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
M••••••• I••••••••• C••••••• I•••
Latest filing Mar 27, 2026
First filing on the tape Nov 29, 2011 · 24 filings
SEC status approved since Jun 28, 2004
RAUM
$723M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$716M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$241M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$723M as of Mar 27, 2026
Mar 30, 2012$162M then
HNW client RAUM$34.6M as of Mar 27, 2026
Mar 30, 2018$31.6M then
State-registered IARs (5.B.3)4 as of Mar 27, 2026
Mar 27, 20132 then
Employees (5.A)8 as of Mar 27, 2026
Mar 27, 20134 then
Private funds: no history
RAUM +34% over the last fiscal year+19% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $241MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $293,455derivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 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
- Individuals$681M94%
- High-net-worth individuals$34.6M4.8%
- Pension and profit-sharing plans$4.1M0.6%
- Charitable organizations$3.5M0.5%
- Individual clients
- 69reported
- HNW clients
- 118reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 619reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N•••• W••••••Chartered Financial Analyst, Chartered Investment Counselor | Lafayette, Ca | Sep 15, 2004 | 27 y | 2 |
| J••• G•••••• K•••• | Lafayette, Ca | Mar 29, 2005 | 45 y | 1 |
| A•••• S••••Certified Financial Planner | Lafayette, Ca | Jun 22, 2022 | 21 y | 2 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount2 left over 36 months
Left, latest
- C••••••••• C••••• Y•••• to F••••••Jul 27, 2026 · RIA to RIA
- D••••• A•••• H••••••• to I•••••••• C•••••• L••Feb 19, 2024 · RIA to a state-registered adviser
Joined, latest
- A•••• S•••• from H• F•••••••• A••••••• I••Jun 22, 2022 · Other
- C••••••••• C••••• Y•••• from Y•••• P•••••••• L••Jul 29, 2013 · Other
- J••• G•••••• K•••• from S•• C•••••• M••••••••• I•••Mar 29, 2005 · Other
- N•••• W•••••• from S•• C•••••• M••••••••• I•••Sep 15, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••• M••••••• L••••••• · Cfo & Secretarycontrolsince 09/2004 · owns less than 5%
- W••••••• N•••• · President & Chief Compliance Officercontrolsince 09/2004 · owns less than 5%
- W••••••• M••••••• L••••••• · Trusteecontrolsince 12/2010 · owns F of W•••••• F••••• 2••• T•••• U•• D•• 5••••• F•• N•••• W•••••• • M•••••• L• W••••••
- W••••••• N•••• · Trusteecontrolsince 12/2010 · owns F of W•••••• F••••• 2••• T•••• U•• D•• 5••••• F•• N•••• W•••••• • M•••••• L• W••••••
Entity owners
- W•••••• F••••• 2••• T•••• U•• D•• 5••••• F•• N•••• W•••••• • M•••••• L• W•••••• · Shareholderdirect · owns 75% or more
- W•••••• F••••• 2••• T•••• U•• D•• 5••••• F•• N•••• W•••••• • M•••••• L• W•••••• · Shareholderindirect · owns 75% or more of M••••••• Investment C•••••• Inc.
Related persons
Schedule D 7.A
- J••• K••••insurancey
Advisers that list M••••••• I••••••••• C••••••• I••• as a related person
- 329207 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lafayette, Ca | 3 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 27, 2026HNW share of RAUM moved from 93.0% to 5.0% between the annual amendments of 2025-03-28 and 2026-03-27peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 592 to 619Nov 21, 2025 to Mar 27, 2026
- HNW clients · 111 to 118Nov 21, 2025 to Mar 27, 2026
- Individual clients · 66 to 69Nov 21, 2025 to Mar 27, 2026
- Insurance-licensed employees · 0 to 1Nov 21, 2025 to Mar 27, 2026
- Discretionary RAUM · $539M to $723MNov 21, 2025 to Mar 27, 2026
- HNW RAUM · $502M to $34.6MNov 21, 2025 to Mar 27, 2026
- Individual RAUM · $31.2M to $681MNov 21, 2025 to Mar 27, 2026
- Pension RAUM · $3.0M to $4.1MNov 21, 2025 to Mar 27, 2026
- RAUM · $539M to $723MNov 21, 2025 to Mar 27, 2026
- Accounts · 559 to 592Mar 27, 2024 to Mar 28, 2025
- HNW clients · 91 to 111Mar 27, 2024 to Mar 28, 2025
- Individual clients · 77 to 66Mar 27, 2024 to Mar 28, 2025
- Employees · 6 to 8Mar 27, 2024 to Mar 28, 2025
- Financial planning clients · 11-25 to 11-25Mar 27, 2024 to Mar 28, 2025
- HQ city · unset to Mar 27, 2024 to Mar 28, 2025
- HQ state · unset to Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $487M to $539MMar 27, 2024 to Mar 28, 2025
- HNW RAUM · $440M to $502MMar 27, 2024 to Mar 28, 2025
- Individual RAUM · $41.0M to $31.2MMar 27, 2024 to Mar 28, 2025
- Pension RAUM · $3.5M to $3.0MMar 27, 2024 to Mar 28, 2025
- RAUM · $487M to $539MMar 27, 2024 to Mar 28, 2025
- Related adviser · false to trueMar 27, 2024 to Mar 28, 2025
- Accounts · 549 to 559Mar 31, 2023 to Mar 27, 2024
- Advisory employees · 5 to 4Mar 31, 2023 to Mar 27, 2024
- HNW clients · 105 to 91Mar 31, 2023 to Mar 27, 2024
- Individual clients · 63 to 77Mar 31, 2023 to Mar 27, 2024
- Employees · 7 to 6Mar 31, 2023 to Mar 27, 2024
- Financial planning clients · 1-10 to 11-25Mar 31, 2023 to Mar 27, 2024
- State-registered IARs · 5 to 4Mar 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $425M to $487MMar 31, 2023 to Mar 27, 2024
- HNW RAUM · $400M to $440MMar 31, 2023 to Mar 27, 2024
- Individual RAUM · $21.1M to $41.0MMar 31, 2023 to Mar 27, 2024
- Pension RAUM · $2.6M to $3.5MMar 31, 2023 to Mar 27, 2024
- RAUM · $425M to $487MMar 31, 2023 to Mar 27, 2024
- Accounts · 530 to 549Nov 10, 2022 to Mar 31, 2023
- HNW clients · 103 to 105Nov 10, 2022 to Mar 31, 2023
- Discretionary RAUM · $486M to $425MNov 10, 2022 to Mar 31, 2023
- HNW RAUM · $453M to $400MNov 10, 2022 to Mar 31, 2023
- Individual RAUM · $23.1M to $21.1MNov 10, 2022 to Mar 31, 2023
- Pension RAUM · $4.9M to $2.6MNov 10, 2022 to Mar 31, 2023
Signals
3 dated events
- C••••••••• C••••• Y•••• left M••••••• I••••••••• C••••••• I••• for Farther (registered 2026-07-01)Jul 27, 2026 · Advisor changed firm · fact
- M••••••• I••••••••• C••••••• I••• reported RAUM $723.4M, up 34% from $539.4M (2025-11-21 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- D••••• A•••• H••••••• left M••••••• I••••••••• C••••••• I••• for I•••••••• C•••••• L•• (registered 2025-09-16)Feb 19, 2024 · Advisor changed firm · 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
- Principal office phone
- 510-493-7650reportedpublic record, Form ADV, Mar 27, 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
- $241Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026