DFX Intelligence
RIA Intelligence
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SEC-registered adviser
L•••• A•••••••• I••••••••• I•••
Latest filing Jul 20, 2026
First filing on the tape Mar 8, 2012 · 16 filings
SEC status approved since Jul 23, 2020
RAUM
$275M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$271M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$275M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$275M as of Jul 20, 2026
Mar 8, 2012$36.9M then
HNW client RAUM$269M as of Jul 20, 2026
Mar 12, 2021$156M then
State-registered IARs (5.B.3)1 as of Jul 20, 2026
Mar 8, 20120 then
Employees (5.A)2 as of Jul 20, 2026
Mar 12, 20212 then
Private funds: no history
RAUM +17% over the last fiscal year+20% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jul 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $275MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $11.2MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 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
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$269M98%
- Charitable organizations$4.3M1.5%
- Individuals$2.3M0.8%
- Individual clients
- n/areported
- HNW clients
- 24reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 165reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• M••• S•••••• | Los Altos Hills, Ca | Jun 8, 1993 | n/a | 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••••••• D••••• M••• · President/Chief Compliance Officercontrolsince 08/1989 · owns 75% or more
- A••••• K••••• A•• · Administrative Assistantsince 04/2005 · 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
- HNW clients · 25 to 24Sep 24, 2025 to Mar 17, 2026
- Assets in custody · unset to 11265090.0Sep 24, 2025 to Mar 17, 2026
- Discretionary RAUM · $234M to $275MSep 24, 2025 to Mar 17, 2026
- HNW RAUM · $228M to $269MSep 24, 2025 to Mar 17, 2026
- Individual RAUM · $2.0M to $2.3MSep 24, 2025 to Mar 17, 2026
- RAUM · $234M to $275MSep 24, 2025 to Mar 17, 2026
- Accounts · 155 to 165Jul 11, 2024 to Mar 3, 2025
- Charity clients · 1.0 to unsetJul 11, 2024 to Mar 3, 2025
- HNW clients · 24 to 25Jul 11, 2024 to Mar 3, 2025
- Individual clients · 5.0 to unsetJul 11, 2024 to Mar 3, 2025
- Financial planning clients · 26-50 to 26-50Jul 11, 2024 to Mar 3, 2025
- HQ city · unset to Jul 11, 2024 to Mar 3, 2025
- HQ state · unset to Jul 11, 2024 to Mar 3, 2025
- Discretionary RAUM · $202M to $234MJul 11, 2024 to Mar 3, 2025
- HNW RAUM · $194M to $228MJul 11, 2024 to Mar 3, 2025
- Individual RAUM · $3.9M to $2.0MJul 11, 2024 to Mar 3, 2025
- RAUM · $202M to $234MJul 11, 2024 to Mar 3, 2025
- Accounts · 150 to 155Sep 5, 2023 to Feb 28, 2024
- HNW clients · 23 to 24Sep 5, 2023 to Feb 28, 2024
- Individual clients · 6 to 5Sep 5, 2023 to Feb 28, 2024
- Discretionary RAUM · $157M to $202MSep 5, 2023 to Feb 28, 2024
- HNW RAUM · $150M to $194MSep 5, 2023 to Feb 28, 2024
- Individual RAUM · $4.0M to $3.9MSep 5, 2023 to Feb 28, 2024
- RAUM · $157M to $202MSep 5, 2023 to Feb 28, 2024
- Accounts · 151 to 150Sep 12, 2022 to Mar 2, 2023
- HNW clients · 25 to 23Sep 12, 2022 to Mar 2, 2023
- Individual clients · 5 to 6Sep 12, 2022 to Mar 2, 2023
- Financial planning clients · 11-25 to 26-50Sep 12, 2022 to Mar 2, 2023
- Discretionary RAUM · $188M to $157MSep 12, 2022 to Mar 2, 2023
- HNW RAUM · $180M to $150MSep 12, 2022 to Mar 2, 2023
- Individual RAUM · $3.1M to $4.0MSep 12, 2022 to Mar 2, 2023
- RAUM · $188M to $157MSep 12, 2022 to Mar 2, 2023
- Accounts · 145 to 151Mar 12, 2021 to Mar 17, 2022
- Charity clients · unset to 1.0Mar 12, 2021 to Mar 17, 2022
- Individual clients · 4 to 5Mar 12, 2021 to Mar 17, 2022
- Discretionary RAUM · $158M to $188MMar 12, 2021 to Mar 17, 2022
- HNW RAUM · $156M to $180MMar 12, 2021 to Mar 17, 2022
- Individual RAUM · $2.2M to $3.1MMar 12, 2021 to Mar 17, 2022
- RAUM · $158M to $188MMar 12, 2021 to Mar 17, 2022
- Accounts · 133 to 145Jun 26, 2020 to Mar 12, 2021
Signals
1 dated events
- L•••• A•••••••• I••••••••• I••• filed its initial SEC registration (Form ADV)Jun 23, 2020 · 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
- 650-714-5989reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- L••••A••••••••INVESTMENTS.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 650-714-5989reportedpublic record, Form ADV, Jul 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
- $275Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026