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.

Former SEC-registered adviser

Parkworth Wealth Management, Inc.

Former SEC-registered adviserLos Gatos, CaliforniaCRD 133908SEC 801-122340websiteIAPD
Latest filing Feb 19, 2025
First filing on the tape Mar 26, 2012 · 17 filings
SEC status approved since Sep 17, 2021
RAUM
$179M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$179M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$179M as of Feb 19, 2025
Mar 26, 2012$36.6M then
HNW client RAUM$173M as of Feb 19, 2025
Mar 15, 2022$122M then
State-registered IARs (5.B.3)4 as of Feb 19, 2025
Mar 26, 20120 then
Employees (5.A)4 as of Feb 19, 2025
Mar 15, 20225 then
Private funds: no history
RAUM +18% over the last fiscal year+10% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 19, 2025; every figure names its basis
RAUM per advisor
$44.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
22derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$374,829derivedRAUM 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
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.2%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$18.8M, 23 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • 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$173M97%
  • Individuals$5.5M3.1%
Individual clients
15reported
HNW clients
71reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
477reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$18.8M for 23 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Richard Bruce Barton · Chief Executive Officer, Chief Compliance Officer, Chief Operating Officer, Treasurercontrol
        since 01/2003 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Los Gatos, Ca · principal000
      New York, Ny000
      San Jose, Ca000
      Offices
      Schedule D 1.F, the 25 largest
      • Palo Alto, CA1 employees
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 377 to 477
        Nov 14, 2024 to Feb 19, 2025
      • HNW clients · 67 to 71
        Nov 14, 2024 to Feb 19, 2025
      • Individual clients · 14 to 15
        Nov 14, 2024 to Feb 19, 2025
      • Assets in custody · $15.5M to $18.8M
        Nov 14, 2024 to Feb 19, 2025
      • Financial planning clients · 51-100 to 51-100
        Nov 14, 2024 to Feb 19, 2025
      • Other offices · 2 to 1
        Nov 14, 2024 to Feb 19, 2025
      • Discretionary RAUM · $152M to $179M
        Nov 14, 2024 to Feb 19, 2025
      • HNW RAUM · $147M to $173M
        Nov 14, 2024 to Feb 19, 2025
      • Individual RAUM · $4.9M to $5.5M
        Nov 14, 2024 to Feb 19, 2025
      • RAUM · $152M to $179M
        Nov 14, 2024 to Feb 19, 2025
      • Other offices · 1 to 2
        Mar 2, 2024 to Nov 14, 2024
      • Accounts · 355 to 377
        Apr 28, 2023 to Mar 1, 2024
      • HNW clients · 61 to 67
        Apr 28, 2023 to Mar 1, 2024
      • Individual clients · 17 to 14
        Apr 28, 2023 to Mar 1, 2024
      • Assets in custody · $7.2M to $15.5M
        Apr 28, 2023 to Mar 1, 2024
      • State-registered IARs · 3 to 4
        Apr 28, 2023 to Mar 1, 2024
      • Discretionary RAUM · $128M to $152M
        Apr 28, 2023 to Mar 1, 2024
      • HNW RAUM · $122M to $147M
        Apr 28, 2023 to Mar 1, 2024
      • Individual RAUM · $5.9M to $4.9M
        Apr 28, 2023 to Mar 1, 2024
      • RAUM · $128M to $152M
        Apr 28, 2023 to Mar 1, 2024
      • HQ city · SAN JOSE to LOS GATOS
        Feb 4, 2023 to Apr 28, 2023
      • Accounts · 349 to 355
        Nov 2, 2022 to Feb 3, 2023
      • Advisory employees · 4 to 3
        Nov 2, 2022 to Feb 3, 2023
      • HNW clients · 44 to 61
        Nov 2, 2022 to Feb 3, 2023
      • Individual clients · 28 to 17
        Nov 2, 2022 to Feb 3, 2023
      • Assets in custody · $13.5M to $7.2M
        Nov 2, 2022 to Feb 3, 2023
      • Employees · 5 to 4
        Nov 2, 2022 to Feb 3, 2023
      • State-registered IARs · 4 to 3
        Nov 2, 2022 to Feb 3, 2023
      • Discretionary RAUM · $134M to $128M
        Nov 2, 2022 to Feb 3, 2023
      • HNW RAUM · $122M to $122M
        Nov 2, 2022 to Feb 3, 2023
      • Individual RAUM · $11.7M to $5.9M
        Nov 2, 2022 to Feb 3, 2023
      • RAUM · $134M to $128M
        Nov 2, 2022 to Feb 3, 2023
      • Accounts · 310 to 349
        Aug 20, 2021 to Mar 15, 2022
      • Advisory activities · 5 to 4
        Aug 20, 2021 to Mar 15, 2022
      • HNW clients · 42 to 44
        Aug 20, 2021 to Mar 15, 2022
      • Assets in custody · unset to 13471427.0
        Aug 20, 2021 to Mar 15, 2022
      • Custody of client assets · false to true
        Aug 20, 2021 to Mar 15, 2022
      • Employees · 6 to 5
        Aug 20, 2021 to Mar 15, 2022
      • Discretionary RAUM · $130M to $134M
        Aug 20, 2021 to Mar 15, 2022
      • HNW RAUM · $116M to $122M
        Aug 20, 2021 to Mar 15, 2022
      Signals
      8 dated events
      • Parkworth Wealth Management, Inc. no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $178.8M)
        Dec 20, 2025 · Left the SEC roster · derived
      • Sheac Yee Lim-Hamilton left Parkworth Wealth Management, Inc. for Savant Wealth Management (registered 2025-08-01)
        Sep 5, 2025 · Advisor changed firm · fact
      • Ian Maximilian Gonda left Parkworth Wealth Management, Inc. for Savant Wealth Management (registered 2025-08-01)
        Sep 5, 2025 · Advisor changed firm · fact
      • Bruce Richard Barton left Parkworth Wealth Management, Inc. for Savant Wealth Management (registered 2025-08-01)
        Sep 5, 2025 · Advisor changed firm · fact
      • Michal Adam Zyla left Parkworth Wealth Management, Inc. for Savant Wealth Management (registered 2025-08-01)
        Sep 5, 2025 · Advisor changed firm · fact
      • Parkworth Wealth Management, Inc.'s advisors moved to Savant Wealth Management (Los Gatos, CA): 3 of 4 registered, on the same day
        Sep 5, 2025 · Firm absorbed (people side) · derived
      • Christopher John Missirlian left Parkworth Wealth Management, Inc. for Wealth Architects, Llc (registered 2025-01-01)
        Aug 8, 2022 · Advisor changed firm · fact
      • Parkworth Wealth Management, Inc. filed its initial SEC registration (Form ADV)
        Aug 18, 2021 · 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.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026