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
W•••••• C•••••• M••••••••• L•••
Latest filing Mar 18, 2026
First filing on the tape Mar 16, 2012 · 47 filings
SEC status approved since May 10, 2002
RAUM
$436M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$427M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$145M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$436M as of Mar 18, 2026
Mar 16, 2012$233M then
HNW client RAUM$368M as of Mar 18, 2026
Feb 1, 2018$86.5M then
State-registered IARs (5.B.3)3 as of Mar 18, 2026
Mar 28, 20132 then
Employees (5.A)5 as of Mar 18, 2026
Mar 28, 20135 then
Private funds1 as of Mar 18, 2026
Mar 16, 20121 then
RAUM +25% over the last fiscal year+36% a year over threeIARs 1 to 3
Practice profile
derived from the filing of Mar 18, 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $145MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 108derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $928,133derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +200%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +65%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $6.7M, 1 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
- is an insurance broker or agent (6.A.6)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$368M84%
- Individuals$58.8M13%
- Pension and profit-sharing plans$6.2M1.4%
- Charitable organizations$2.1M0.5%
- Pooled investment vehicles$1.1M0.2%
- Individual clients
- 166reported
- HNW clients
- 157reported
- Pension plan clients
- 4reported
- Charitable clients
- 3reported
- Accounts
- 470reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.7M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• R••••• O•••Certified Financial Planner, Chartered Financial Consultant | San Rafael, Ca | Nov 28, 2017 | 47 y | 1 |
| G••••• B•••• B••••• | Santa Monica, Ca | Jan 29, 2018 | 40 y | 1 |
| J•••• B•••••• W••• | Sausalito, Ca | Jun 21, 2023 | 10 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
- J•••• B•••••• W••• from C•••••• S••••• • C••• I•••Jun 21, 2023 · Affiliated broker-dealer or bank to independent RIA
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•••••• P•••••••• L••• | Hedge Fund | $3.5M | 23 | Mar 16, 2012 |
| G•• P••••••••• F••• L•no longer reported | Hedge Fund | $0 | 0 | Mar 31, 2015 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• G•••••• B•••• · Chief Investment Officercontrolsince 04/2004 · owns less than 5%
- E••••••• G••••• · Member, Chief Financial Officer, Director Of Business Development And Chief Compliance Officercontrolsince 01/2015 · owns 10% to 25%
- O•••• G••••••• R••••• · Member, Chief Financial Planning Officercontrolsince 04/2002 · owns 25% to 50%
- B•••••• G•••••• B•••• · Managing Membercontrolsince 09/2009 · owns 75% or more of B••••• H••••••• L••
Entity owners
- B••••• H••••••• L•• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Mar 18, 2026RAUM per registered advisor of $145,407,572 against a peer median of $55,746,441 (3254 comparable advisers, 98.0th percentile, 3.1 robust deviations)peers: independent wealth managers, $100M to $500M (3,254) · 98% percentile
- client count surgeChange between filings · filing Mar 18, 2026individual and HNW clients (Item 5.D) moved from 196.0 to 323.0 (+65.0%) between the annual amendments of 2025-04-08 and 2026-03-18; the peer median change was +3.0% (3309 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 98% percentile
- HNW share shiftChange between filings · filing Mar 18, 2026HNW share of RAUM moved from 59.0% to 84.0% between the annual amendments of 2025-04-08 and 2026-03-18peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 469 to 470Jan 27, 2026 to Mar 18, 2026
- Pooled vehicle clients · unset to 1.0Jan 27, 2026 to Mar 18, 2026
- Discretionary RAUM · $430M to $432MJan 27, 2026 to Mar 18, 2026
- Pooled vehicle RAUM · unset to 1062715.0Jan 27, 2026 to Mar 18, 2026
- RAUM · $435M to $436MJan 27, 2026 to Mar 18, 2026
- Accounts · 392 to 469Apr 8, 2025 to Jan 27, 2026
- Advisory employees · 2 to 3Apr 8, 2025 to Jan 27, 2026
- Advisory activities · 3 to 2Apr 8, 2025 to Jan 27, 2026
- Charity clients · 2 to 3Apr 8, 2025 to Jan 27, 2026
- HNW clients · 104 to 157Apr 8, 2025 to Jan 27, 2026
- Individual clients · 92 to 166Apr 8, 2025 to Jan 27, 2026
- Pension plan clients · 1 to 4Apr 8, 2025 to Jan 27, 2026
- Pooled vehicle clients · 1.0 to unsetApr 8, 2025 to Jan 27, 2026
- Employees · 4 to 5Apr 8, 2025 to Jan 27, 2026
- Financial planning clients · 1-10 to 0Apr 8, 2025 to Jan 27, 2026
- State-registered IARs · 1 to 3Apr 8, 2025 to Jan 27, 2026
- Discretionary RAUM · $348M to $430MApr 8, 2025 to Jan 27, 2026
- HNW RAUM · $207M to $368MApr 8, 2025 to Jan 27, 2026
- Individual RAUM · $138M to $58.8MApr 8, 2025 to Jan 27, 2026
- Non-discretionary RAUM · $0 to $4.7MApr 8, 2025 to Jan 27, 2026
- Pension RAUM · $1.0M to $6.2MApr 8, 2025 to Jan 27, 2026
- Pooled vehicle RAUM · 2000420.0 to unsetApr 8, 2025 to Jan 27, 2026
- RAUM · $348M to $435MApr 8, 2025 to Jan 27, 2026
- Financial planning clients · 1-10 to 1-10Jan 29, 2025 to Apr 8, 2025
- Accounts · 331 to 392Aug 20, 2024 to Jan 29, 2025
- Charity clients · 1 to 2Aug 20, 2024 to Jan 29, 2025
- HNW clients · 62 to 104Aug 20, 2024 to Jan 29, 2025
- Individual clients · 80 to 92Aug 20, 2024 to Jan 29, 2025
- Discretionary RAUM · $233M to $348MAug 20, 2024 to Jan 29, 2025
- HNW RAUM · $52.0M to $207MAug 20, 2024 to Jan 29, 2025
- Individual RAUM · $176M to $138MAug 20, 2024 to Jan 29, 2025
- Pension RAUM · $1.3M to $1.0MAug 20, 2024 to Jan 29, 2025
- Pooled vehicle RAUM · $3.5M to $2.0MAug 20, 2024 to Jan 29, 2025
- RAUM · $233M to $348MAug 20, 2024 to Jan 29, 2025
- Accounts · 287 to 331Jul 24, 2023 to Feb 28, 2024
- Pension plan clients · unset to 1.0Jul 24, 2023 to Feb 28, 2024
- Employees · 5 to 4Jul 24, 2023 to Feb 28, 2024
- State-registered IARs · 0 to 1Jul 24, 2023 to Feb 28, 2024
- Discretionary RAUM · $174M to $233MJul 24, 2023 to Feb 28, 2024
- HNW RAUM · $132M to $52.0MJul 24, 2023 to Feb 28, 2024
Signals
1 dated events
- W•••••• C•••••• M••••••••• L••• reported RAUM $348.1M, up 49% from $232.9M (2024-08-20 to 2025-01-29)Jan 29, 2025 · RAUM change · derived
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
- 415-856-0426reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.w••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (415) 856-0426reportedpublic record, Form ADV, Mar 18, 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
- $145Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026