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.
SEC-registered adviser
North Berkeley Wealth Management, LLC
Latest filing Mar 19, 2026
First filing on the tape Mar 30, 2012 · 30 filings
SEC status approved since Aug 10, 2005
RAUM
$830M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
97%
$805M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$69.1M
derived; firm RAUM over IAPD count
Employees
16
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$830M as of Mar 19, 2026
Mar 30, 2012$247M then
HNW client RAUM$714M as of Mar 19, 2026
Mar 14, 2018$257M then
State-registered IARs (5.B.3)13 as of Mar 19, 2026
Mar 30, 20120 then
Employees (5.A)16 as of Mar 19, 2026
Mar 25, 201310 then
Private funds: no history
RAUM +17% over the last fiscal year+18% a year over threeIARs 11 to 13offices 0 to 1
Practice profile
derived from the filing of Mar 19, 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
- Independent 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
- $69.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $552,433derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 6.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +18%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $180M, 143 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$714M86%
- Individuals$91.1M11%
- Charitable organizations$12.8M1.5%
- Pension and profit-sharing plans$12.3M1.5%
- Individual clients
- 181reported
- HNW clients
- 220reported
- Pension plan clients
- 3reported
- Charitable clients
- 7reported
- Accounts
- 1,502reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $180M for 143 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Katherine Campbell KingCertified Financial Planner | Berkeley, Ca | May 27, 2014 | 32 y | 2 |
| Samuel James Wood-BednarzCertified Financial Planner | Berkeley, Ca | Jun 30, 2015 | 13 y | 0 |
| Brian Thomas KozelCertified Financial Planner | Berkeley, Ca | Nov 12, 2015 | 15 y | 0 |
| Matthew John GattCertified Financial Planner | Berkeley, Ca | Oct 4, 2016 | 10 y | 0 |
| Daniel Francis Nakahara | Berkeley, Ca | Feb 15, 2017 | 11 y | 0 |
| Jennifer Ann ReganCertified Financial Planner | Olympia, Wa | Oct 31, 2019 | 10 y | 0 |
| Ariana AlisjahbanaCertified Financial Planner | Berkeley, Ca | Jul 7, 2022 | 9 y | 0 |
| Debra Anne Ellisen | Berkeley, Ca | Jan 1, 2025 | 24 y | 0 |
| Maria Quintana-PillingChartered Financial Analyst | Berkeley, Ca | Feb 3, 2025 | 16 y | 0 |
| Stephanie Michelle Nehmens | Berkeley, Ca | Jun 2, 2025 | 14 y | 0 |
| Kim Berger | Berkeley, Ca | Jul 31, 2025 | 13 y | 0 |
| Cagatay Koc | Berkeley, Ca | Jan 20, 2026 | 12 y | 1 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 8.3% of current headcount2 left over 36 months
Left, latest
- Daniel Jeremi Smyth to MarinerMar 18, 2026 · RIA to affiliated broker-dealer or bank
- Carmetta Jernicee Joyner to Joyner Financial Planning LLCOct 8, 2024 · RIA to a state-registered adviser
- Krystal D Fortner to Krystal FortnerMay 25, 2023 · RIA to a state-registered adviser
- Sarah Green to Farm Girl Capital LLCNov 29, 2021 · RIA to a state-registered adviser
- Luke Benjamin Neumann to Crestwood AdvisorsJan 3, 2018 · Other
Joined, latest
- Cagatay Koc from Strategic Wealth PlanningJan 20, 2026 · RIA to RIA
- Krystal D Fortner from Brighton Jones LLCAug 4, 2021 · RIA to RIA
- Sarah Green from Transformative Wealth Management LLCJun 14, 2019 · Other
- Katherine Campbell King from Protected Investors Of AmericaSep 29, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Campbell Katherine King · Managing Member; Chief Compliance Officercontrolsince 07/2005 · owns 50% to 75%
- Thomas Brian Kozel · Managing Membercontrolsince 01/2017 · owns 25% to 50%
- James Samuel Wood-Bednarz · Managing Membercontrolsince 01/2021 · 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 |
|---|---|---|---|---|---|
