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.
SEC-registered adviser
I••••••••• A•••• M•••••••••
Legal name I••••••••• A•••• M••••••••• I••
Latest filing Mar 27, 2026
First filing on the tape Mar 13, 2025 · 2 filings
SEC status approved since Apr 11, 2025
RAUM
$173M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$171M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$34.6M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$173M as of Mar 27, 2026
Mar 13, 2025$106M then
HNW client RAUM$106M as of Mar 27, 2026
Mar 13, 2025$62.0M then
State-registered IARs (5.B.3)5 as of Mar 27, 2026
Mar 13, 20255 then
Employees (5.A)5 as of Mar 27, 2026
Mar 13, 20255 then
Private funds: no history
RAUM +63% over the last fiscal yearIARs 5 to 5
Practice profile
derived from the filing of Mar 27, 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
- RAUM per advisor
- $34.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $408,250derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +63%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +28%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$106M61%
- Individuals$65.4M38%
- Corporations and businesses$1.9M1.1%
- Individual clients
- 133reported
- HNW clients
- 55reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 424reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••• T••••••• W•••••• | San Mateo, Ca | Apr 5, 2010 | 34 y | 0 |
| D•••• T••••• Z••••••••Certified Financial Planner, Chartered Financial Analyst | Emerald Hills, Ca | Dec 12, 2013 | 25 y | 2 |
| L•••• B• T••••• | Menlo Park, Ca | Mar 30, 2017 | 30 y | 0 |
| S•••• K• C•••• | San Mateo, Ca | Jul 29, 2020 | 10 y | 0 |
| S•••• A••• S•••••••Certified Financial Planner | San Mateo, Ca | Jan 9, 2021 | 31 y | 5 |
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
- J•••• M•••••• M••••• to E•••••••• C•••••• A•••••••• L••Jan 6, 2023 · RIA to RIA
- S•••• A••• S••••••• to A•••••••• B•••• •••• I•••Apr 10, 2017 · RIA to RIA
- D•••• T••••• Z•••••••• to A••• B••••• A•• A•••••••••Mar 5, 2003 · Other
Joined, latest
- S••••• V•••••••• P•••••••• from D•••••• F•••••••• G••••• L••Jul 13, 2017 · Other
- J•••• M•••••• M••••• from C•••••• W••••• M•••••••••Apr 26, 2017 · Other
- S•••• A••• S••••••• from C••••• G••• I•••Oct 10, 2014 · Other
- D•••• T••••• Z•••••••• from A••• B••••• A•• A•••••••••Dec 12, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Advisers that list I••••••••• A•••• M••••••••• as a related person
- 323973 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Mateo, Ca · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $106,000,000 to $173,098,000 (+63.0%) between the annual amendments of 2025-03-13 and 2026-03-27; the peer median change was +15.0% (4550 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 293 to 424Mar 13, 2025 to Mar 27, 2026
- HNW clients · 37 to 55Mar 13, 2025 to Mar 27, 2026
- Individual clients · 110 to 133Mar 13, 2025 to Mar 27, 2026
- Discretionary RAUM · $106M to $173MMar 13, 2025 to Mar 27, 2026
- HNW RAUM · $62.0M to $106MMar 13, 2025 to Mar 27, 2026
- Individual RAUM · $42.0M to $65.4MMar 13, 2025 to Mar 27, 2026
- RAUM · $106M to $173MMar 13, 2025 to Mar 27, 2026
Signals
1 dated events
- J•••• M•••••• M••••• left I••••••••• A•••• M••••••••• for E•••••••• C•••••• A•••••••• L•• (registered 2026-09-09)Jan 6, 2023 · Advisor changed firm · 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
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-358-0138reportedpublic record, Form ADV, Mar 27, 2026
- Team page
- iamadvisors.com/about-us/teamreportedpublished 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
- $34.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026