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
P••••• F•••••••• C•••••••••
Latest filing May 12, 2026
First filing on the tape Mar 30, 2012 · 32 filings
SEC status approved since Jun 1, 2005
RAUM
$683M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
9.0%
$61.7M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$228M
derived; firm RAUM over IAPD count
Employees
10
5 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$683M as of May 12, 2026
Mar 30, 2012$1.1B then
HNW client RAUM$4.5M as of May 12, 2026
Mar 30, 2018$31.4M then
State-registered IARs (5.B.3)2 as of May 12, 2026
Mar 27, 20134 then
Employees (5.A)10 as of May 12, 2026
Mar 27, 20139 then
Private funds: no history
RAUM -14% over the last fiscal year-4.6% a year over threeIARs 3 to 2
Practice profile
derived from the filing of May 12, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- RAUM per advisor
- $228MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 8derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $891,860derivedHNW RAUM over HNW clients
- Average account
- $13.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 91%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$613M90%
- Individuals$57.3M8.4%
- Charitable organizations$7.2M1.1%
- High-net-worth individuals$4.5M0.7%
- Corporations and businesses$278,3500.0%
- Individual clients
- 18reported
- HNW clients
- 5reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 52reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.09 fund_share=0.0 institutional_share=0.91 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• M•••• W••••••Chartered Financial Analyst | Santa Monica, Ca | Mar 5, 2025 | 13 y | 0 |
| W•••••• F•••• K•• S•••••Certified Financial Planner, Chartered Financial Analyst | Alameda, Ca | Dec 5, 2025 | 31 y | 2 |
| J•••• A••••• M•••••Chartered Financial Analyst | Alameda, Ca | Dec 22, 2025 | 29 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 headcount1 left over 36 months
Left, latest
- S•••••• L•• B•••• to E•••••••• W••••• P•••••••• L••Feb 15, 2024 · RIA to RIA
Joined, latest
- W•••••• F•••• K•• S••••• from A•••• A••••••• G••••• L••Dec 5, 2025 · Other
- S•••••• L•• B•••• from B•• I••• F•••••••• L••Jan 13, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• Y••••••• W••••••• · Presidentcontrolsince 10/2021 · owns 5% to 10%
- S•••••• W••••••• F•••• K•• · Ceo, Cfo And Directorcontrolsince 03/2005 · owns 50% to 75%
- C•••• F••••••• K• · Chief Compliance Officersince 03/2009 · owns less than 5%
- G••••••• K••••• F•••••• · Principalsince 01/2012 · owns 5% to 10%
- M•••••• J••••• A••••• · Portfolio Managersince 03/2005 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Alameda, Ca · principal | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 54 to 52Mar 30, 2026 to Apr 23, 2026
- Advisory employees · 4 to 5Mar 30, 2026 to Apr 23, 2026
- HNW clients · 6 to 5Mar 30, 2026 to Apr 23, 2026
- Individual clients · 19 to 18Mar 30, 2026 to Apr 23, 2026
- Employees · 8 to 10Mar 30, 2026 to Apr 23, 2026
- Discretionary RAUM · $827M to $683MMar 30, 2026 to Apr 23, 2026
- HNW RAUM · $4.8M to $4.5MMar 30, 2026 to Apr 23, 2026
- Individual RAUM · $59.3M to $57.3MMar 30, 2026 to Apr 23, 2026
- RAUM · $827M to $683MMar 30, 2026 to Apr 23, 2026
- Accounts · 40 to 54Mar 24, 2025 to Mar 30, 2026
- Advisory activities · 3 to 2Mar 24, 2025 to Mar 30, 2026
- HNW clients · 5 to 6Mar 24, 2025 to Mar 30, 2026
- Individual clients · 20 to 19Mar 24, 2025 to Mar 30, 2026
- Pooled vehicle clients · 1 to 0Mar 24, 2025 to Mar 30, 2026
- State-registered IARs · 3 to 2Mar 24, 2025 to Mar 30, 2026
- Discretionary RAUM · $793M to $827MMar 24, 2025 to Mar 30, 2026
- HNW RAUM · $5.5M to $4.8MMar 24, 2025 to Mar 30, 2026
- Individual RAUM · $54.3M to $59.3MMar 24, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $38.1M to $0Mar 24, 2025 to Mar 30, 2026
- RAUM · $793M to $827MMar 24, 2025 to Mar 30, 2026
- Accounts · 56 to 40Sep 19, 2024 to Mar 24, 2025
- Corporate clients · 0 to 1Sep 19, 2024 to Mar 24, 2025
- HNW clients · 11 to 5Sep 19, 2024 to Mar 24, 2025
- Individual clients · 31 to 20Sep 19, 2024 to Mar 24, 2025
- Financial planning clients · 0 to 0Sep 19, 2024 to Mar 24, 2025
- State-registered IARs · 2 to 3Sep 19, 2024 to Mar 24, 2025
- Discretionary RAUM · $829M to $793MSep 19, 2024 to Mar 24, 2025
- HNW RAUM · $7.6M to $5.5MSep 19, 2024 to Mar 24, 2025
- Individual RAUM · $53.3M to $54.3MSep 19, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $38.9M to $38.1MSep 19, 2024 to Mar 24, 2025
- RAUM · $829M to $793MSep 19, 2024 to Mar 24, 2025
- Accounts · 69 to 56Mar 27, 2024 to Sep 19, 2024
- Advisory activities · 4 to 3Mar 27, 2024 to Sep 19, 2024
- Charity clients · 2 to 1Mar 27, 2024 to Sep 19, 2024
- HNW clients · 8 to 11Mar 27, 2024 to Sep 19, 2024
- Individual clients · 44 to 31Mar 27, 2024 to Sep 19, 2024
- Discretionary RAUM · $796M to $829MMar 27, 2024 to Sep 19, 2024
- HNW RAUM · $5.7M to $7.6MMar 27, 2024 to Sep 19, 2024
- Individual RAUM · $55.4M to $53.3MMar 27, 2024 to Sep 19, 2024
- Pooled vehicle RAUM · $37.9M to $38.9MMar 27, 2024 to Sep 19, 2024
Signals
3 dated events
- S•••••• L•• B•••• left P••••• F•••••••• C••••••••• for E•••••••• W••••• P•••••••• L•• (registered 2023-10-11)Feb 15, 2024 · Advisor changed firm · fact
- Waggoner Yolanda Foreman (President) appeared on Schedule A of P••••• F•••••••• C•••••••••Oct 11, 2021 · Control person joined · fact
- P••••• F•••••••• C••••••••• reported RAUM $1.3B, down 25% from $1.7B (2017-03-31 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
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
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 510-523-5800reportedpublic record, Form ADV, May 12, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $228Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026