DFX Intelligence
RIA Intelligence
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SEC-registered adviser
P•••••• W••••• P•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 30, 2012 · 32 filings
SEC status approved since Jan 31, 2005
RAUM
$1.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$1.8B individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$320M
derived; firm RAUM over IAPD count
Employees
9
6 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$1.9B as of Mar 27, 2026
Mar 30, 2012$683M then
HNW client RAUM$1.8B as of Mar 27, 2026
Mar 28, 2018$686M then
State-registered IARs (5.B.3)5 as of Mar 27, 2026
Mar 15, 20130 then
Employees (5.A)9 as of Mar 27, 2026
Mar 15, 201312 then
Private funds1 as of Mar 27, 2019
Mar 30, 20121 then
RAUM -3.1% over the last fiscal year+13% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 27, 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
- $320MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.6MderivedHNW RAUM over HNW clients
- Average account
- $3.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.7%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $489M, 61 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)
- 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)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.8B94%
- Banks and thrifts$51.2M2.7%
- Individuals$31.3M1.6%
- Charitable organizations$22.0M1.1%
- Pension and profit-sharing plans$16.2M0.8%
- Corporations and businesses$1.5M0.1%
- Individual clients
- 66reported
- HNW clients
- 187reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 601reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $489M for 61 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• F••••••• D••••• | Mill Valley, Ca | Apr 11, 2024 | 26 y | 1 |
| M•••••• B•••••• Y•••••Chartered Financial Analyst | Mill Valley, Ca | Aug 2, 2024 | 13 y | 0 |
| F•••• C••••••••• G•••••Chartered Financial Analyst | Mill Valley, Ca | Sep 18, 2024 | 12 y | 0 |
| H••••• S•••• J•••• L••••••••• | Mill Valley, Ca | Dec 10, 2024 | 13 y | 0 |
| R•••••• G••••• K••••• | Mill Valley, Ca | Mar 3, 2026 | 24 y | 2 |
| J•••• M••••• S•••• | Mill Valley, Ca | May 22, 2026 | 31 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- R•••••• G••••• K••••• from H••• S••••••••• •••• I•••Mar 3, 2026 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•• P••••••••• F•••• L••no longer reported | Hedge Fund | $32.4M | 60 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D•••••• W••••••• F••••••• · Presidentcontrolsince 02/2005 · owns 50% to 75%
- G•••••• F••••• C••••••••• · Chief Investment Officer & Sr. Portfolio Managercontrolsince 12/2019 · owns 10% to 25%
- S•••••• K••••••• F••••••• · Board Member, Co- Chairmancontrolsince 01/2016 · owns less than 5%
- S••••• K••••••• A•• · Director Of Client Services & Operationscontrolsince 03/2024 · owns 5% to 10%
- Y•••••• M••••••• B•••••• · Chief Compliance Officer/Chief Operating Officercontrolsince 06/2022 · 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 |
|---|---|---|---|---|---|
| Mill Valley, Ca · principal | 6 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 27, 2026S••••• K••••••• A•• (DIRECTOR OF CLIENT SERVICES & OPERATIONS) appeared on Schedule A between the filings of 2023-03-07 and 2026-03-27peers: independent wealth managers, $1B to $5B (1,362)
- compensation changedChange between filings · filing Mar 27, 2026hourly charges (Item 5.E.2): no on the filing of 2025-03-14, yes on the filing of 2026-03-27peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 609 to 601Mar 14, 2025 to Mar 27, 2026
- Advisory activities · 3 to 2Mar 14, 2025 to Mar 27, 2026
