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
S••••• R••••••••• F•••••••• • I•••••••• S••••••• C••••
Latest filing Apr 1, 2026
First filing on the tape May 6, 2022 · 16 filings
SEC status approved since Jun 6, 2022
RAUM
$102M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$102M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$34.0M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$102M as of Apr 1, 2026
Mar 8, 2023$101M then
HNW client RAUM$59.8M as of Apr 1, 2026
Mar 8, 2023$40.1M then
State-registered IARs (5.B.3)3 as of Apr 1, 2026
Mar 8, 20232 then
Employees (5.A)5 as of Apr 1, 2026
Mar 8, 20235 then
Private funds: no history
RAUM +20% over the last fiscal year+0.2% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $34.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $212,050derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 5.G
- Custody
- $102M, 212 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$59.8M59%
- Individuals$42.2M41%
- Individual clients
- 187reported
- HNW clients
- 24reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 481reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $102M for 212 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• M•••••• W••••• | San Ramon, Ca | Jun 4, 2013 | 17 y | 1 |
| R•••••• R•• M•••• | San Ramon, Ca | Nov 17, 2021 | 30 y | 3 |
| A•••• A•••• J•••••• | San Ramon, Ca | Jan 24, 2024 | 11 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
- J•••••• M•••••• W••••• from M•••• C••••••• A••••••• S••••••Jun 4, 2013 · Other
- R•••••• R•• M•••• from B••••••••• I••••••••• M•••••••••Jan 28, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• R••••••• R•• · Chief Compliance Officercontrolsince 01/2004 · owns less than 5%
- W•••••• J••••••• M•••••• · Presidentcontrolsince 02/2023 · owns 25% to 50%
- M••••• R••••••• R•• · Trusteecontrolsince 07/2017 · owns 50% to 75% of R•••••• A•• S••••• M•••• L••••• T••••
- M••••• S•••••• D•••• · Trusteesince 07/2017 · owns 50% to 75% of R•••••• A•• S••••• M•••• L••••• T••••
Entity owners
- R•••••• A•• S••••• M•••• L••••• T•••• · Shareholderdirect · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| San Ramon, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 446 to 481Nov 21, 2025 to Apr 1, 2026
- HNW clients · 20 to 24Nov 21, 2025 to Apr 1, 2026
- Individual clients · 185 to 187Nov 21, 2025 to Apr 1, 2026
- Assets in custody · $83.8M to $102MNov 21, 2025 to Apr 1, 2026
- Financial planning clients · 101-250 to 251-500Nov 21, 2025 to Apr 1, 2026
- Discretionary RAUM · $92.4M to $102MNov 21, 2025 to Apr 1, 2026
- HNW RAUM · $48.6M to $59.8MNov 21, 2025 to Apr 1, 2026
- Individual RAUM · $43.8M to $42.2MNov 21, 2025 to Apr 1, 2026
- RAUM · $92.4M to $102MNov 21, 2025 to Apr 1, 2026
- Accounts · 489 to 446May 27, 2025 to Nov 21, 2025
- HNW clients · 16 to 20May 27, 2025 to Nov 21, 2025
- Individual clients · 192 to 185May 27, 2025 to Nov 21, 2025
- Discretionary RAUM · $84.7M to $92.4MMay 27, 2025 to Nov 21, 2025
- HNW RAUM · $37.3M to $48.6MMay 27, 2025 to Nov 21, 2025
- Individual RAUM · $47.4M to $43.8MMay 27, 2025 to Nov 21, 2025
- RAUM · $84.7M to $92.4MMay 27, 2025 to Nov 21, 2025
- Financial planning clients · 101-250 to 101-250Mar 27, 2025 to May 27, 2025
- Accounts · 546 to 489Oct 8, 2024 to Mar 27, 2025
- HNW clients · 18 to 16Oct 8, 2024 to Mar 27, 2025
- Individual clients · 212 to 192Oct 8, 2024 to Mar 27, 2025
- Assets in custody · $28.7M to $83.8MOct 8, 2024 to Mar 27, 2025
- Discretionary RAUM · $96.6M to $84.7MOct 8, 2024 to Mar 27, 2025
- HNW RAUM · $40.2M to $37.3MOct 8, 2024 to Mar 27, 2025
- Individual RAUM · $56.4M to $47.4MOct 8, 2024 to Mar 27, 2025
- RAUM · $96.6M to $84.7MOct 8, 2024 to Mar 27, 2025
- Employees · 6 to 5Mar 19, 2024 to May 1, 2024
- Accounts · 575 to 546Feb 6, 2024 to Mar 19, 2024
- HNW clients · 21 to 18Feb 6, 2024 to Mar 19, 2024
- Individual clients · 236 to 212Feb 6, 2024 to Mar 19, 2024
- Assets in custody · $101M to $28.7MFeb 6, 2024 to Mar 19, 2024
- Financial planning clients · 251-500 to 101-250Feb 6, 2024 to Mar 19, 2024
- Discretionary RAUM · $101M to $96.6MFeb 6, 2024 to Mar 19, 2024
- HNW RAUM · $40.1M to $40.2MFeb 6, 2024 to Mar 19, 2024
- Individual RAUM · $61.3M to $56.4MFeb 6, 2024 to Mar 19, 2024
- RAUM · $101M to $96.6MFeb 6, 2024 to Mar 19, 2024
- Advisory employees · 2 to 3Jun 28, 2023 to Feb 6, 2024
- Employees · 5 to 6Jun 28, 2023 to Feb 6, 2024
- State-registered IARs · 2 to 3Jun 28, 2023 to Feb 6, 2024
- Accounts · 557 to 575Dec 14, 2022 to Mar 8, 2023
- HNW clients · 20 to 21Dec 14, 2022 to Mar 8, 2023
Signals
2 dated events
- Michael Jeffrey Warren (President) appeared on Schedule A of S••••• R••••••••• F•••••••• • I•••••••• S••••••• C••••Jun 28, 2023 · Control person joined · fact
- S••••• R••••••••• F•••••••• • I•••••••• S••••••• C•••• filed its initial SEC registration (Form ADV)May 6, 2022 · 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
- Website
- S•••••RETIRE.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 925-855-4300reportedpublic record, Form ADV, Apr 1, 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
- $34.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026