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••••••••• G•••• L••
Latest filing Mar 26, 2026
First filing on the tape Apr 6, 2017 · 17 filings
SEC status approved since Apr 28, 2017
RAUM
$1.0B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
92%
$930M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$337M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$1.0B as of Mar 26, 2026
Mar 20, 2018$399M then
HNW client RAUM$887M as of Mar 26, 2026
Mar 20, 2018$324M then
State-registered IARs (5.B.3)5 as of Mar 26, 2026
Mar 20, 20182 then
Employees (5.A)6 as of Mar 26, 2026
Mar 20, 20184 then
Private funds: no history
RAUM +9.1% over the last fiscal year+20% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 26, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $337MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 110derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $725,998derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -21%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$887M88%
- Corporations and businesses$56.4M5.6%
- Individuals$43.3M4.3%
- Pension and profit-sharing plans$19.3M1.9%
- Charitable organizations$6.1M0.6%
- Individual clients
- 76reported
- HNW clients
- 254reported
- Pension plan clients
- 6reported
- Charitable clients
- 3reported
- Accounts
- 1,394reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• A•••••• P••••••••• | Redwood City, Ca | Aug 2, 1999 | 38 y | 0 |
| E••• S•••••• D••••Certified Financial Planner | Redwood City, Ca | Aug 2, 1999 | 33 y | 0 |
| K•••• K••••• F••••• | Redwood Shores, Ca | Sep 23, 2014 | 37 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 headcount1 left over 36 months
Left, latest
- E••• R••• M•••• to M•••• C•••••• M•••••••••Dec 5, 2024 · RIA to a state-registered adviser
Joined, latest
- E••• R••• M•••• from K••• C•••••• M••••••••• C•••••••••Apr 4, 2022 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• E•••• S•••••• · Managing Membercontrolsince 04/1999 · owns 25% to 50%
- F•••••• K••••• K••••• · Chief Compliance Officercontrolsince 03/2021 · owns less than 5%
- P••••••••• C••••• A•••••• · Managing Member, Chief Compliance Officercontrolsince 04/1999 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Redwood City, Ca | 2 | 0 | 0 | ||
| Redwood Shores, Ca · principal | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 26, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $927,521,918 to $1,012,040,689, advisors 5 to 5, private clients 420 to 330, offices 0 to 0 (2025-04-01 to 2026-03-26)peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 26, 2026F•••••• K••••• K••••• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2021-03-29 and 2026-03-26peers: independent wealth managers, $1B to $5B (1,362)
- account count surgeChange between filings · filing Mar 26, 2026accounts (Item 5.F.2.f) moved from 426.0 to 1,394.0 (+227.0%) between the annual amendments of 2025-04-01 and 2026-03-26; the peer median change was +6.0% (1206 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 99% percentile
- HNW share shiftChange between filings · filing Mar 26, 2026HNW share of RAUM moved from 72.0% to 88.0% between the annual amendments of 2025-04-01 and 2026-03-26peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 426 to 1,394Apr 1, 2025 to Mar 26, 2026
- Corporate clients · 5 to 3Apr 1, 2025 to Mar 26, 2026
- HNW clients · 267 to 254Apr 1, 2025 to Mar 26, 2026
- Individual clients · 153 to 76Apr 1, 2025 to Mar 26, 2026
- Pension plan clients · 2 to 6Apr 1, 2025 to Mar 26, 2026
- Discretionary RAUM · $928M to $986MApr 1, 2025 to Mar 26, 2026
- HNW RAUM · $669M to $887MApr 1, 2025 to Mar 26, 2026
