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•••••••• P•••••••
Legal name C•••••••• P••••••• F•••••••• A••••••• L••
Latest filing Mar 12, 2026
First filing on the tape Apr 3, 2012 · 32 filings
SEC status approved since Feb 20, 2008
RAUM
$553M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$523M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$277M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$553M as of Mar 12, 2026
Apr 3, 2012$122M then
HNW client RAUM$476M as of Mar 12, 2026
Mar 15, 2018$352M then
State-registered IARs (5.B.3)2 as of Mar 12, 2026
Apr 3, 20120 then
Employees (5.A)2 as of Mar 12, 2026
Mar 27, 20132 then
Private funds1 as of Apr 7, 2015
Apr 3, 20121 then
RAUM +9.5% over the last fiscal year+9.0% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 12, 2026; every figure names its basis
Archetypes, each a printed rule
- i••••••••• 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $277MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 137derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $675,687derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 5.G
- Custody
- $170M, 136 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$476M86%
- Individuals$47.3M8.6%
- Pension and profit-sharing plans$15.0M2.7%
- Corporations and businesses$14.4M2.6%
- Charitable organizations$523,6350.1%
- Individual clients
- 127reported
- HNW clients
- 147reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 819reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $170M for 136 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• S••••• H••••••Certified Financial Planner | Petaluma, Ca | Aug 22, 2007 | 34 y | 1 |
| T••••• A• C•••••• | Petaluma, Ca | Jan 5, 2015 | 23 y | 2 |
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
- K••••••••• J••• V•• S•••••• to V• A•••••••• L••Nov 9, 2017 · Other
- R•••••• A•••• A•••••• to V• A•••••••• L••Nov 9, 2017 · Other
Joined, latest
- T••••• A• C•••••• from C•••••• S••••• • C••• I•••Jan 5, 2015 · Other
- A••••• S••••• H•••••• from F••••• I•••••••••Aug 22, 2007 · Other
- R•••••• A•••• A•••••• from H•••••••••Mar 14, 2003 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for V• A•••••••• L••Nov 9, 2017 · Lafayette, Ca
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I••••••••• R••••• F••• L•no longer reported | Other Private Fund | $2.4M | 12 | Apr 3, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• T•••••• A• · Principal, Chief Compliance Officercontrolsince 12/2014 · owns 25% to 50%
- H••••••• A•••••• S••••• · Principal, Chief Executive Officer, Chief Investment Advisorcontrolsince 08/2007 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Petaluma, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 788 to 819Mar 12, 2025 to Mar 12, 2026
- Charity clients · 4.0 to unsetMar 12, 2025 to Mar 12, 2026
- Corporate clients · 3.0 to unsetMar 12, 2025 to Mar 12, 2026
- HNW clients · 132 to 147Mar 12, 2025 to Mar 12, 2026
- Individual clients · 136 to 127Mar 12, 2025 to Mar 12, 2026
- Pension plan clients · 4.0 to unsetMar 12, 2025 to Mar 12, 2026
- Assets in custody · $137M to $170MMar 12, 2025 to Mar 12, 2026
- Discretionary RAUM · $505M to $553MMar 12, 2025 to Mar 12, 2026
- HNW RAUM · $409M to $476MMar 12, 2025 to Mar 12, 2026
- Individual RAUM · $49.3M to $47.3MMar 12, 2025 to Mar 12, 2026
- Pension RAUM · $12.2M to $15.0MMar 12, 2025 to Mar 12, 2026
- RAUM · $505M to $553MMar 12, 2025 to Mar 12, 2026
- Accounts · 796 to 788Mar 19, 2024 to Mar 12, 2025
- Corporate clients · 5 to 3Mar 19, 2024 to Mar 12, 2025
- HNW clients · 113 to 132Mar 19, 2024 to Mar 12, 2025
- Individual clients · 146 to 136Mar 19, 2024 to Mar 12, 2025
- Pension plan clients · 5 to 4Mar 19, 2024 to Mar 12, 2025
- Assets in custody · $127M to $137MMar 19, 2024 to Mar 12, 2025
- Financial planning clients · 11-25 to 11-25Mar 19, 2024 to Mar 12, 2025
- Discretionary RAUM · $466M to $505MMar 19, 2024 to Mar 12, 2025
- HNW RAUM · $346M to $409MMar 19, 2024 to Mar 12, 2025
- Individual RAUM · $60.4M to $49.3MMar 19, 2024 to Mar 12, 2025
- Pension RAUM · $18.9M to $12.2MMar 19, 2024 to Mar 12, 2025
- RAUM · $466M to $505MMar 19, 2024 to Mar 12, 2025
- Accounts · 250 to 796Mar 15, 2023 to Mar 19, 2024
- Charity clients · 3 to 4Mar 15, 2023 to Mar 19, 2024
- Corporate clients · 4 to 5Mar 15, 2023 to Mar 19, 2024
- HNW clients · 107 to 113Mar 15, 2023 to Mar 19, 2024
- Individual clients · 131 to 146Mar 15, 2023 to Mar 19, 2024
- Assets in custody · $175M to $127MMar 15, 2023 to Mar 19, 2024
- Discretionary RAUM · $428M to $466MMar 15, 2023 to Mar 19, 2024
- HNW RAUM · $317M to $346MMar 15, 2023 to Mar 19, 2024
- Individual RAUM · $55.9M to $60.4MMar 15, 2023 to Mar 19, 2024
- Pension RAUM · $16.3M to $18.9MMar 15, 2023 to Mar 19, 2024
- RAUM · $428M to $466MMar 15, 2023 to Mar 19, 2024
- Accounts · 257 to 250Jun 29, 2022 to Mar 15, 2023
- HNW clients · 131 to 107Jun 29, 2022 to Mar 15, 2023
- Individual clients · 112 to 131Jun 29, 2022 to Mar 15, 2023
- Pension plan clients · 7 to 5Jun 29, 2022 to Mar 15, 2023
- Assets in custody · $203M to $175MJun 29, 2022 to Mar 15, 2023
Signals
1 dated events
- C•••••••• P••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Aug 24, 2012 · Succession (Item 4) · 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
- Business email
- info@creeksidepartners.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 707-769-7820reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 925-284-1260reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 707-769-7820reportedpublic record, Form ADV, Mar 12, 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
- $277Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026