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
A•••••• C•••••• M••••••••• I•••
Latest filing Mar 25, 2026
First filing on the tape Jun 29, 2021 · 8 filings
SEC status approved since Jul 30, 2021
RAUM
$210M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$207M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$210M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$210M as of Mar 25, 2026
Mar 30, 2022$208M then
HNW client RAUM$203M as of Mar 25, 2026
Mar 30, 2022$200M then
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Mar 30, 20221 then
Employees (5.A)2 as of Mar 25, 2026
Mar 30, 20223 then
Private funds: no history
RAUM -4.7% over the last fiscal year+16% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $210MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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$203M97%
- Individuals$3.7M1.8%
- Pension and profit-sharing plans$3.5M1.7%
- Individual clients
- 6reported
- HNW clients
- 52reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 121reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•••• E••• O••••• | San Ramon, Ca | Nov 4, 2003 | 31 y | 1 |
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
none on the tape
Joined, latest
- E•••• E••• O••••• from F•••• A••••• S••••••••• I•••Nov 4, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O•••••• E••••• E••• · President And Chief Compliance Officercontrolsince 12/2002 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 127 to 121Mar 20, 2025 to Mar 25, 2026
- HNW clients · 56 to 52Mar 20, 2025 to Mar 25, 2026
- Financial planning clients · 0 to 1-10Mar 20, 2025 to Mar 25, 2026
- Discretionary RAUM · $221M to $210MMar 20, 2025 to Mar 25, 2026
- HNW RAUM · $213M to $203MMar 20, 2025 to Mar 25, 2026
- Individual RAUM · $3.7M to $3.7MMar 20, 2025 to Mar 25, 2026
- Pension RAUM · $3.4M to $3.5MMar 20, 2025 to Mar 25, 2026
- RAUM · $221M to $210MMar 20, 2025 to Mar 25, 2026
- Accounts · 132 to 127Mar 27, 2024 to Mar 20, 2025
- HNW clients · 52 to 56Mar 27, 2024 to Mar 20, 2025
- Individual clients · 11 to 6Mar 27, 2024 to Mar 20, 2025
- Financial planning clients · 1-10 to 0Mar 27, 2024 to Mar 20, 2025
- Discretionary RAUM · $173M to $221MMar 27, 2024 to Mar 20, 2025
- HNW RAUM · $163M to $213MMar 27, 2024 to Mar 20, 2025
- Individual RAUM · $7.5M to $3.7MMar 27, 2024 to Mar 20, 2025
- Pension RAUM · $2.9M to $3.4MMar 27, 2024 to Mar 20, 2025
- RAUM · $173M to $221MMar 27, 2024 to Mar 20, 2025
- Accounts · 134 to 132Nov 16, 2023 to Mar 27, 2024
- HNW clients · 54 to 52Nov 16, 2023 to Mar 27, 2024
- Individual clients · 12 to 11Nov 16, 2023 to Mar 27, 2024
- Discretionary RAUM · $135M to $173MNov 16, 2023 to Mar 27, 2024
- HNW RAUM · $126M to $163MNov 16, 2023 to Mar 27, 2024
- Individual RAUM · $6.5M to $7.5MNov 16, 2023 to Mar 27, 2024
- Pension RAUM · $2.4M to $2.9MNov 16, 2023 to Mar 27, 2024
- RAUM · $135M to $173MNov 16, 2023 to Mar 27, 2024
- Accounts · 147 to 134Apr 22, 2022 to Mar 28, 2023
- HNW clients · 64 to 54Apr 22, 2022 to Mar 28, 2023
- Individual clients · 7 to 12Apr 22, 2022 to Mar 28, 2023
- Employees · 3 to 2Apr 22, 2022 to Mar 28, 2023
- Discretionary RAUM · $207M to $135MApr 22, 2022 to Mar 28, 2023
- HNW RAUM · $200M to $126MApr 22, 2022 to Mar 28, 2023
- Individual RAUM · $3.9M to $6.5MApr 22, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $584,879 to $0Apr 22, 2022 to Mar 28, 2023
- Pension RAUM · $3.4M to $2.4MApr 22, 2022 to Mar 28, 2023
- RAUM · $208M to $135MApr 22, 2022 to Mar 28, 2023
- Accounts · 144 to 147Jun 29, 2021 to Mar 30, 2022
- HNW clients · 60 to 64Jun 29, 2021 to Mar 30, 2022
- Individual clients · 10 to 7Jun 29, 2021 to Mar 30, 2022
- Discretionary RAUM · $176M to $207MJun 29, 2021 to Mar 30, 2022
- HNW RAUM · $168M to $200MJun 29, 2021 to Mar 30, 2022
Signals
1 dated events
- A•••••• C•••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Jun 29, 2021 · ria f•••• adv filing · 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
- A••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 888-267-6729reportedpublic record, Form ADV, Mar 25, 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
- $210Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026