| Berkeley, Ca · principal | 12 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,482 to 1,502Dec 9, 2025 to Mar 19, 2026
- Advisory employees · 8 to 11Dec 9, 2025 to Mar 19, 2026
- Charity clients · unset to 7.0Dec 9, 2025 to Mar 19, 2026
- HNW clients · 193 to 220Dec 9, 2025 to Mar 19, 2026
- Individual clients · 198 to 181Dec 9, 2025 to Mar 19, 2026
- Pension plan clients · unset to 3.0Dec 9, 2025 to Mar 19, 2026
- Assets in custody · $3.9M to $180MDec 9, 2025 to Mar 19, 2026
- State-registered IARs · 11 to 13Dec 9, 2025 to Mar 19, 2026
- Other offices · 0 to 1Dec 9, 2025 to Mar 19, 2026
- Discretionary RAUM · $682M to $807MDec 9, 2025 to Mar 19, 2026
- HNW RAUM · $592M to $714MDec 9, 2025 to Mar 19, 2026
- Individual RAUM · $105M to $91.1MDec 9, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $28.3M to $23.0MDec 9, 2025 to Mar 19, 2026
- Pension RAUM · $7.7M to $12.3MDec 9, 2025 to Mar 19, 2026
- RAUM · $711M to $830MDec 9, 2025 to Mar 19, 2026
- Financial planning clients · 0 to 0Mar 24, 2025 to Jul 14, 2025
- Accounts · 1,465 to 1,482Sep 17, 2024 to Mar 24, 2025
- Advisory employees · 9 to 8Sep 17, 2024 to Mar 24, 2025
- Charity clients · 6.0 to unsetSep 17, 2024 to Mar 24, 2025
- HNW clients · 230 to 193Sep 17, 2024 to Mar 24, 2025
- Individual clients · 146 to 198Sep 17, 2024 to Mar 24, 2025
- Assets in custody · $252,000 to $3.9MSep 17, 2024 to Mar 24, 2025
- Employees · 15 to 16Sep 17, 2024 to Mar 24, 2025
- State-registered IARs · 12 to 11Sep 17, 2024 to Mar 24, 2025
- Discretionary RAUM · $602M to $682MSep 17, 2024 to Mar 24, 2025
- HNW RAUM · $547M to $592MSep 17, 2024 to Mar 24, 2025
- Individual RAUM · $45.8M to $105MSep 17, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $11.2M to $28.3MSep 17, 2024 to Mar 24, 2025
- Pension RAUM · $8.6M to $7.7MSep 17, 2024 to Mar 24, 2025
- RAUM · $613M to $711MSep 17, 2024 to Mar 24, 2025
- Individual clients · 131,146 to 146Mar 13, 2024 to Sep 17, 2024
- Accounts · 1,370 to 1,465Mar 20, 2023 to Mar 13, 2024
- Charity clients · 8 to 6Mar 20, 2023 to Mar 13, 2024
- HNW clients · 211 to 230Mar 20, 2023 to Mar 13, 2024
- Individual clients · 131 to 131,146Mar 20, 2023 to Mar 13, 2024
- Pension plan clients · 3.0 to unsetMar 20, 2023 to Mar 13, 2024
- Assets in custody · unset to 252000.0Mar 20, 2023 to Mar 13, 2024
- Custody of client assets · false to trueMar 20, 2023 to Mar 13, 2024
- Discretionary RAUM · $491M to $602MMar 20, 2023 to Mar 13, 2024
- HNW RAUM · $448M to $547MMar 20, 2023 to Mar 13, 2024
Signals
5 dated events
- Daniel Jeremi Smyth left North Berkeley Wealth Management, Llc for Mariner (registered 2026-03-17)Mar 18, 2026 · Advisor changed firm · fact
- Carmetta Jernicee Joyner left North Berkeley Wealth Management, Llc for Joyner Financial Planning Llc (registered 2025-07-09)Oct 8, 2024 · Advisor changed firm · fact
- Krystal D Fortner left North Berkeley Wealth Management, Llc for Krystal Fortner (registered 2023-09-25)May 25, 2023 · Advisor changed firm · fact
- James Samuel Wood-Bednarz (Member) appeared on Schedule A of North Berkeley Wealth Management, LlcMar 30, 2021 · Control person joined · fact
- North Berkeley Wealth Management, Llc reported RAUM $431.8M, up 35% from $318.9M (2020-01-08 to 2020-01-28)Jan 28, 2020 · 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
- Business phone
- 510-528-0711reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 510-528-5820reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/north-berkeley-wealthreportedpublic record, Form ADV, Sep 17, 2026
- Website
- northberkeleywealth.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 510-528-5820reportedpublic record, Form ADV, Mar 19, 2026
- Contact form
- northberkeleywealth.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- northberkeleywealth.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $69.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026