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.
SEC-registered adviser
Rb Capital Management, LLC
Latest filing Mar 27, 2026
First filing on the tape Jan 26, 2012 · 63 filings
SEC status approved since May 9, 2003
RAUM
$931M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$879M individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$66.5M
derived; firm RAUM over IAPD count
Employees
16
14 advisory (5.B.1)
Offices
11
beyond the principal office
Private funds
0
reported on Schedule D
History
63 filings and snapshots on the tape
RAUM$931M as of Mar 27, 2026
Jan 26, 2012$219M then
HNW client RAUM$614M as of Mar 27, 2026
Mar 21, 2018$309M then
State-registered IARs (5.B.3)13 as of Mar 27, 2026
Apr 1, 201313 then
Employees (5.A)16 as of Mar 27, 2026
Apr 1, 201313 then
Private funds1 as of Mar 30, 2016
Jan 26, 20121 then
RAUM +14% over the last fiscal year+14% a year over threeIARs 13 to 13offices 10 to 11
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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $66.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $606,651derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 1.2derived12 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $881MreportedItem 5.I
- Custody
- $527M, 594 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)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$614M66%
- Individuals$266M29%
- Pension and profit-sharing plans$49.5M5.3%
- Corporations and businesses$1.2M0.1%
- State and municipal entities$622,1760.1%
- Individual clients
- 438reported
- HNW clients
- 198reported
- Pension plan clients
- 12reported
- Charitable clients
- n/areported
- Accounts
- 1,534reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $204,975 managedreported
- Custody of client assets
- $527M for 594 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=6.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Robert William Ballan | Incline Village, Nv | Jan 7, 2016 | 38 y | 1 |
| Shawn Derek Young | Fresno, Ca | Jan 7, 2016 | 22 y | 1 |
| John Grant Mullen | Walnut Creek, Ca | Jan 8, 2016 | 13 y | 1 |
| Robert John LeiphartCertified Financial Planner | Shelton, Ct | Jan 8, 2016 | 25 y | 3 |
| Craig Crofton Frieders | Walnut Creek, Ca | Jan 8, 2016 | 29 y | 5 |
| John Eugene Marty | Burlingame, Ca | Apr 1, 2016 | 29 y | 5 |
| Gary Scott Demera | Burlingame, Ca | Jun 28, 2016 | 28 y | 5 |
| Jonathan Patrick Donahue | Reno, Nv | Feb 14, 2018 | 21 y | 1 |
| Willington Tai Fong | Burlingame, Ca | Mar 9, 2018 | 24 y | 4 |
| Steven Alan Ocheltree | Morro Bay, Ca | Jul 23, 2020 | 10 y | 0 |
| Justin Michael SloanCertified Financial Planner, Chartered Financial Analyst | Windsor, Ca | May 6, 2022 | 16 y | 2 |
| Kent Allen JohnsonCertified Financial Planner | Wilton, Ct | Jun 15, 2023 | 27 y | 5 |
| John Philip Bankovitch | San Francisco, Ca | Dec 23, 2024 | 24 y | 4 |
| Carl Howard Demartini | Laguna Woods, Ca | Apr 3, 2025 | 41 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
- Daniel Allen Barnes to Karp Capital Management CorporationDec 31, 2020 · Other
- Derek James Elrod to Bridgewealth Advisory Group, LLCFeb 12, 2020 · Other
- Kevin Christopher Hook to Bridgewealth Advisory Group, LLCDec 31, 2018 · RIA to a newly registered adviser
- Joshua Allen Carpenter to Bridgewealth Advisory Group, LLCNov 2, 2018 · RIA to a newly registered adviser
- Kevin William La Mont to 20/20 Capital Management, IncJul 11, 2018 · RIA to RIA
- Joshua Allen Carpenter to Sloan Investment Advisors LLCDec 31, 2015 · Other
- Kevin William La Mont to Fsc Securities CorporationDec 31, 2015 · Other
- Justin Michael Sloan to Buckingham Strategic Wealth, LLCApr 3, 2015 · Other
- John Eugene Marty to Cetera Advisors LLCMar 25, 2015 · Other
- Carl Howard Demartini to Chd Investment Management, LLCDec 12, 2014 · Other
- Kevin William La Mont to Quest Capital Strategies, Inc.Jun 7, 2010 · Other
Joined, latest
- Carl Howard Demartini from Chd Investment Management, LLCApr 3, 2025 · Other
- John Philip Bankovitch from Portsmouth Financial ServicesDec 23, 2024 · Other
- Kent Allen Johnson from Gyl Financial Synergies, LLCJun 15, 2023 · RIA to RIA
- Justin Michael Sloan from Buckingham Strategic Wealth, LLCMay 6, 2022 · RIA to RIA
- Willington Tai Fong from Fsc Securities CorporationMar 9, 2018 · Other
- Jonathan Patrick Donahue from Ela Capital Management LLCFeb 14, 2018 · Other
- Gary Scott Demera from Fsc Securities CorporationJun 28, 2016 · Other
- John Eugene Marty from Cetera Advisors LLCApr 1, 2016 · Other
- Kevin William La Mont from Csenge Advisory Group, LLCJan 19, 2016 · Other
- Joshua Allen Carpenter from Sloan Investment Advisors LLCJan 8, 2016 · Other
- Kevin William La Mont from Quest Capital Strategies, Inc.Apr 14, 2011 · Other
