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
S•••• W••••• M•••••••••
Legal name S•••• A•••• M••••••••• L••
Latest filing Mar 16, 2021
First filing on the tape Jul 13, 2015 · 15 filings
RAUM
$356M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
97%
$347M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$356M as of Mar 16, 2021
Mar 10, 2016$154M then
HNW client RAUM$37.5M as of Mar 16, 2021
Mar 21, 2018$172M then
State-registered IARs (5.B.3)4 as of Mar 16, 2021
Mar 10, 20164 then
Employees (5.A)5 as of Mar 16, 2021
Mar 10, 20166 then
Private funds: no history
RAUM +26% over the last fiscal year+19% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 16, 2021; every figure names its basis
- RAUM per advisor
- $89.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 86derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $187,628derivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.9%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 consulting, selection of other advisersreportedItem 5.G
- Custody
- $760,000, 2 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)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$309M87%
- High-net-worth individuals$37.5M11%
- Pension and profit-sharing plans$9.5M2.7%
- Individual clients
- 142reported
- HNW clients
- 200reported
- Pension plan clients
- 7reported
- Charitable clients
- n/areported
- Accounts
- 344reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $760,000 for 2 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
Left, latest
- G•••••• D••••• S••••• to W••••• C•••• W••••• M••••••••• I•••Aug 18, 2021 · RIA to RIA
- M••• W•••••• S•••• to S•• F•••••••• A•••••••Aug 18, 2021 · Other
- R•••••• G•••• to A••••••• F••••••••• L•••Aug 18, 2021 · RIA to RIA
- B•••••• N••••• H••••••• to A••••••• F••••••••• L•••Aug 18, 2021 · RIA to RIA
- I•• H••••• F•••••• to S•• F•••••••• A•••••••• L•••Jan 16, 2018 · RIA to RIA
Joined, latest
- R•••••• G•••• from B•••••• W••••• A•••••••• L••Nov 14, 2016 · Other
- G•••••• D••••• S••••• from W•••••• • R•••Aug 8, 2016 · Other
- I•• H••••• F•••••• from B•••••••• I•••Jul 6, 2015 · Other
- M••• W•••••• S•••• from N•••••••• B••••• B• L••Oct 12, 2005 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for A••••••• F••••••••• L•••Aug 18, 2021 · Walnut Creek, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• M•••• W•••••• · Manager/Chief Compliance Officercontrolsince 05/2005 · owns 75% or more
Related persons
Schedule D 7.A
- Angeles Investment Advisorsinvestment advisernRAUM $7.3B
- C••••• A••••••••• C•••••••••insurancen
- C•••••• C•••••• A•• A•••••••• L••insurancen
Offices
Schedule D 1.F, the 25 largest
- Pleasant Hill, CA2 employees
What changed
consecutive filings, newest first
- Accounts · 830 to 344Jun 3, 2020 to Mar 16, 2021
- HNW clients · 95 to 200Jun 3, 2020 to Mar 16, 2021
- Individual clients · 225 to 142Jun 3, 2020 to Mar 16, 2021
- Pension plan clients · 5 to 7Jun 3, 2020 to Mar 16, 2021
- Assets in custody · $999,912 to $760,000Jun 3, 2020 to Mar 16, 2021
- Discretionary RAUM · $278M to $347MJun 3, 2020 to Mar 16, 2021
- HNW RAUM · $209M to $37.5MJun 3, 2020 to Mar 16, 2021
- Individual RAUM · $69.8M to $309MJun 3, 2020 to Mar 16, 2021
- Non-discretionary RAUM · $5.2M to $9.5MJun 3, 2020 to Mar 16, 2021
- Pension RAUM · $5.2M to $9.5MJun 3, 2020 to Mar 16, 2021
- RAUM · $283M to $356MJun 3, 2020 to Mar 16, 2021
- Accounts · 850 to 830Mar 21, 2019 to Mar 18, 2020
- HNW clients · 88 to 95Mar 21, 2019 to Mar 18, 2020
- Individual clients · 206 to 225Mar 21, 2019 to Mar 18, 2020
- Assets in custody · unset to 999912.0Mar 21, 2019 to Mar 18, 2020
- Custody of client assets · false to trueMar 21, 2019 to Mar 18, 2020
- Discretionary RAUM · $225M to $278MMar 21, 2019 to Mar 18, 2020
- HNW RAUM · $171M to $209MMar 21, 2019 to Mar 18, 2020
- Individual RAUM · $54.1M to $69.8MMar 21, 2019 to Mar 18, 2020
- Non-discretionary RAUM · $4.4M to $5.2MMar 21, 2019 to Mar 18, 2020
- Pension RAUM · $4.4M to $5.2MMar 21, 2019 to Mar 18, 2020
- RAUM · $229M to $283MMar 21, 2019 to Mar 18, 2020
- Business name · SHONE ASSET MANAGEMENT LLC to SHONE WEALTH MANAGEMENTMar 18, 2020 to Mar 18, 2020
- Accounts · 739 to 850Mar 21, 2018 to Mar 21, 2019
- Advisory employees · 3 to 4Mar 21, 2018 to Mar 21, 2019
- HNW clients · 153 to 88Mar 21, 2018 to Mar 21, 2019
- Individual clients · 47 to 206Mar 21, 2018 to Mar 21, 2019
- Pension plan clients · 4 to 5Mar 21, 2018 to Mar 21, 2019
- Employees · 4 to 5Mar 21, 2018 to Mar 21, 2019
- State-registered IARs · 3 to 4Mar 21, 2018 to Mar 21, 2019
- Discretionary RAUM · $207M to $225MMar 21, 2018 to Mar 21, 2019
- HNW RAUM · $172M to $171MMar 21, 2018 to Mar 21, 2019
- Individual RAUM · $34.6M to $54.1MMar 21, 2018 to Mar 21, 2019
- Non-discretionary RAUM · $4.2M to $4.4MMar 21, 2018 to Mar 21, 2019
- Pension RAUM · $4.2M to $4.4MMar 21, 2018 to Mar 21, 2019
- RAUM · $211M to $229MMar 21, 2018 to Mar 21, 2019
- Accounts · 663 to 739Nov 3, 2017 to Mar 21, 2018
- Advisory employees · 5 to 3Nov 3, 2017 to Mar 21, 2018
- HNW clients · 140 to 153Nov 3, 2017 to Mar 21, 2018
- Individual clients · 20 to 47Nov 3, 2017 to Mar 21, 2018
Signals
1 dated events
- Shone Asset Management Llc filed its initial SEC registration (Form ADV)Jul 13, 2015 · 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