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
F•••••••• A•••••••• I•••
Latest filing Mar 30, 2026
First filing on the tape Mar 31, 2012 · 26 filings
SEC status approved since May 14, 2013
RAUM
$488M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$487M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$488M
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
26 filings and snapshots on the tape
RAUM$488M as of Mar 30, 2026
Mar 31, 2012$68.7M then
HNW client RAUM$459M as of Mar 30, 2026
Mar 27, 2018$135M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 31, 20120 then
Employees (5.A)2 as of Mar 30, 2026
Feb 13, 20142 then
Private funds: no history
RAUM +13% over the last fiscal year+16% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 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
- RAUM per advisor
- $488MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 206derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $620,586derivedRAUM 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
- 1.0derived1 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
- -1.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $66.2M, 58 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$459M94%
- Individuals$28.1M5.8%
- Corporations and businesses$1.7M0.4%
- Individual clients
- 75reported
- HNW clients
- 131reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 787reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $66.2M for 58 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• W••••••••• S•••• | Oakland, Ca | Mar 26, 2007 | 29 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• A•••••• L•••• · Coocontrolsince 03/2000 · owns 50% to 75%
- S••••• T•••••• W••••••••• · Ceo/Chief Compliance Officercontrolsince 08/2000 · owns 50% to 75%
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
- Accounts · 739 to 787Aug 13, 2025 to Mar 30, 2026
- Corporate clients · 5.0 to unsetAug 13, 2025 to Mar 30, 2026
- HNW clients · 130 to 131Aug 13, 2025 to Mar 30, 2026
- Individual clients · 79 to 75Aug 13, 2025 to Mar 30, 2026
- Assets in custody · $56.9M to $66.2MAug 13, 2025 to Mar 30, 2026
- Discretionary RAUM · $433M to $488MAug 13, 2025 to Mar 30, 2026
- HNW RAUM · $400M to $459MAug 13, 2025 to Mar 30, 2026
- Individual RAUM · $31.3M to $28.1MAug 13, 2025 to Mar 30, 2026
- RAUM · $433M to $488MAug 13, 2025 to Mar 30, 2026
- Accounts · 745 to 739Apr 10, 2024 to Mar 29, 2025
- HNW clients · 110 to 130Apr 10, 2024 to Mar 29, 2025
- Individual clients · 110 to 79Apr 10, 2024 to Mar 29, 2025
- Assets in custody · $45.3M to $56.9MApr 10, 2024 to Mar 29, 2025
- Financial planning clients · 101-250 to 101-250Apr 10, 2024 to Mar 29, 2025
- Discretionary RAUM · $367M to $433MApr 10, 2024 to Mar 29, 2025
- HNW RAUM · $312M to $400MApr 10, 2024 to Mar 29, 2025
- Individual RAUM · $52.8M to $31.3MApr 10, 2024 to Mar 29, 2025
- RAUM · $367M to $433MApr 10, 2024 to Mar 29, 2025
- Accounts · 708 to 745Mar 17, 2023 to Mar 30, 2024
- Corporate clients · unset to 5.0Mar 17, 2023 to Mar 30, 2024
- HNW clients · 104 to 110Mar 17, 2023 to Mar 30, 2024
- Individual clients · 112 to 110Mar 17, 2023 to Mar 30, 2024
- Assets in custody · $37.2M to $45.3MMar 17, 2023 to Mar 30, 2024
- Discretionary RAUM · $312M to $367MMar 17, 2023 to Mar 30, 2024
- HNW RAUM · $264M to $312MMar 17, 2023 to Mar 30, 2024
- Individual RAUM · $46.6M to $52.8MMar 17, 2023 to Mar 30, 2024
- RAUM · $312M to $367MMar 17, 2023 to Mar 30, 2024
- HNW clients · 111 to 104Mar 15, 2022 to Mar 17, 2023
- Individual clients · 107 to 112Mar 15, 2022 to Mar 17, 2023
- Assets in custody · $30.5M to $37.2MMar 15, 2022 to Mar 17, 2023
- Discretionary RAUM · $338M to $312MMar 15, 2022 to Mar 17, 2023
- HNW RAUM · $291M to $264MMar 15, 2022 to Mar 17, 2023
- Individual RAUM · $46.0M to $46.6MMar 15, 2022 to Mar 17, 2023
- RAUM · $338M to $312MMar 15, 2022 to Mar 17, 2023
- Accounts · 673 to 708Oct 15, 2021 to Mar 15, 2022
- HNW clients · 106 to 111Oct 15, 2021 to Mar 15, 2022
- Individual clients · 115 to 107Oct 15, 2021 to Mar 15, 2022
- Assets in custody · $23.3M to $30.5MOct 15, 2021 to Mar 15, 2022
- Discretionary RAUM · $304M to $338MOct 15, 2021 to Mar 15, 2022
- HNW RAUM · $255M to $291MOct 15, 2021 to Mar 15, 2022
Signals
1 dated events
- F•••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Apr 25, 2013 · 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
- Website
- FINANCIALA•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (415) 773-2174reportedpublic record, Form ADV, Mar 30, 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
- $488Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026