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••••••• L•••• W••••• M••••••••• L••
Latest filing Mar 12, 2026
First filing on the tape Mar 8, 2012 · 21 filings
SEC status approved since Jul 3, 2006
RAUM
$543M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$536M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$543M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$543M as of Mar 12, 2026
Mar 8, 2012$112M then
HNW client RAUM$504M as of Mar 12, 2026
Mar 26, 2018$270M then
State-registered IARs (5.B.3)1 as of Mar 12, 2026
Mar 8, 20120 then
Employees (5.A)1 as of Mar 12, 2026
Mar 8, 20133 then
Private funds: no history
RAUM +9.4% over the last fiscal year+12% a year over threeIARs 2 to 1offices 1 to 0
Practice profile
derived from the filing of Mar 12, 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
- $543MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 192derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $927,459derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$504M93%
- Individuals$32.2M5.9%
- Corporations and businesses$7.6M1.4%
- Individual clients
- 74reported
- HNW clients
- 118reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 586reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| S•••• J••••••• L••••Certified Financial Planner | Danville, Ca | Dec 3, 2025 | 22 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• R•••••• J••••• · Managing Member & Chief Compliance Officercontrolsince 02/2004 · owns 75% or more
Related persons
Schedule D 7.A
- A•••••• L•••• • C••••••• L••insurancen
Offices
Schedule D 1.F, the 25 largest
- San Mateo, CA2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 12, 2026insurance affiliate (Item 7.A.10): yes on the filing of 2025-12-01, no on the filing of 2026-03-12peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 639 to 586Dec 1, 2025 to Mar 12, 2026
- Corporate clients · 6 to 5Dec 1, 2025 to Mar 12, 2026
- HNW clients · 110 to 118Dec 1, 2025 to Mar 12, 2026
- Individual clients · 80 to 74Dec 1, 2025 to Mar 12, 2026
- Discretionary RAUM · $497M to $543MDec 1, 2025 to Mar 12, 2026
- HNW RAUM · $450M to $504MDec 1, 2025 to Mar 12, 2026
- Individual RAUM · $39.1M to $32.2MDec 1, 2025 to Mar 12, 2026
- RAUM · $497M to $543MDec 1, 2025 to Mar 12, 2026
- Related insurance company · true to falseDec 1, 2025 to Mar 12, 2026
- Advisory employees · 2 to 1Aug 14, 2025 to Dec 1, 2025
- Employees · 2 to 1Aug 14, 2025 to Dec 1, 2025
- State-registered IARs · 2 to 1Aug 14, 2025 to Dec 1, 2025
- Other offices · 1 to 0Aug 14, 2025 to Dec 1, 2025
- Corporate clients · 7 to 6Mar 18, 2024 to Mar 18, 2025
- HNW clients · 109 to 110Mar 18, 2024 to Mar 18, 2025
- Individual clients · 87 to 80Mar 18, 2024 to Mar 18, 2025
- Financial planning clients · unset to Mar 18, 2024 to Mar 18, 2025
- Discretionary RAUM · $456M to $497MMar 18, 2024 to Mar 18, 2025
- HNW RAUM · $407M to $450MMar 18, 2024 to Mar 18, 2025
- Individual RAUM · $39.3M to $39.1MMar 18, 2024 to Mar 18, 2025
- RAUM · $456M to $497MMar 18, 2024 to Mar 18, 2025
- Accounts · 194 to 639Mar 23, 2023 to Mar 18, 2024
- Corporate clients · unset to 7.0Mar 23, 2023 to Mar 18, 2024
- HNW clients · 108 to 109Mar 23, 2023 to Mar 18, 2024
- Individual clients · 85 to 87Mar 23, 2023 to Mar 18, 2024
- Discretionary RAUM · $388M to $456MMar 23, 2023 to Mar 18, 2024
- HNW RAUM · $353M to $407MMar 23, 2023 to Mar 18, 2024
- Individual RAUM · $32.9M to $39.3MMar 23, 2023 to Mar 18, 2024
- RAUM · $388M to $456MMar 23, 2023 to Mar 18, 2024
- Accounts · 580 to 194Mar 22, 2022 to Mar 23, 2023
- HNW clients · 105 to 108Mar 22, 2022 to Mar 23, 2023
- Individual clients · 79 to 85Mar 22, 2022 to Mar 23, 2023
- Discretionary RAUM · $403M to $388MMar 22, 2022 to Mar 23, 2023
- HNW RAUM · $368M to $353MMar 22, 2022 to Mar 23, 2023
- Individual RAUM · $32.6M to $32.9MMar 22, 2022 to Mar 23, 2023
- RAUM · $403M to $388MMar 22, 2022 to Mar 23, 2023
- Accounts · 541 to 580Mar 18, 2021 to Mar 22, 2022
- HNW clients · 96 to 105Mar 18, 2021 to Mar 22, 2022
- Discretionary RAUM · $338M to $403MMar 18, 2021 to Mar 22, 2022
- HNW RAUM · $307M to $368MMar 18, 2021 to Mar 22, 2022
Signals
No event on the tape.
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
- 925-837-8355reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- L••••WEALTH.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 925-837-8355reportedpublic record, Form ADV, Mar 12, 2026
- Contact form
- l•••••••••.comreportedpublished 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
- $543Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026