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
N••••• C•••••• M••••••••• L••
Latest filing Apr 2, 2026
First filing on the tape Mar 20, 2012 · 32 filings
SEC status approved since Jan 2, 2004
RAUM
$811M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$709M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$203M
derived; firm RAUM over IAPD count
Employees
10
7 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$811M as of Apr 2, 2026
Mar 20, 2012$265M then
HNW client RAUM$706M as of Apr 2, 2026
Mar 7, 2018$485M then
State-registered IARs (5.B.3)4 as of Apr 2, 2026
Mar 20, 20120 then
Employees (5.A)10 as of Apr 2, 2026
Feb 8, 20137 then
Private funds: no history
RAUM +14% over the last fiscal year+17% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Apr 2, 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
- $203MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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
- +5.3%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publicationsreportedItem 5.G
- Custody
- $675M, 190 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$706M87%
- Charitable organizations$77.7M9.6%
- Other investment advisers$24.0M3.0%
- Individuals$3.0M0.4%
- Individual clients
- 21reported
- HNW clients
- 178reported
- Pension plan clients
- n/areported
- Charitable clients
- 13reported
- Accounts
- 685reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $675M for 190 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.03 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••••• P••••••• N•••••Chartered Financial Analyst | Menlo Park, Ca | May 15, 2015 | 42 y | 1 |
| S•••••• P•••••• P•••••••Certified Financial Planner | Menlo Park, Ca | May 20, 2015 | 23 y | 1 |
| E••• P••••• N•••••Certified Financial Planner | Menlo Park, Ca | Jun 6, 2016 | 12 y | 0 |
| D•••• N••••• S••••Chartered Financial Analyst | Menlo Park, Ca | Jan 24, 2017 | 17 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 headcount0 left over 36 months
Left, latest
- B•••• P•••••• R•••••• to R•••••• W••••• A•••••••• L••Nov 6, 2020 · RIA to a newly registered adviser
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••••• B•••••• P••••••• · Presidentcontrolsince 12/2003 · owns 75% or more
- N•••••• E•••• P••••• · Principalcontrolsince 12/2021 · owns 5% to 10%
- P•••••••• S••••••• P•••••• · Member And Chief Compliance Officercontrolsince 01/2006 · owns 10% to 25%
- S••••• D••••• N••••• · Principalcontrolsince 12/2021 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Menlo Park, Ca · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 672 to 685Mar 17, 2025 to Feb 24, 2026
- Charity clients · 11 to 13Mar 17, 2025 to Feb 24, 2026
- HNW clients · 169 to 178Mar 17, 2025 to Feb 24, 2026
- Individual clients · 20 to 21Mar 17, 2025 to Feb 24, 2026
- Pension plan clients · 2.0 to unsetMar 17, 2025 to Feb 24, 2026
- Assets in custody · $620M to $675MMar 17, 2025 to Feb 24, 2026
- Discretionary RAUM · $712M to $811MMar 17, 2025 to Feb 24, 2026
- HNW RAUM · $611M to $706MMar 17, 2025 to Feb 24, 2026
- Individual RAUM · $2.9M to $3.0MMar 17, 2025 to Feb 24, 2026
- Pension RAUM · 7387119.0 to unsetMar 17, 2025 to Feb 24, 2026
- RAUM · $712M to $811MMar 17, 2025 to Feb 24, 2026
- Accounts · 586 to 672Sep 18, 2024 to Mar 17, 2025
- Charity clients · 14 to 11Sep 18, 2024 to Mar 17, 2025
- HNW clients · 165 to 169Sep 18, 2024 to Mar 17, 2025
- Individual clients · 6 to 20Sep 18, 2024 to Mar 17, 2025
- Pension plan clients · 3 to 2Sep 18, 2024 to Mar 17, 2025
- Assets in custody · $490M to $620MSep 18, 2024 to Mar 17, 2025
- Financial planning clients · 1-10 to 1-10Sep 18, 2024 to Mar 17, 2025
- Discretionary RAUM · $638M to $712MSep 18, 2024 to Mar 17, 2025
- HNW RAUM · $548M to $611MSep 18, 2024 to Mar 17, 2025
- Individual RAUM · $810,519 to $2.9MSep 18, 2024 to Mar 17, 2025
- Pension RAUM · $6.7M to $7.4MSep 18, 2024 to Mar 17, 2025
- RAUM · $638M to $712MSep 18, 2024 to Mar 17, 2025
- Accounts · 560 to 586Mar 15, 2023 to Mar 19, 2024
- Charity clients · 11 to 14Mar 15, 2023 to Mar 19, 2024
- HNW clients · 158 to 165Mar 15, 2023 to Mar 19, 2024
- Individual clients · 9 to 6Mar 15, 2023 to Mar 19, 2024
- Pension plan clients · unset to 3.0Mar 15, 2023 to Mar 19, 2024
- Assets in custody · $461M to $490MMar 15, 2023 to Mar 19, 2024
- Discretionary RAUM · $511M to $638MMar 15, 2023 to Mar 19, 2024
- HNW RAUM · $443M to $548MMar 15, 2023 to Mar 19, 2024
- Individual RAUM · $697,095 to $810,519Mar 15, 2023 to Mar 19, 2024
- Pension RAUM · $5.0M to $6.7MMar 15, 2023 to Mar 19, 2024
- RAUM · $511M to $638MMar 15, 2023 to Mar 19, 2024
- Accounts · 561 to 560Jun 2, 2022 to Mar 15, 2023
- Advisory employees · 6 to 7Jun 2, 2022 to Mar 15, 2023
- Charity clients · 7 to 11Jun 2, 2022 to Mar 15, 2023
- Assets in custody · $495M to $461MJun 2, 2022 to Mar 15, 2023
- Employees · 9 to 10Jun 2, 2022 to Mar 15, 2023
- Discretionary RAUM · $598M to $511MJun 2, 2022 to Mar 15, 2023
Signals
4 dated events
- N••••• Darcy Smoot (Principal) appeared on Schedule A of N••••• C•••••• M••••••••• L••Mar 10, 2022 · Control person joined · fact
- P••••• E••• N••••• (Principal) appeared on Schedule A of N••••• C•••••• M••••••••• L••Mar 10, 2022 · Control person joined · fact
- Patrick Brian Roberts (Member) no longer on Schedule A of N••••• C•••••• M••••••••• L•• (listed 2020-05-19, absent 2020-11-09)Nov 9, 2020 · Control person left · inference
- N••••• C•••••• M••••••••• L•• reported RAUM $675.3M, up 31% from $516.0M (2019-03-20 to 2020-03-16)Mar 16, 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
- Business phone
- 650-322-4000reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 650-322-4002reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/822268reportedpublic record, Form ADV, Sep 18, 2026
- Website
- nelsoncap.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (650) 322-4000reportedpublic record, Form ADV, Apr 2, 2026
- Contact form
- nelsoncap.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- nelsoncap.com/our-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
- $203Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026