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

Yellowbrickroad Financial Advisors, LLC

Former SEC-registered adviserCorte Madera, CaliforniaCRD 134209SEC 801-72467IAPD
Latest filing Mar 26, 2019
First filing on the tape Dec 23, 2011 · 29 filings
RAUM
$266M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$266M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
29 filings and snapshots on the tape
RAUM$266M as of Mar 26, 2019
Mar 23, 2012$198M then
HNW client RAUM$204M as of Mar 26, 2019
Mar 20, 2018$206M then
State-registered IARs (5.B.3)2 as of Mar 26, 2019
Mar 23, 20120 then
Employees (5.A)8 as of Mar 26, 2019
Mar 4, 20134 then
Private funds: no history
RAUM +1.2% over the last fiscal year+8.0% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Mar 26, 2019; every figure names its basis
RAUM per advisor
$133MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
125derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$243,721derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+1.2%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
-6.4%derived
Compensation
percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$66.2M, 93 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$204M77%
  • Individuals$62.0M23%
  • Pension and profit-sharing plans$385,3920.1%
Individual clients
171reported
HNW clients
79reported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
1,091reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$66.2M for 93 clientsreported
Compensation
% of AUM, fixed, hourly, performancereported
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
Left, latest
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
    • Stephen John Ohmer · Sole And Managing Member/Chief Compliance Officercontrol
      since 06/2003 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 249 to 1,091
      Nov 19, 2018 to Mar 26, 2019
    • HNW clients · 81 to 79
      Nov 19, 2018 to Mar 26, 2019
    • Individual clients · 186 to 171
      Nov 19, 2018 to Mar 26, 2019
    • Pension plan clients · unset to 1.0
      Nov 19, 2018 to Mar 26, 2019
    • Assets in custody · $79.6M to $66.2M
      Nov 19, 2018 to Mar 26, 2019
    • Discretionary RAUM · $263M to $265M
      Nov 19, 2018 to Mar 26, 2019
    • HNW RAUM · $206M to $204M
      Nov 19, 2018 to Mar 26, 2019
    • Individual RAUM · $56.5M to $62.0M
      Nov 19, 2018 to Mar 26, 2019
    • Non-discretionary RAUM · $0 to $837,221
      Nov 19, 2018 to Mar 26, 2019
    • Pension RAUM · unset to 385392.0
      Nov 19, 2018 to Mar 26, 2019
    • RAUM · $263M to $266M
      Nov 19, 2018 to Mar 26, 2019
    • Advisory activities · 3 to 2
      Jul 2, 2018 to Nov 19, 2018
    • Advisory employees · 5 to 4
      Jun 22, 2018 to Jul 2, 2018
    • Employees · 9 to 8
      Jun 22, 2018 to Jul 2, 2018
    • State-registered IARs · 3 to 2
      Jun 22, 2018 to Jul 2, 2018
    • HQ city · SAN FRANCISCO to CORTE MADERA
      Mar 20, 2018 to Jun 22, 2018
    • Accounts · 990 to 249
      Sep 26, 2017 to Mar 20, 2018
    • Advisory employees · 6 to 5
      Sep 26, 2017 to Mar 20, 2018
    • HNW clients · unset to 81.0
      Sep 26, 2017 to Mar 20, 2018
    • Individual clients · unset to 186.0
      Sep 26, 2017 to Mar 20, 2018
    • Assets in custody · $22.6M to $79.6M
      Sep 26, 2017 to Mar 20, 2018
    • Custody of client assets · false to true
      Sep 26, 2017 to Mar 20, 2018
    • Employees · 10 to 9
      Sep 26, 2017 to Mar 20, 2018
    • State-registered IARs · 4 to 3
      Sep 26, 2017 to Mar 20, 2018
    • Other offices · unset to 0.0
      Sep 26, 2017 to Mar 20, 2018
    • Discretionary RAUM · $232M to $263M
      Sep 26, 2017 to Mar 20, 2018
    • HNW RAUM · unset to 206394427.0
      Sep 26, 2017 to Mar 20, 2018
    • Individual RAUM · unset to 56468550.0
      Sep 26, 2017 to Mar 20, 2018
    • RAUM · $232M to $263M
      Sep 26, 2017 to Mar 20, 2018
    • Assets in custody · $16.2M to $22.6M
      Mar 13, 2017 to Mar 18, 2017
    • Accounts · 920 to 990
      Jan 13, 2017 to Mar 13, 2017
    • Discretionary RAUM · $211M to $232M
      Jan 13, 2017 to Mar 13, 2017
    • RAUM · $211M to $232M
      Jan 13, 2017 to Mar 13, 2017
    • Advisory employees · 5 to 6
      Sep 1, 2016 to Nov 28, 2016
    • Employees · 9 to 10
      Sep 1, 2016 to Nov 28, 2016
    • Advisory employees · 4 to 5
      May 26, 2016 to Jun 22, 2016
    • Employees · 8 to 9
      May 26, 2016 to Jun 22, 2016
    • Accounts · 928 to 920
      Mar 11, 2015 to Mar 10, 2016
    • Assets in custody · $11.8M to $16.2M
      Mar 11, 2015 to Mar 10, 2016
    • Employees · 9 to 8
      Mar 11, 2015 to Mar 10, 2016
    Signals
    No event on the tape.
    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