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
S•••••• V••••• C•••••• P•••••••• L•••
Latest filing Mar 20, 2026
First filing on the tape Feb 15, 2012 · 20 filings
SEC status approved since Apr 24, 2003
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$1.2B individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$258M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$1.3B as of Mar 20, 2026
Feb 15, 2012$117M then
HNW client RAUM$1.2B as of Mar 20, 2026
Mar 28, 2018$293M then
State-registered IARs (5.B.3)4 as of Mar 20, 2026
Feb 27, 20130 then
Employees (5.A)8 as of Mar 20, 2026
Feb 27, 20133 then
Private funds: no history
RAUM +19% over the last fiscal year+27% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $258MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 103derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $791,631derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +26%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $394M, 400 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)
- 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$1.2B91%
- Individuals$74.9M5.8%
- Pension and profit-sharing plans$22.7M1.8%
- Corporations and businesses$19.1M1.5%
- Individual clients
- 173reported
- HNW clients
- 340reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 1,627reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $394M for 400 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| C••••••••• K•••• C•••• | San Jose, Ca | Apr 16, 2014 | 32 y | 2 |
| C•••••• L•• C•••• | San Jose, Ca | Mar 17, 2025 | 33 y | 0 |
| A••••• M•••• C••••••• | San Jose, Ca | Apr 4, 2025 | 27 y | 1 |
| D•••• L• M•••••• | San Jose, Ca | Jun 5, 2025 | 18 y | 0 |
| J••••••• J•••••• | San Jose, Ca | Aug 13, 2026 | 10 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 headcount1 left over 36 months
Left, latest
- H•••• S••••• R••• to G•••••• B••••• L••May 24, 2024 · RIA to RIA
- O••••• V• Y••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••Jun 27, 2023 · RIA to affiliated broker-dealer or bank
- K•••• J••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••Jun 13, 2022 · RIA to affiliated broker-dealer or bank
- L••• M•••• P•••••••• to M••••• G••••• A••••••• I•••Jun 2, 2022 · RIA to RIA
- R•••••• W•••• M•••••• to L•• F•••••••• L••Mar 5, 2014 · Other
Joined, latest
- A••••• M•••• C••••••• from R•••••••• L••Apr 4, 2025 · RIA to RIA
- H•••• S••••• R••• from A••••••••• I•••Nov 9, 2023 · Affiliated broker-dealer or bank to independent RIA
- O••••• V• Y••••••••• from F••••••• P••••••• A•• W•••••••• A•••••••Mar 22, 2021 · Affiliated broker-dealer or bank to independent RIA
- L••• M•••• P•••••••• from S••••• I••••••••• L••Mar 23, 2020 · RIA to RIA
- R•••••• W•••• M•••••• from A••••••••• F•••••••• S•••••••• L••May 5, 2008 · Other
- C••••••••• K•••• C•••• from A••••••••• F•••••••• S•••••••• L••Apr 24, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• C••••••••• K•••• · Ceo & Ciocontrolsince 09/2015 · owns 75% or more
- C••••• C••••••• L•• · Coo & Ccocontrolsince 12/2022 · owns less than 5%
- C•••••••• A•••••• M•••• · Chief Operations Officercontrolsince 12/2022 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Jose, Ca · principal | 5 | 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
- control person changedChange between filings · filing Mar 20, 2026C•••••••• A•••••• M•••• (CHIEF OPERATIONS OFFICER) left Schedule A between the filings of 2023-03-30 and 2026-03-20peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,523 to 1,627Feb 28, 2025 to Mar 20, 2026
- Advisory employees · 3 to 4Feb 28, 2025 to Mar 20, 2026
- Corporate clients · 7.0 to unsetFeb 28, 2025 to Mar 20, 2026
- HNW clients · 220 to 340Feb 28, 2025 to Mar 20, 2026
- Individual clients · 187 to 173Feb 28, 2025 to Mar 20, 2026
- Pension plan clients · unset to 5.0Feb 28, 2025 to Mar 20, 2026
- Assets in custody · $331M to $394MFeb 28, 2025 to Mar 20, 2026
- Employees · 7 to 8Feb 28, 2025 to Mar 20, 2026
- State-registered IARs · 3 to 4Feb 28, 2025 to Mar 20, 2026
- Discretionary RAUM · $1.1B to $1.3BFeb 28, 2025 to Mar 20, 2026
