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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Former SEC-registered adviser
M•••• F•••••••• A••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Nov 8, 2011 · 30 filings
SEC status approved since Jan 23, 2006
RAUM
$389M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
91%
$355M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$389M as of Mar 18, 2026
Mar 23, 2012$186M then
HNW client RAUM$326M as of Mar 18, 2026
Mar 7, 2018$113M then
State-registered IARs (5.B.3)1 as of Mar 18, 2026
Mar 23, 20120 then
Employees (5.A)2 as of Mar 18, 2026
Apr 1, 20134 then
Private funds: no history
RAUM -20% over the last fiscal year-1.2% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
- RAUM per advisor
- $389MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 157derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 8.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $119M, 84 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$326M84%
- Pension and profit-sharing plans$31.9M8.2%
- Individuals$29.7M7.6%
- Corporations and businesses$1.7M0.4%
- Individual clients
- 53reported
- HNW clients
- 104reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 161reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $119M for 84 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
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- C•••• B••••••• D•••• to W••••••••• A•••••••May 28, 2026 · RIA to RIA
- T•••••• C•••••• H••••••••• to L••••••• F•••••••• A•••••••• L••Jan 26, 2018 · Other
- K•••• C•••••• R••• to O•• R••• L••Feb 9, 2017 · Other
- C•••••• J• M••••• to R•• S••••••••• I•••Jan 22, 2009 · Other
Joined, latest
- C•••• B••••••• D•••• from D•••• W••••• M•••••••••Feb 1, 2018 · Other
- K•••• C•••••• R••• from C•••••• C••••••• I•••Feb 4, 2013 · Other
- C•••••• J• M••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Dec 25, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• C••••• B••••••• · Managing Member / Chief Compliance Officercontrolsince 01/2018 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Larkspur, Ca · principal | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 524 to 161Nov 26, 2025 to Mar 18, 2026
- Individual clients · 58 to 53Nov 26, 2025 to Mar 18, 2026
- Pension plan clients · 3 to 2Nov 26, 2025 to Mar 18, 2026
- Assets in custody · unset to 118775216.0Nov 26, 2025 to Mar 18, 2026
- Custody of client assets · false to trueNov 26, 2025 to Mar 18, 2026
- Discretionary RAUM · $484M to $384MNov 26, 2025 to Mar 18, 2026
- HNW RAUM · $300M to $326MNov 26, 2025 to Mar 18, 2026
- Individual RAUM · $30.8M to $29.7MNov 26, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $4.1M to $4.8MNov 26, 2025 to Mar 18, 2026
- Pension RAUM · $155M to $31.9MNov 26, 2025 to Mar 18, 2026
- RAUM · $488M to $389MNov 26, 2025 to Mar 18, 2026
- Related adviser · false to trueMar 27, 2025 to Nov 26, 2025
- Accounts · 495 to 524Mar 27, 2024 to Mar 27, 2025
- Corporate clients · unset to 2.0Mar 27, 2024 to Mar 27, 2025
- HNW clients · 96 to 104Mar 27, 2024 to Mar 27, 2025
- Individual clients · 67 to 58Mar 27, 2024 to Mar 27, 2025
- Pension plan clients · 5 to 3Mar 27, 2024 to Mar 27, 2025
- Financial planning clients · 101-250 to 101-250Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $445M to $484MMar 27, 2024 to Mar 27, 2025
- HNW RAUM · $255M to $300MMar 27, 2024 to Mar 27, 2025
- Individual RAUM · $35.5M to $30.8MMar 27, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $3.9M to $4.1MMar 27, 2024 to Mar 27, 2025
- Pension RAUM · $155M to $155MMar 27, 2024 to Mar 27, 2025
- RAUM · $448M to $488MMar 27, 2024 to Mar 27, 2025
- Accounts · 497 to 495Dec 20, 2023 to Mar 27, 2024
- Advisory employees · 2 to 1Dec 20, 2023 to Mar 27, 2024
- HNW clients · 95 to 96Dec 20, 2023 to Mar 27, 2024
- Individual clients · 68 to 67Dec 20, 2023 to Mar 27, 2024
- Pension plan clients · 6 to 5Dec 20, 2023 to Mar 27, 2024
- Employees · 3 to 2Dec 20, 2023 to Mar 27, 2024
- State-registered IARs · 2 to 1Dec 20, 2023 to Mar 27, 2024
- Discretionary RAUM · $400M to $445MDec 20, 2023 to Mar 27, 2024
- HNW RAUM · $231M to $255MDec 20, 2023 to Mar 27, 2024
- Individual RAUM · $34.5M to $35.5MDec 20, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $3.2M to $3.9MDec 20, 2023 to Mar 27, 2024
- Pension RAUM · $135M to $155MDec 20, 2023 to Mar 27, 2024
- RAUM · $403M to $448MDec 20, 2023 to Mar 27, 2024
- Accounts · 483 to 497Mar 21, 2022 to Mar 27, 2023
- HNW clients · 98 to 95Mar 21, 2022 to Mar 27, 2023
- Individual clients · 57 to 68Mar 21, 2022 to Mar 27, 2023
Signals
4 dated events
- M•••• F•••••••• A••••••• L•• no longer on the SEC adviser roster (last listed 2026-05-01, RAUM $388.8M)Jun 1, 2026 · Left the SEC roster · derived
- C•••• B••••••• D•••• left M•••• F•••••••• A••••••• L•• for W••••••••• A••••••• (registered 2026-02-11)May 28, 2026 · Advisor changed firm · fact
- Nathan David Shore (Member / Principal) no longer on Schedule A of M•••• F•••••••• A••••••• L•• (listed 2023-12-20, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- M•••• F•••••••• A••••••• L•• reported RAUM $318.1M, down 29% from $449.6M (2017-03-30 to 2018-03-07)Mar 7, 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.
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