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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

N••• V••••• W••••• M•••••••••

Former SEC-registered adviserSt. Helena, CaliforniaCRD 121158SEC 801-62343IAPD
Legal name N••• V••••• W••••• M••••••••• I•••
Latest filing Feb 23, 2022
First filing on the tape Mar 27, 2012 · 22 filings
RAUM
$350M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$323M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$350M as of Feb 23, 2022
Mar 27, 2012$147M then
HNW client RAUM$206M as of Feb 23, 2022
Mar 28, 2018$148M then
State-registered IARs (5.B.3)3 as of Feb 23, 2022
Mar 27, 20120 then
Employees (5.A)5 as of Feb 23, 2022
Mar 26, 20138 then
Private funds: no history
RAUM +15% over the last fiscal year+17% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 23, 2022; every figure names its basis
RAUM per advisor
$117MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
116derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$894,037derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
7.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.9%derived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$206M59%
  • Individuals$117M34%
  • Charitable organizations$14.2M4.1%
  • Pension and profit-sharing plans$12.1M3.5%
Individual clients
259reported
HNW clients
88reported
Pension plan clients
11reported
Charitable clients
11reported
Accounts
391reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
Class basis
absent from the latest SEC rosterderived
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C••••• K••••• F•••••• · Ccocontrol
      since 03/2016 · owns 75% or more
    Related persons
    Schedule D 7.A
    Advisers that list N••• V••••• W••••• M••••••••• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Walnut Creek, CA2 employees
    What changed
    consecutive filings, newest first
    • Accounts · 970 to 391
      Apr 20, 2021 to Feb 23, 2022
    • Charity clients · 5 to 11
      Apr 20, 2021 to Feb 23, 2022
    • HNW clients · 75 to 88
      Apr 20, 2021 to Feb 23, 2022
    • Pension plan clients · 12 to 11
      Apr 20, 2021 to Feb 23, 2022
    • Discretionary RAUM · $299M to $350M
      Apr 20, 2021 to Feb 23, 2022
    • HNW RAUM · $175M to $206M
      Apr 20, 2021 to Feb 23, 2022
    • Individual RAUM · $111M to $117M
      Apr 20, 2021 to Feb 23, 2022
    • Non-discretionary RAUM · $4.1M to $0
      Apr 20, 2021 to Feb 23, 2022
    • RAUM · $303M to $350M
      Apr 20, 2021 to Feb 23, 2022
    • Accounts · 1,026 to 970
      Jan 27, 2021 to Mar 31, 2021
    • Advisory employees · 4 to 3
      Jan 27, 2021 to Mar 31, 2021
    • BD registered reps · 4 to 3
      Jan 27, 2021 to Mar 31, 2021
    • Charity clients · unset to 5.0
      Jan 27, 2021 to Mar 31, 2021
    • HNW clients · 68 to 75
      Jan 27, 2021 to Mar 31, 2021
    • Individual clients · 265 to 259
      Jan 27, 2021 to Mar 31, 2021
    • Employees · 6 to 5
      Jan 27, 2021 to Mar 31, 2021
    • Insurance-licensed employees · 0 to 1
      Jan 27, 2021 to Mar 31, 2021
    • State-registered IARs · 4 to 3
      Jan 27, 2021 to Mar 31, 2021
    • Discretionary RAUM · $261M to $299M
      Jan 27, 2021 to Mar 31, 2021
    • HNW RAUM · $99.8M to $175M
      Jan 27, 2021 to Mar 31, 2021
    • Individual RAUM · $150M to $111M
      Jan 27, 2021 to Mar 31, 2021
    • Non-discretionary RAUM · $0 to $4.1M
      Jan 27, 2021 to Mar 31, 2021
    • Pension RAUM · $10.6M to $12.1M
      Jan 27, 2021 to Mar 31, 2021
    • RAUM · $261M to $303M
      Jan 27, 2021 to Mar 31, 2021
    • Accounts · 338 to 1,026
      May 24, 2019 to Apr 6, 2020
    • HNW clients · 88 to 68
      May 24, 2019 to Apr 6, 2020
    • Individual clients · 235 to 265
      May 24, 2019 to Apr 6, 2020
    • Pension plan clients · 15 to 12
      May 24, 2019 to Apr 6, 2020
    • Discretionary RAUM · $216M to $261M
      May 24, 2019 to Apr 6, 2020
    • HNW RAUM · $143M to $99.8M
      May 24, 2019 to Apr 6, 2020
    • Individual RAUM · $62.9M to $150M
      May 24, 2019 to Apr 6, 2020
    • Pension RAUM · $10.3M to $10.6M
      May 24, 2019 to Apr 6, 2020
    • RAUM · $216M to $261M
      May 24, 2019 to Apr 6, 2020
    • Accounts · 324 to 338
      Mar 28, 2018 to Mar 26, 2019
    • BD registered reps · 3 to 4
      Mar 28, 2018 to Mar 26, 2019
    • HNW clients · 58 to 88
      Mar 28, 2018 to Mar 26, 2019
    • Individual clients · 256 to 235
      Mar 28, 2018 to Mar 26, 2019
    • Pension plan clients · 10 to 15
      Mar 28, 2018 to Mar 26, 2019
    • Financial planning clients · 101-250 to 251-500
      Mar 28, 2018 to Mar 26, 2019
    • Discretionary RAUM · $252M to $216M
      Mar 28, 2018 to Mar 26, 2019
    Signals
    3 dated events
    • K•••• F•••••• C•••• left N••• V••••• W••••• M••••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-04-04)
      Jun 17, 2022 · a•••••• firm change · fact
    • E••• A•••••• K••••• left N••• V••••• W••••• M••••••••• for K••••• C•••••• M••••••••• L•• (registered 2022-04-04)
      Jun 17, 2022 · a•••••• firm change · fact
    • R••••• M•••• left N••• V••••• W••••• M••••••••• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-04-04)
      Jun 17, 2022 · a•••••• firm change · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda 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