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
C••••• C•••••• M••••••••• L•••••
Latest filing Feb 27, 2026
First filing on the tape Apr 9, 2012 · 25 filings
SEC status approved since Jun 3, 2002
RAUM
$392M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$381M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$392M as of Feb 27, 2026
Apr 9, 2012$103M then
HNW client RAUM$381M as of Feb 27, 2026
Mar 31, 2018$123M then
State-registered IARs (5.B.3)0 as of Feb 27, 2026
Apr 9, 20120 then
Employees (5.A)6 as of Feb 27, 2026
Mar 25, 20134 then
Private funds: no history
RAUM +26% over the last fiscal year+26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 27, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $3.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Custody
- $18.1M, 3 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$381M97%
- Pension and profit-sharing plans$10.6M2.7%
- Individuals$298,0000.1%
- Charitable organizations$263,0000.1%
- Individual clients
- n/areported
- HNW clients
- 102reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 109reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $18.1M for 3 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
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
- W••••••••• W•••• D•••• · Principal And Chief Compliance Officercontrolsince 10/1999 · owns 75% or more
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 · 103 to 109Jan 27, 2025 to Feb 27, 2026
- HNW clients · 96 to 102Jan 27, 2025 to Feb 27, 2026
- Assets in custody · $12.7M to $18.1MJan 27, 2025 to Feb 27, 2026
- Discretionary RAUM · $311M to $392MJan 27, 2025 to Feb 27, 2026
- HNW RAUM · $302M to $381MJan 27, 2025 to Feb 27, 2026
- Individual RAUM · $233,000 to $298,000Jan 27, 2025 to Feb 27, 2026
- Pension RAUM · $8.7M to $10.6MJan 27, 2025 to Feb 27, 2026
- RAUM · $311M to $392MJan 27, 2025 to Feb 27, 2026
- Accounts · 99 to 103Feb 21, 2024 to Jan 27, 2025
- HNW clients · 93 to 96Feb 21, 2024 to Jan 27, 2025
- Assets in custody · $9.6M to $12.7MFeb 21, 2024 to Jan 27, 2025
- Financial planning clients · 1-10 to 1-10Feb 21, 2024 to Jan 27, 2025
- Discretionary RAUM · $246M to $311MFeb 21, 2024 to Jan 27, 2025
- HNW RAUM · $239M to $302MFeb 21, 2024 to Jan 27, 2025
- Individual RAUM · $520,000 to $233,000Feb 21, 2024 to Jan 27, 2025
- Pension RAUM · $6.6M to $8.7MFeb 21, 2024 to Jan 27, 2025
- RAUM · $246M to $311MFeb 21, 2024 to Jan 27, 2025
- Financial planning clients · 0 to 1-10Feb 13, 2024 to Feb 21, 2024
- Accounts · 96 to 99Mar 7, 2023 to Feb 13, 2024
- HNW clients · 90 to 93Mar 7, 2023 to Feb 13, 2024
- Assets in custody · unset to 9590253.0Mar 7, 2023 to Feb 13, 2024
- Custody of client assets · false to trueMar 7, 2023 to Feb 13, 2024
- Financial planning clients · 1-10 to 0Mar 7, 2023 to Feb 13, 2024
- Discretionary RAUM · $195M to $246MMar 7, 2023 to Feb 13, 2024
- HNW RAUM · $188M to $239MMar 7, 2023 to Feb 13, 2024
- Individual RAUM · $400,000 to $520,000Mar 7, 2023 to Feb 13, 2024
- Pension RAUM · $7.0M to $6.6MMar 7, 2023 to Feb 13, 2024
- RAUM · $195M to $246MMar 7, 2023 to Feb 13, 2024
- Discretionary RAUM · $245M to $195MJun 29, 2022 to Mar 7, 2023
- HNW RAUM · $235M to $188MJun 29, 2022 to Mar 7, 2023
- Individual RAUM · $500,000 to $400,000Jun 29, 2022 to Mar 7, 2023
- Pension RAUM · $9.1M to $7.0MJun 29, 2022 to Mar 7, 2023
- RAUM · $245M to $195MJun 29, 2022 to Mar 7, 2023
- HNW clients · 92 to 90Sep 17, 2021 to Mar 14, 2022
- Discretionary RAUM · $178M to $245MSep 17, 2021 to Mar 14, 2022
- HNW RAUM · $171M to $235MSep 17, 2021 to Mar 14, 2022
- Individual RAUM · $400,000 to $500,000Sep 17, 2021 to Mar 14, 2022
- Pension RAUM · $6.0M to $9.1MSep 17, 2021 to Mar 14, 2022
- RAUM · $178M to $245MSep 17, 2021 to Mar 14, 2022
- Accounts · 101 to 96Mar 22, 2020 to Mar 28, 2021
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 phone
- 855-546-0065reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 831-625-1375reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 831-625-6493reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- C•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 831-625-1375reportedpublic record, Form ADV, Feb 27, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026