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
A•••••••• B•••• •••• I•••
Legal name A•••••••• B•••• ••••• I•••
Latest filing May 22, 2026
First filing on the tape Dec 23, 2020 · 17 filings
SEC status approved since Feb 19, 2021
RAUM
$48.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$48.9M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$24.4M
derived; firm RAUM over IAPD count
Employees
3
2 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$48.9M as of May 22, 2026
Mar 29, 2022$51.2M then
HNW client RAUM$26.6M as of May 22, 2026
Mar 29, 2022$21.8M then
State-registered IARs (5.B.3)2 as of May 22, 2026
Mar 29, 20222 then
Employees (5.A)3 as of May 22, 2026
Mar 29, 20223 then
Private funds: no history
RAUM +22% over the last fiscal year+5.3% a year over threeIARs 2 to 2
Practice profile
derived from the filing of May 22, 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
- i••••••••• 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
- $24.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $542,796derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 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
- High-net-worth individuals$26.6M54%
- Individuals$22.3M46%
- Individual clients
- 58reported
- HNW clients
- 17reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 90reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• A•••••• J•••• | San Mateo, Ca | Jan 8, 2019 | 13 y | 1 |
| M•••••• J••• E•••••• | San Mateo, Ca | Jan 10, 2019 | 27 y | 4 |
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
- S•••• A••• S••••••• to E••••••••• I•••Nov 29, 2021 · RIA to a newly registered adviser
- G•• E••••• B•••• to T•• E•••••••• A•••• M••••••••• S•••••••• I•••Feb 8, 2017 · Other
- S•••• A••• S••••••• to C••••• G••• I•••Jul 12, 2009 · Other
Joined, latest
- M••• A•••••• J•••• from B•••• A••••••• U••• I•••Jan 8, 2019 · Other
- M•••••• J••• E•••••• from N••••••• R••••••••• S•••••••• I•••Nov 1, 2018 · Other
- S•••• A••• S••••••• from I••••••••• A•••• M•••••••••Jan 25, 2017 · RIA to RIA
- G•• E••••• B•••• from I••••••••• F•••••••• G••••• L••May 11, 2012 · Other
- S•••• A••• S••••••• from S•• F•••••••• A•••••••Jul 14, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• P•••• D•••••• · President/Chief Compliance Officercontrolsince 01/2021 · owns 75% or more
- B••••• P•••• D•••••• · President/Chief Compliance Officercontrolsince 02/2004 · owns 75% or more of A•••••••• B•••• G•••• O• C•••••••• L••
Entity owners
- A•••••••• B•••• G•••• O• C•••••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- A•••••••• B•••• ••••••••• P•• L••investment advisern
- A•••••••• B•••• ••••••• S••investment advisern
- A•••••••• B•••• ••••• A•••••• P•• L••••••investment advisern
- A•••••••• B•••• G••••• S••••••• L••••••investment advisern
- A•••••••• B•••• I••••••••• B••••••• B•••investment advisern
- A•••••••• B•••• I••••••••• M••••••••• L•••investment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Mateo, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San Mateo, CA2 employees
What changed
consecutive filings, newest first
- Accounts · 75 to 90Mar 31, 2025 to Mar 27, 2026
- HNW clients · 16 to 17Mar 31, 2025 to Mar 27, 2026
- Individual clients · 51 to 58Mar 31, 2025 to Mar 27, 2026
- Discretionary RAUM · $39.9M to $48.9MMar 31, 2025 to Mar 27, 2026
- HNW RAUM · $22.7M to $26.6MMar 31, 2025 to Mar 27, 2026
- Individual RAUM · $17.2M to $22.3MMar 31, 2025 to Mar 27, 2026
- RAUM · $39.9M to $48.9MMar 31, 2025 to Mar 27, 2026
- Accounts · 82 to 75Oct 30, 2024 to Mar 31, 2025
- Business name · A•••••••• B•••• ••••• I••• to A•••••••• B•••• •••• I•••Oct 30, 2024 to Mar 31, 2025
- Individual clients · 58 to 51Oct 30, 2024 to Mar 31, 2025
- Pension plan clients · 2 to 0Oct 30, 2024 to Mar 31, 2025
- Financial planning clients · unset to Oct 30, 2024 to Mar 31, 2025
- HQ state · unset to Oct 30, 2024 to Mar 31, 2025
- Discretionary RAUM · $43.6M to $39.9MOct 30, 2024 to Mar 31, 2025
- HNW RAUM · $22.3M to $22.7MOct 30, 2024 to Mar 31, 2025
- Individual RAUM · $17.9M to $17.2MOct 30, 2024 to Mar 31, 2025
- Pension RAUM · $3.4M to $0Oct 30, 2024 to Mar 31, 2025
- RAUM · $43.6M to $39.9MOct 30, 2024 to Mar 31, 2025
- Accounts · 86 to 82Mar 30, 2023 to Mar 27, 2024
- HNW clients · 17 to 16Mar 30, 2023 to Mar 27, 2024
- Individual clients · 57 to 58Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $41.8M to $43.6MMar 30, 2023 to Mar 27, 2024
- HNW RAUM · $21.2M to $22.3MMar 30, 2023 to Mar 27, 2024
- Individual RAUM · $17.3M to $17.9MMar 30, 2023 to Mar 27, 2024
- Pension RAUM · $3.3M to $3.4MMar 30, 2023 to Mar 27, 2024
- RAUM · $41.8M to $43.6MMar 30, 2023 to Mar 27, 2024
- Accounts · 75 to 86Nov 3, 2022 to Mar 30, 2023
- Individual clients · 56 to 57Nov 3, 2022 to Mar 30, 2023
- Discretionary RAUM · $48.1M to $41.8MNov 3, 2022 to Mar 30, 2023
- HNW RAUM · $21.8M to $21.2MNov 3, 2022 to Mar 30, 2023
- Individual RAUM · $26.4M to $17.3MNov 3, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $3.1M to $0Nov 3, 2022 to Mar 30, 2023
- Pension RAUM · $3.1M to $3.3MNov 3, 2022 to Mar 30, 2023
- RAUM · $51.2M to $41.8MNov 3, 2022 to Mar 30, 2023
- Accounts · 100 to 75Nov 24, 2021 to Mar 29, 2022
- Advisory employees · 4 to 2Nov 24, 2021 to Mar 29, 2022
- Charity clients · unset to 0.0Nov 24, 2021 to Mar 29, 2022
- Corporate clients · unset to 0.0Nov 24, 2021 to Mar 29, 2022
- HNW clients · 78 to 17Nov 24, 2021 to Mar 29, 2022
- Individual clients · unset to 56.0Nov 24, 2021 to Mar 29, 2022
Signals
1 dated events
- A•••••••• B•••• ••••• L•• filed its initial SEC registration (Form ADV)Dec 23, 2020 · 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
- Business email
- i•••@a••.netreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- i••••@a••.netreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 905-286-5894reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 983-911-9370reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 650-684-0450reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- a••.netreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 650-684-0450reportedpublic record, Form ADV, May 22, 2026
- Contact form
- a••.netreportedpublished by the firm, firm site, Sep 16, 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
- $24.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026