648 to $142,230Mar 18, 2022 to Mar 14, 2023
Signals
1 dated events
- S•••• R•••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Mar 5, 2018 · 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
- Business phone
- 415-721-0275reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- S••••R••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-721-0275reportedpublic record, Form ADV, Mar 13, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- s•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $91.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026