- HNW clients · 176 to 187Mar 14, 2025 to Mar 27, 2026
- Individual clients · 68 to 66Mar 14, 2025 to Mar 27, 2026
- Assets in custody · $585M to $489MMar 14, 2025 to Mar 27, 2026
- Discretionary RAUM · $2.0B to $1.9BMar 14, 2025 to Mar 27, 2026
- HNW RAUM · $1.9B to $1.8BMar 14, 2025 to Mar 27, 2026
- Individual RAUM · $35.6M to $31.3MMar 14, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $1.0M to $1.5MMar 14, 2025 to Mar 27, 2026
- Pension RAUM · $13.5M to $16.2MMar 14, 2025 to Mar 27, 2026
- RAUM · $2.0B to $1.9BMar 14, 2025 to Mar 27, 2026
- Accounts · 557 to 609Mar 27, 2024 to Mar 14, 2025
- HNW clients · 160 to 176Mar 27, 2024 to Mar 14, 2025
- Individual clients · 71 to 68Mar 27, 2024 to Mar 14, 2025
- Assets in custody · $252M to $585MMar 27, 2024 to Mar 14, 2025
- Employees · 11 to 9Mar 27, 2024 to Mar 14, 2025
- Financial planning clients · 1-10 to 11-25Mar 27, 2024 to Mar 14, 2025
- State-registered IARs · 0 to 5Mar 27, 2024 to Mar 14, 2025
- Discretionary RAUM · $1.6B to $2.0BMar 27, 2024 to Mar 14, 2025
- HNW RAUM · $1.5B to $1.9BMar 27, 2024 to Mar 14, 2025
- Individual RAUM · $58.8M to $35.6MMar 27, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $2.2M to $1.0MMar 27, 2024 to Mar 14, 2025
- Pension RAUM · $10.5M to $13.5MMar 27, 2024 to Mar 14, 2025
- RAUM · $1.6B to $2.0BMar 27, 2024 to Mar 14, 2025
- Accounts · 541 to 557Mar 7, 2023 to Mar 27, 2024
- Charity clients · 4 to 5Mar 7, 2023 to Mar 27, 2024
- Corporate clients · 1.0 to unsetMar 7, 2023 to Mar 27, 2024
- Individual clients · 67 to 71Mar 7, 2023 to Mar 27, 2024
- Pension plan clients · 2.0 to unsetMar 7, 2023 to Mar 27, 2024
- Assets in custody · $195M to $252MMar 7, 2023 to Mar 27, 2024
- Employees · 10 to 11Mar 7, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.3B to $1.6BMar 7, 2023 to Mar 27, 2024
- HNW RAUM · $1.2B to $1.5BMar 7, 2023 to Mar 27, 2024
- Individual RAUM · $46.6M to $58.8MMar 7, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $12.7M to $2.2MMar 7, 2023 to Mar 27, 2024
- Pension RAUM · $9.3M to $10.5MMar 7, 2023 to Mar 27, 2024
- RAUM · $1.3B to $1.6BMar 7, 2023 to Mar 27, 2024
- Accounts · 226 to 541Aug 3, 2022 to Mar 7, 2023
- Advisory activities · 2 to 3Aug 3, 2022 to Mar 7, 2023
- Charity clients · 5 to 4Aug 3, 2022 to Mar 7, 2023
Signals
4 dated events
- Christopher Frank Greene (Director Of Research) appeared on Schedule A of P•••••• W••••• P•••••••• L••Mar 7, 2023 · Control person joined · fact
- Peter David Wong (Chief Financial Officer/Chief Compliance Officer) no longer on Schedule A of P•••••• W••••• P•••••••• L•• (listed 2022-04-06, absent 2022-08-03)Aug 3, 2022 · Control person left · inference
- Bennett Michael Yongue (Chief Compliance Officer/Chief Operating Officer) appeared on Schedule A of P•••••• W••••• P•••••••• L••Aug 3, 2022 · Control person joined · fact
- Klaus Peter Maier (Board Member, Co Chairman) no longer on Schedule A of P•••••• W••••• P•••••••• L•• (listed 2021-03-23, absent 2022-03-17)Mar 17, 2022 · Control person left · inference
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
- i•••@p•••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 415-461-3299reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 415-461-3850reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/private-wealth-partners-llcreportedpublic record, Form ADV, Sep 21, 2026
- Website
- w••.p•••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 415-461-3850reportedpublic record, Form ADV, Mar 27, 2026
- Team page
- p•••••.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
- $320Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026