- Daniel Allen Barnes from Barnes CapitalNov 29, 2006 · Other
- Joshua Allen Carpenter from Gunnallen Financial, IncAug 25, 2005 · Other
- Craig Crofton Frieders from Gunnallen Financial, IncJun 14, 2005 · Other
- John Eugene Marty from Gunnallen Financial, IncJun 14, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Fsc Securities CorporationMar 23, 2017 · Burlingame,, Ca
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| The Essential Enhanced Income Fund, LPno longer reported | Hedge Fund | $3.6M | 5 | Jan 26, 2012 |
Owners and control persons
Schedule A and B, latest filing
- William Robert Ballan · Managing Membercontrolsince 04/2000 · owns 75% or more
- Derek Shawn Young · Chief Compliance Officer/Chief Operating Officersince 01/2016 · 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 |
|---|---|---|---|---|---|
| Burlingame, Ca | 3 | 0 | 0 | ||
| Incline Village, Nv | 2 | 0 | 0 | ||
| Reno, Nv · principal | 2 | 0 | 0 | ||
| Walnut Creek, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Burlingame, CA3 employees
- Walnut Creek, CA2 employees
- Incline Village, NV2 employees
- Windsor, CA1 employees
- Shelton, CT1 employees
- Fresno, CA1 employees
- Wilton, CT1 employees
What changed
consecutive filings, newest first
- Accounts · 1,382 to 1,534Sep 16, 2025 to Mar 27, 2026
- Advisory employees · 12 to 14Sep 16, 2025 to Mar 27, 2026
- HNW clients · 193 to 198Sep 16, 2025 to Mar 27, 2026
- Individual clients · 410 to 438Sep 16, 2025 to Mar 27, 2026
- Pension plan clients · 11 to 12Sep 16, 2025 to Mar 27, 2026
- Assets in custody · $471M to $527MSep 16, 2025 to Mar 27, 2026
- Employees · 15 to 16Sep 16, 2025 to Mar 27, 2026
- Financial planning clients · 251-500 to 51-100Sep 16, 2025 to Mar 27, 2026
- Discretionary RAUM · $817M to $931MSep 16, 2025 to Mar 27, 2026
- HNW RAUM · $538M to $614MSep 16, 2025 to Mar 27, 2026
- Individual RAUM · $236M to $266MSep 16, 2025 to Mar 27, 2026
- Pension RAUM · $42.0M to $49.5MSep 16, 2025 to Mar 27, 2026
- RAUM · $817M to $931MSep 16, 2025 to Mar 27, 2026
- Wrap assets (manager) · $185,071 to $204,975Sep 16, 2025 to Mar 27, 2026
- Other offices · 10 to 11Apr 30, 2025 to Sep 16, 2025
- Accounts · 1,335 to 1,382Mar 21, 2024 to Apr 30, 2025
- Advisory employees · 11 to 12Mar 21, 2024 to Apr 30, 2025
- BD registered reps · 5 to 6Mar 21, 2024 to Apr 30, 2025
- HNW clients · 185 to 193Mar 21, 2024 to Apr 30, 2025
- Individual clients · 403 to 410Mar 21, 2024 to Apr 30, 2025
- Pension plan clients · 12 to 11Mar 21, 2024 to Apr 30, 2025
- Assets in custody · $412M to $471MMar 21, 2024 to Apr 30, 2025
- Employees · 14 to 15Mar 21, 2024 to Apr 30, 2025
- Financial planning clients · 251-500 to 251-500Mar 21, 2024 to Apr 30, 2025
- State-registered IARs · 11 to 13Mar 21, 2024 to Apr 30, 2025
- Other offices · 7 to 10Mar 21, 2024 to Apr 30, 2025
- Discretionary RAUM · $718M to $817MMar 21, 2024 to Apr 30, 2025
- HNW RAUM · $489M to $538MMar 21, 2024 to Apr 30, 2025
- Individual RAUM · $190M to $236MMar 21, 2024 to Apr 30, 2025
- Pension RAUM · $37.0M to $42.0MMar 21, 2024 to Apr 30, 2025
- RAUM · $718M to $817MMar 21, 2024 to Apr 30, 2025
- Wrap assets (manager) · $168,820 to $185,071Mar 21, 2024 to Apr 30, 2025
- Accounts · 1,267 to 1,335Jan 15, 2024 to Mar 18, 2024
- HNW clients · 180 to 185Jan 15, 2024 to Mar 18, 2024
- Individual clients · 407 to 403Jan 15, 2024 to Mar 18, 2024
- Pension plan clients · 11 to 12Jan 15, 2024 to Mar 18, 2024
- Assets in custody · $359M to $412MJan 15, 2024 to Mar 18, 2024
- Discretionary RAUM · $628M to $718MJan 15, 2024 to Mar 18, 2024
- HNW RAUM · $432M to $489MJan 15, 2024 to Mar 18, 2024
- Individual RAUM · $165M to $190MJan 15, 2024 to Mar 18, 2024
Signals
2 dated events
- Rb Capital Management, Llc reported RAUM $462.4M, up 47% from $314.8M (2020-01-28 to 2020-02-12)Feb 12, 2020 · RAUM change · derived
- Rb Capital Management, Llc reported RAUM $314.8M, down 43% from $549.6M (2018-11-09 to 2019-01-12)Jan 12, 2019 · 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
- Business phone
- 203-220-6474reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 203-984-5127reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 415-230-3213reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/12893317reportedpublic record, Form ADV, Sep 17, 2026
- Website
- myhybridretirement.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (775) 993-2900reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- rbcapitalmanagement.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- rbcapitalmanagement.com/meet-the-teamreportedpublished by the firm, firm site, Sep 15, 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
- $66.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026