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.
SEC-registered adviser
Awr Investment Management, LLC
Latest filing Mar 19, 2026
First filing on the tape Feb 6, 2012 · 9 filings
SEC status approved since Jun 17, 2024
RAUM
$132M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$130M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$132M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$132M as of Mar 19, 2026
Feb 6, 2012$31.6M then
HNW client RAUM$114M as of Mar 19, 2026
Mar 21, 2025$113M then
State-registered IARs (5.B.3)1 as of Mar 19, 2026
Feb 6, 20120 then
Employees (5.A)2 as of Mar 19, 2026
Mar 21, 20252 then
Private funds: no history
RAUM +2.9% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 19, 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
- $132MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $765,061derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $4.4M, 5 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$114M87%
- Individuals$15.4M12%
- Corporations and businesses$2.0M1.5%
- Individual clients
- 27reported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 172reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.4M for 5 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| Andrew William Ryan | San Rafael, Ca | Jan 15, 1999 | 27 y | 1 |
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
- William Andrew Ryan · Managing Member/Chief Compliance Officercontrolsince 10/1998 · owns 50% to 75%
- Ann Linda Ryan · Membersince 10/1998 · owns 50% to 75%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 175 to 172Mar 21, 2025 to Mar 19, 2026
- HNW clients · 24 to 27Mar 21, 2025 to Mar 19, 2026
- Assets in custody · $5.0M to $4.4MMar 21, 2025 to Mar 19, 2026
- Discretionary RAUM · $128M to $132MMar 21, 2025 to Mar 19, 2026
- HNW RAUM · $113M to $114MMar 21, 2025 to Mar 19, 2026
- Individual RAUM · $12.9M to $15.4MMar 21, 2025 to Mar 19, 2026
- RAUM · $128M to $132MMar 21, 2025 to Mar 19, 2026
- Accounts · 172 to 175Jun 17, 2024 to Mar 21, 2025
- HNW clients · 33 to 24Jun 17, 2024 to Mar 21, 2025
- Individual clients · 16 to 27Jun 17, 2024 to Mar 21, 2025
- Assets in custody · $4.7M to $5.0MJun 17, 2024 to Mar 21, 2025
- Financial planning clients · 1-10 to 1-10Jun 17, 2024 to Mar 21, 2025
- Discretionary RAUM · $116M to $128MJun 17, 2024 to Mar 21, 2025
- HNW RAUM · $106M to $113MJun 17, 2024 to Mar 21, 2025
- Individual RAUM · $7.7M to $12.9MJun 17, 2024 to Mar 21, 2025
- RAUM · $116M to $128MJun 17, 2024 to Mar 21, 2025
- Advisory activities · 2 to 3Jun 12, 2024 to Jun 17, 2024
- HQ city · unset to SAN RAFAELJun 20, 2012 to May 17, 2024
- Accounts · 100 to 172Jun 20, 2012 to May 17, 2024
- Advisory employees · unset to 1.0Jun 20, 2012 to May 17, 2024
- Advisory activities · 1 to 2Jun 20, 2012 to May 17, 2024
- HNW clients · unset to 33.0Jun 20, 2012 to May 17, 2024
- Individual clients · unset to 16.0Jun 20, 2012 to May 17, 2024
- Assets in custody · unset to 4705456.0Jun 20, 2012 to May 17, 2024
- Custody of client assets · false to trueJun 20, 2012 to May 17, 2024
- Employees · unset to 2.0Jun 20, 2012 to May 17, 2024
- Financial planning clients · unset to 1-10Jun 20, 2012 to May 17, 2024
- HQ state · unset to CAJun 20, 2012 to May 17, 2024
- State-registered IARs · 0 to 1Jun 20, 2012 to May 17, 2024
- Other offices · unset to 1.0Jun 20, 2012 to May 17, 2024
- Discretionary RAUM · $31.6M to $116MJun 20, 2012 to May 17, 2024
- HNW RAUM · unset to 106413295.0Jun 20, 2012 to May 17, 2024
- Individual RAUM · unset to 7684643.0Jun 20, 2012 to May 17, 2024
- RAUM · $31.6M to $116MJun 20, 2012 to May 17, 2024
- Related adviser · true to falseJun 20, 2012 to May 17, 2024
- Advisory activities · 2 to 1Jun 19, 2012 to Jun 20, 2012
- Financial planning clients · 1-10 to unsetJun 19, 2012 to Jun 20, 2012
Signals
1 dated events
- Awr Investment Management, Llc filed its initial SEC registration (Form ADV)May 17, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 415-258-9278reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 415-299-0929reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 415-457-9415reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- AWRINVESTMENTMANAGEMENT.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (415) 457-9415reportedpublic record, Form ADV, Mar 19, 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
- $132Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026