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
D•••••• W••••• M••••••••• I•••
Latest filing Mar 20, 2026
First filing on the tape May 10, 2024 · 5 filings
SEC status approved since Jul 10, 2024
RAUM
$145M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$136M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$145M as of Mar 20, 2026
Mar 25, 2025$124M then
HNW client RAUM$129M as of Mar 20, 2026
Mar 25, 2025$101M then
State-registered IARs (5.B.3)2 as of Mar 20, 2026
Mar 25, 20252 then
Employees (5.A)2 as of Mar 20, 2026
Mar 25, 20252 then
Private funds: no history
RAUM +16% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
- RAUM per advisor
- $72.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $739,596derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -15%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Custody
- $42.9M, 23 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)
- compensates non-employees for client referrals (8.G.2)
- 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$129M89%
- Pension and profit-sharing plans$9.3M6.4%
- Individuals$6.9M4.7%
- Individual clients
- 19reported
- HNW clients
- 39reported
- Pension plan clients
- 14reported
- Charitable clients
- n/areported
- Accounts
- 196reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $42.9M for 23 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- G•••••• M••••• D•••••• to S••••• W••••• M•••••••••Jun 12, 2026 · RIA to RIA
- M••••••• L••••••••• S•••••••• to S••••• W••••• M•••••••••Jun 12, 2026 · RIA to RIA
- A•••• M•••• G••••••• to B•••• B••• F•••••••• A•• I•••••••• S•••••••• I•••Nov 14, 2014 · Other
- A•••• M•••• G••••••• to P•••••••• F••••••••• I•••Jun 12, 2012 · RIA to a state-registered adviser
Joined, latest
- A•••• M•••• G••••••• from B•••• B••• F•••••••• A•• I•••••••• S•••••••• I•••Jan 13, 2014 · Other
- A•••• M•••• G••••••• from R•••••• M•••• C•••••••• I•••Feb 16, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for S••••• W••••• M•••••••••Jun 12, 2026 · Walnut Creek, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• G••••••• M••••• · President/Chief Compliance Officercontrolsince 02/2000 · owns 75% or more
Related persons
Schedule D 7.A
- D•••••• C••••••••• G••••• A• A••••••••• C•••••••••insurancen
- M••••••• S••••••••• C••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Walnut Creek, Ca · principal | 0 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 209 to 196Mar 25, 2025 to Mar 20, 2026
- HNW clients · 36 to 39Mar 25, 2025 to Mar 20, 2026
- Individual clients · 32 to 19Mar 25, 2025 to Mar 20, 2026
- Pension plan clients · 7 to 14Mar 25, 2025 to Mar 20, 2026
- Assets in custody · $48.5M to $42.9MMar 25, 2025 to Mar 20, 2026
- Discretionary RAUM · $124M to $145MMar 25, 2025 to Mar 20, 2026
- HNW RAUM · $101M to $129MMar 25, 2025 to Mar 20, 2026
- Individual RAUM · $10.4M to $6.9MMar 25, 2025 to Mar 20, 2026
- Pension RAUM · $13.2M to $9.3MMar 25, 2025 to Mar 20, 2026
- RAUM · $124M to $145MMar 25, 2025 to Mar 20, 2026
- Accounts · 206 to 209Jun 11, 2024 to Mar 25, 2025
- HNW clients · 32 to 36Jun 11, 2024 to Mar 25, 2025
- Individual clients · 28 to 32Jun 11, 2024 to Mar 25, 2025
- Pension plan clients · 10 to 7Jun 11, 2024 to Mar 25, 2025
- Assets in custody · $34.0M to $48.5MJun 11, 2024 to Mar 25, 2025
- Financial planning clients · 26-50 to 26-50Jun 11, 2024 to Mar 25, 2025
- Discretionary RAUM · $103M to $124MJun 11, 2024 to Mar 25, 2025
- HNW RAUM · $74.0M to $101MJun 11, 2024 to Mar 25, 2025
- Individual RAUM · $12.8M to $10.4MJun 11, 2024 to Mar 25, 2025
- Pension RAUM · $16.4M to $13.2MJun 11, 2024 to Mar 25, 2025
- RAUM · $103M to $124MJun 11, 2024 to Mar 25, 2025
Signals
5 dated events
- D•••••• W••••• M••••••••• I••• no longer on the SEC adviser roster (last listed 2026-06-01, RAUM $145.0M)Jul 1, 2026 · Left the SEC roster · derived
- G•••••• M••••• D•••••• left D•••••• W••••• M••••••••• I••• for S••••• W••••• M••••••••• (registered 2026-05-05)Jun 12, 2026 · Advisor changed firm · fact
- M••••••• L••••••••• S•••••••• left D•••••• W••••• M••••••••• I••• for S••••• W••••• M••••••••• (registered 2026-05-01)Jun 12, 2026 · Advisor changed firm · fact
- 2 advisors left D•••••• W••••• M••••••••• I••• (Walnut Creek, CA) for S••••• W••••• M••••••••• on the same dayJun 12, 2026 · Team lift-out · derived
- D•••••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)May 10, 2024 · 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.
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