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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Latest filing Mar 23, 2026
First filing on the tape Jan 11, 2012 · 28 filings
SEC status approved since Apr 9, 2004
RAUM
$589M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$589M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$294M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$589M as of Mar 23, 2026
Mar 21, 2012$119M then
HNW client RAUM$507M as of Mar 23, 2026
Mar 13, 2018$174M then
State-registered IARs (5.B.3)2 as of Mar 23, 2026
Mar 21, 20120 then
Employees (5.A)4 as of Mar 23, 2026
Mar 28, 20134 then
Private funds: no history
RAUM +16% over the last fiscal year+20% a year over threeIARs 2 to 2offices 2 to 1
Practice profile
derived from the filing of Mar 23, 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
- $294MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 196derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $699,370derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 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
- -1.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $138M, 151 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$507M86%
- Individuals$81.7M14%
- Individual clients
- 182reported
- HNW clients
- 209reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 842reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $138M for 151 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••• M•••••• S••••••••• | South San Francisco, Ca | Apr 20, 1999 | 35 y | 0 |
| S•••••• D••••••• P•••••••• | South San Francisco, Ca | Nov 10, 2016 | 30 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
- D••••• W•••••• E•••••• to C•••••• G•••• • C• I••Oct 16, 2007 · Other
Joined, latest
- D••••• W•••••• E•••••• from B••• A•••••••• L••Mar 23, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••••• S••••••• D••••••• · Managing Membercontrolsince 03/1999 · owns 50% to 75%
- S••••••••• A••••••• M•••••• · Managing Membercontrolsince 03/1999 · owns 50% to 75%
- C•••••• J•••••••• J•••••• · Chief Compliance Officersince 10/2004 · owns less than 5%
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 |
|---|---|---|---|---|---|
| South San Francisco, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 877 to 842Feb 25, 2025 to Mar 23, 2026
- HNW clients · 223 to 209Feb 25, 2025 to Mar 23, 2026
- Individual clients · 174 to 182Feb 25, 2025 to Mar 23, 2026
- Assets in custody · $116M to $138MFeb 25, 2025 to Mar 23, 2026
- HQ city · SAN FRANCISCO to Feb 25, 2025 to Mar 23, 2026
- HQ state · CA to Feb 25, 2025 to Mar 23, 2026
- Other offices · 2 to 1Feb 25, 2025 to Mar 23, 2026
- Discretionary RAUM · $495M to $576MFeb 25, 2025 to Mar 23, 2026
- HNW RAUM · $440M to $507MFeb 25, 2025 to Mar 23, 2026
- Individual RAUM · $65.6M to $81.7MFeb 25, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $10.7M to $12.4MFeb 25, 2025 to Mar 23, 2026
- RAUM · $506M to $589MFeb 25, 2025 to Mar 23, 2026
- Accounts · 898 to 877Feb 14, 2024 to Feb 25, 2025
- HNW clients · 197 to 223Feb 14, 2024 to Feb 25, 2025
- Individual clients · 192 to 174Feb 14, 2024 to Feb 25, 2025
- Assets in custody · $100M to $116MFeb 14, 2024 to Feb 25, 2025
- Financial planning clients · 101-250 to 101-250Feb 14, 2024 to Feb 25, 2025
- Discretionary RAUM · $422M to $495MFeb 14, 2024 to Feb 25, 2025
- HNW RAUM · $359M to $440MFeb 14, 2024 to Feb 25, 2025
- Individual RAUM · $72.2M to $65.6MFeb 14, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $9.1M to $10.7MFeb 14, 2024 to Feb 25, 2025
- RAUM · $431M to $506MFeb 14, 2024 to Feb 25, 2025
- Accounts · 842 to 898Mar 1, 2023 to Feb 14, 2024
- HNW clients · 173 to 197Mar 1, 2023 to Feb 14, 2024
- Individual clients · 210 to 192Mar 1, 2023 to Feb 14, 2024
- Assets in custody · $79.5M to $100MMar 1, 2023 to Feb 14, 2024
- Discretionary RAUM · $331M to $422MMar 1, 2023 to Feb 14, 2024
- HNW RAUM · $265M to $359MMar 1, 2023 to Feb 14, 2024
- Individual RAUM · $73.5M to $72.2MMar 1, 2023 to Feb 14, 2024
- Non-discretionary RAUM · $7.8M to $9.1MMar 1, 2023 to Feb 14, 2024
- RAUM · $339M to $431MMar 1, 2023 to Feb 14, 2024
- Accounts · 841 to 842Mar 3, 2022 to Mar 1, 2023
- HNW clients · 175 to 173Mar 3, 2022 to Mar 1, 2023
- Individual clients · 189 to 210Mar 3, 2022 to Mar 1, 2023
- Assets in custody · $83.3M to $79.5MMar 3, 2022 to Mar 1, 2023
- Other offices · 4 to 2Mar 3, 2022 to Mar 1, 2023
- Discretionary RAUM · $381M to $331MMar 3, 2022 to Mar 1, 2023
- HNW RAUM · $321M to $265MMar 3, 2022 to Mar 1, 2023
- Individual RAUM · $66.9M to $73.5MMar 3, 2022 to Mar 1, 2023
- Non-discretionary RAUM · $7.1M to $7.8MMar 3, 2022 to Mar 1, 2023
Signals
No event on the tape.
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 email
- info@wpadvisorsllc.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 415-777-2900reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-777-2900reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- wpadvisorsllc.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- wpadvisorsllc.com/team-approachreportedpublished 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
- $294Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026