- Individual RAUM · $224M to $43.3MApr 1, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $0 to $26.3MApr 1, 2025 to Mar 26, 2026
- Pension RAUM · $14.2M to $19.3MApr 1, 2025 to Mar 26, 2026
- RAUM · $928M to $1.0BApr 1, 2025 to Mar 26, 2026
- Accounts · 907 to 426Apr 22, 2024 to Apr 1, 2025
- Advisory employees · 4 to 5Apr 22, 2024 to Apr 1, 2025
- BD registered reps · 6 to 5Apr 22, 2024 to Apr 1, 2025
- Charity clients · unset to 3.0Apr 22, 2024 to Apr 1, 2025
- Corporate clients · 4 to 5Apr 22, 2024 to Apr 1, 2025
- HNW clients · 128 to 267Apr 22, 2024 to Apr 1, 2025
- Individual clients · 173 to 153Apr 22, 2024 to Apr 1, 2025
- Pension plan clients · 3 to 2Apr 22, 2024 to Apr 1, 2025
- Financial planning clients · 1-10 to 1-10Apr 22, 2024 to Apr 1, 2025
- State-registered IARs · 4 to 5Apr 22, 2024 to Apr 1, 2025
- Discretionary RAUM · $644M to $928MApr 22, 2024 to Apr 1, 2025
- HNW RAUM · $514M to $669MApr 22, 2024 to Apr 1, 2025
- Individual RAUM · $116M to $224MApr 22, 2024 to Apr 1, 2025
- Pension RAUM · $12.5M to $14.2MApr 22, 2024 to Apr 1, 2025
- RAUM · $644M to $928MApr 22, 2024 to Apr 1, 2025
- Accounts · 705 to 907Mar 29, 2023 to Mar 22, 2024
- Advisory employees · 5 to 4Mar 29, 2023 to Mar 22, 2024
- BD registered reps · 5 to 6Mar 29, 2023 to Mar 22, 2024
- Corporate clients · 5 to 4Mar 29, 2023 to Mar 22, 2024
- HNW clients · 106 to 128Mar 29, 2023 to Mar 22, 2024
- Individual clients · 210 to 173Mar 29, 2023 to Mar 22, 2024
- Pension plan clients · 8 to 3Mar 29, 2023 to Mar 22, 2024
- State-registered IARs · 5 to 4Mar 29, 2023 to Mar 22, 2024
- Discretionary RAUM · $587M to $644MMar 29, 2023 to Mar 22, 2024
- HNW RAUM · $427M to $514MMar 29, 2023 to Mar 22, 2024
- Individual RAUM · $149M to $116MMar 29, 2023 to Mar 22, 2024
- Pension RAUM · $9.5M to $12.5MMar 29, 2023 to Mar 22, 2024
- RAUM · $587M to $644MMar 29, 2023 to Mar 22, 2024
- HQ city · REDWOOD CITY to REDWOOD SHORESMar 10, 2023 to Mar 20, 2023
Signals
7 dated events
- N••••••••• G•••• L•• reported RAUM $927.5M, up 44% from $644.2M (2024-04-22 to 2025-04-01)Apr 1, 2025 · RAUM change · derived
- E••• R••• M•••• left N••••••••• G•••• L•• for M•••• C•••••• M••••••••• (registered 2025-01-14)Dec 5, 2024 · Advisor changed firm · fact
- N••••••••• G•••• L•• reported RAUM $643.9M, up 34% from $480.8M (2021-03-29 to 2022-03-17)Mar 17, 2022 · RAUM change · derived
- Keller Karen Franco (Chief Compliance Officer) appeared on Schedule A of N••••••••• G•••• L••Mar 29, 2021 · Control person joined · fact
- Marie Anita Ramos (Chief Compliance Officer) no longer on Schedule A of N••••••••• G•••• L•• (listed 2020-06-11, absent 2021-03-29)Mar 29, 2021 · Control person left · inference
- N••••••••• G•••• L•• reported RAUM $490.9M, up 33% from $369.5M (2019-03-28 to 2020-03-12)Mar 12, 2020 · RAUM change · derived
- N••••••••• G•••• L•• filed its initial SEC registration (Form ADV)Apr 6, 2017 · First SEC registration · 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@navigationgroup.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- zita@navigationgroup.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 650-595-1767reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 650-595-1700reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/navigation-groupreportedpublic record, Form ADV, Sep 18, 2026
- Website
- navigationgroup.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 650-595-1700reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- navigationgroup.com/contactreportedpublished by the firm, firm site, Sep 17, 2026
- Team page
- navigationgroup.com/meet-the-teamreportedpublished by the firm, firm site, Sep 17, 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
- $337Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026