- HNW RAUM · $974M to $1.2BFeb 28, 2025 to Mar 20, 2026
- Individual RAUM · $59.3M to $74.9MFeb 28, 2025 to Mar 20, 2026
- Pension RAUM · $30.0M to $22.7MFeb 28, 2025 to Mar 20, 2026
- RAUM · $1.1B to $1.3BFeb 28, 2025 to Mar 20, 2026
- Accounts · 1,387 to 1,523Sep 30, 2024 to Feb 28, 2025
- Assets in custody · $263M to $331MSep 30, 2024 to Feb 28, 2025
- Employees · 8 to 7Sep 30, 2024 to Feb 28, 2025
- Financial planning clients · 251-500 to 251-500Sep 30, 2024 to Feb 28, 2025
- State-registered IARs · 4 to 3Sep 30, 2024 to Feb 28, 2025
- Discretionary RAUM · $860M to $1.1BSep 30, 2024 to Feb 28, 2025
- HNW RAUM · $767M to $974MSep 30, 2024 to Feb 28, 2025
- Individual RAUM · $63.1M to $59.3MSep 30, 2024 to Feb 28, 2025
- Pension RAUM · $10.5M to $30.0MSep 30, 2024 to Feb 28, 2025
- RAUM · $860M to $1.1BSep 30, 2024 to Feb 28, 2025
- Accounts · 1,300 to 1,387Mar 30, 2023 to Mar 26, 2024
- HNW clients · 235 to 220Mar 30, 2023 to Mar 26, 2024
- Individual clients · 210 to 187Mar 30, 2023 to Mar 26, 2024
- Assets in custody · $197M to $263MMar 30, 2023 to Mar 26, 2024
- Employees · 6 to 8Mar 30, 2023 to Mar 26, 2024
- State-registered IARs · 3 to 4Mar 30, 2023 to Mar 26, 2024
- Discretionary RAUM · $634M to $860MMar 30, 2023 to Mar 26, 2024
- HNW RAUM · $542M to $767MMar 30, 2023 to Mar 26, 2024
- Individual RAUM · $60.8M to $63.1MMar 30, 2023 to Mar 26, 2024
- Pension RAUM · $10.4M to $10.5MMar 30, 2023 to Mar 26, 2024
- RAUM · $634M to $860MMar 30, 2023 to Mar 26, 2024
- Accounts · 1,270 to 1,300Mar 22, 2022 to Mar 30, 2023
- Advisory employees · 5 to 3Mar 22, 2022 to Mar 30, 2023
- Corporate clients · unset to 7.0Mar 22, 2022 to Mar 30, 2023
- HNW clients · 216 to 235Mar 22, 2022 to Mar 30, 2023
- Individual clients · 187 to 210Mar 22, 2022 to Mar 30, 2023
Signals
13 dated events
- S•••••• V••••• C•••••• P•••••••• L••• reported RAUM $1.1B, up 26% from $860.4M (2024-09-30 to 2025-02-28)Feb 28, 2025 · RAUM change · derived
- Panagiota Perlegos (Chief Compliance Officer) no longer on Schedule A of S•••••• V••••• C•••••• P•••••••• L••• (listed 2024-03-26, absent 2024-09-30)Sep 30, 2024 · Control person left · inference
- H•••• S••••• R••• left S•••••• V••••• C•••••• P•••••••• L••• for G•••••• B••••• L•• (registered 2024-08-23)May 24, 2024 · Advisor changed firm · fact
- S•••••• V••••• C•••••• P•••••••• L••• reported RAUM $860.4M, up 36% from $634.2M (2023-03-30 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- O••••• V• Y••••••••• left S•••••• V••••• C•••••• P•••••••• L••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-09-19)Jun 27, 2023 · Advisor changed firm · fact
- Panagiota Perlegos (Chief Compliance Officer) appeared on Schedule A of S•••••• V••••• C•••••• P•••••••• L•••Mar 30, 2023 · Control person joined · fact
- Lee Cynthia Combs (Chief Executive Officer) appeared on Schedule A of S•••••• V••••• C•••••• P•••••••• L•••Mar 30, 2023 · Control person joined · fact
- Jung Kathy Lee (Chief Risk Officer) no longer on Schedule A of S•••••• V••••• C•••••• P•••••••• L••• (listed 2022-03-22, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- K•••• J••• L•• left S•••••• V••••• C•••••• P•••••••• L••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-10-28)Jun 13, 2022 · Advisor changed firm · fact
- L••• M•••• P•••••••• left S•••••• V••••• C•••••• P•••••••• L••• for M••••• G••••• A••••••• I••• (registered 2022-11-09)Jun 2, 2022 · Advisor changed firm · fact
- S•••••• V••••• C•••••• P•••••••• L••• reported RAUM $845.3M, up 33% from $637.8M (2021-03-26 to 2022-03-22)Mar 22, 2022 · RAUM change · derived
- S•••••• V••••• C•••••• P•••••••• L••• reported RAUM $637.8M, up 34% from $477.2M (2020-06-30 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- S•••••• V••••• C•••••• P•••••••• L••• reported RAUM $477.2M, up 27% from $374.6M (2019-03-29 to 2020-03-26)Mar 26, 2020 · 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 408-236-7300reportedpublic record, Form ADV, Mar 20, 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
- $258Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026