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
R••••••••• C•••••• S••••••••• I•••
Latest filing Apr 21, 2026
First filing on the tape Feb 24, 2012 · 32 filings
SEC status approved since Jan 4, 2010
RAUM
$305M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$299M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$153M
derived; firm RAUM over IAPD count
Employees
6
2 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$305M as of Apr 21, 2026
Feb 24, 2012$140M then
HNW client RAUM$219M as of Apr 21, 2026
Mar 29, 2018$83.5M then
State-registered IARs (5.B.3)2 as of Apr 21, 2026
Feb 24, 20120 then
Employees (5.A)6 as of Apr 21, 2026
Mar 6, 20138 then
Private funds: no history
RAUM +3.3% over the last fiscal year+8.9% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 21, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $153MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 131derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $486,694derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$219M72%
- Individuals$79.7M26%
- Corporations and businesses$5.9M1.9%
- Charitable organizations$600,6110.2%
- Individual clients
- 197reported
- HNW clients
- 64reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 627reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 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 |
|---|---|---|---|---|
| E•••• S••• A••••••••• | San Jose, Ca | Jan 16, 2025 | 10 y | 0 |
| T••••• E••• V•••••• | San Jose, Ca | Jan 6, 2026 | 36 y | 2 |
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
- K••• D•••••• K••••••• to S•••••••• W••••• A••••••• G••••Jan 27, 2010 · Other
Joined, latest
- K••• D•••••• K••••••• from L•• F•••••••• L••Apr 19, 2006 · Other
- T••••• E••• V•••••• from L•• F•••••••• L••Apr 19, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••• C••••••• E•••••••• · Directorcontrolsince 06/2020 · owns less than 5%
- V••••••• T••••••• L•••• · Chief Compliance Officercontrolsince 05/2018 · owns less than 5%
- V••••••• T•••••• E••• · Ceo/Presidentcontrolsince 10/2017 · 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 |
|---|---|---|---|---|---|
| San Jose, Ca · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 655 to 627Mar 20, 2025 to Mar 31, 2026
- HNW clients · 63 to 64Mar 20, 2025 to Mar 31, 2026
- Individual clients · 210 to 197Mar 20, 2025 to Mar 31, 2026
- Discretionary RAUM · $296M to $305MMar 20, 2025 to Mar 31, 2026
- HNW RAUM · $195M to $219MMar 20, 2025 to Mar 31, 2026
- Individual RAUM · $94.3M to $79.7MMar 20, 2025 to Mar 31, 2026
- RAUM · $296M to $305MMar 20, 2025 to Mar 31, 2026
- Accounts · 666 to 655Mar 29, 2024 to Mar 20, 2025
- HNW clients · 66 to 63Mar 29, 2024 to Mar 20, 2025
- Individual clients · 214 to 210Mar 29, 2024 to Mar 20, 2025
- Financial planning clients · 51-100 to 51-100Mar 29, 2024 to Mar 20, 2025
- Discretionary RAUM · $265M to $296MMar 29, 2024 to Mar 20, 2025
- HNW RAUM · $172M to $195MMar 29, 2024 to Mar 20, 2025
- Individual RAUM · $87.9M to $94.3MMar 29, 2024 to Mar 20, 2025
- RAUM · $265M to $296MMar 29, 2024 to Mar 20, 2025
- Accounts · 702 to 666Aug 2, 2023 to Mar 29, 2024
- HNW clients · 55 to 66Aug 2, 2023 to Mar 29, 2024
- Individual clients · 252 to 214Aug 2, 2023 to Mar 29, 2024
- Discretionary RAUM · $236M to $265MAug 2, 2023 to Mar 29, 2024
- HNW RAUM · $136M to $172MAug 2, 2023 to Mar 29, 2024
- Individual RAUM · $95.2M to $87.9MAug 2, 2023 to Mar 29, 2024
- RAUM · $236M to $265MAug 2, 2023 to Mar 29, 2024
- State-registered IARs · 3 to 2Dec 6, 2022 to Jan 30, 2023
- Accounts · 664 to 702Dec 6, 2022 to Jan 30, 2023
- Advisory employees · 3 to 2Dec 6, 2022 to Jan 30, 2023
- HNW clients · 70 to 55Dec 6, 2022 to Jan 30, 2023
- Individual clients · 225 to 252Dec 6, 2022 to Jan 30, 2023
- Employees · 7 to 6Dec 6, 2022 to Jan 30, 2023
- Discretionary RAUM · $296M to $236MDec 6, 2022 to Jan 30, 2023
- HNW RAUM · $197M to $136MDec 6, 2022 to Jan 30, 2023
- Individual RAUM · $92.5M to $95.2MDec 6, 2022 to Jan 30, 2023
- RAUM · $296M to $236MDec 6, 2022 to Jan 30, 2023
- Accounts · 598 to 664Mar 30, 2021 to Mar 22, 2022
- HNW clients · 59 to 70Mar 30, 2021 to Mar 22, 2022
- Individual clients · 224 to 225Mar 30, 2021 to Mar 22, 2022
- Employees · 9 to 7Mar 30, 2021 to Mar 22, 2022
- Financial planning clients · 26-50 to 51-100Mar 30, 2021 to Mar 22, 2022
- Discretionary RAUM · $273M to $296MMar 30, 2021 to Mar 22, 2022
- HNW RAUM · $166M to $197MMar 30, 2021 to Mar 22, 2022
- Individual RAUM · $100M to $92.5MMar 30, 2021 to Mar 22, 2022
Signals
2 dated events
- Robert Michael Philipp (Secretary, Treasurer & Vice President) no longer on Schedule A of R••••••••• C•••••• S••••••••• I••• (listed 2022-12-06, absent 2023-01-30)Jan 30, 2023 · Control person left · inference
- Elizabeth Camilla Neri (Director) appeared on Schedule A of R••••••••• C•••••• S••••••••• I•••Jan 8, 2021 · Control person joined · 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
- Website
- golivewithtom.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 408-551-6100reportedpublic record, Form ADV, Apr 21, 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
- $153Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026