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
W•••• R•••• P••••• W••••• M••••••••• L••
Latest filing Aug 6, 2026
First filing on the tape Mar 12, 2012 · 37 filings
SEC status approved since Jun 2, 2006
RAUM
$1.4B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
97%
$1.4B individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$200M
derived; firm RAUM over IAPD count
Employees
18
9 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$1.4B as of Aug 6, 2026
Mar 12, 2012$213M then
HNW client RAUM$1.2B as of Aug 6, 2026
Jan 17, 2018$503M then
State-registered IARs (5.B.3)6 as of Aug 6, 2026
Mar 12, 20120 then
Employees (5.A)18 as of Aug 6, 2026
Mar 25, 20134 then
Private funds: no history
RAUM +24% over the last fiscal year+22% a year over threeIARs 7 to 6offices 3 to 5
Practice profile
derived from the filing of Aug 6, 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
- RAUM per advisor
- $200MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 96derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $665,521derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.6derivedItem 5.A over advisors
- Advisors per office
- 1.2derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Financial planning clients
- 600reportedItem 5.H
- Custody
- $1.1B, 649 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
- High-net-worth individuals$1.2B84%
- Individuals$174M12%
- Charitable organizations$47.4M3.4%
- Corporations and businesses$1.6M0.1%
- Individual clients
- 355reported
- HNW clients
- 315reported
- Pension plan clients
- 0reported
- Charitable clients
- 4reported
- Accounts
- 2,105reported
- Financial planning clients
- 600reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1B for 649 clientsreported
- Compensation
- % of AUMreported
- 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
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• M•••••• R••••Certified Financial Planner | San Jose, Ca | Dec 2, 2008 | 18 y | 1 |
| A••• B•••• W••••Certified Financial Planner | San Jose, Ca | Jan 20, 2012 | 44 y | 1 |
| J•••• R••••• P••••• | San Jose, Ca | Jul 20, 2018 | 20 y | 2 |
| Q•••• L• H• | San Jose, Ca | Jan 4, 2019 | 16 y | 0 |
| M••• R•••••• | Palo Alto, Ca | Sep 5, 2019 | 14 y | 0 |
| S•••• B•••••• J••••• | Oakland, Ca | Feb 9, 2024 | 31 y | 11 |
| H••••• R•••• N••••Certified Financial Planner | Salem, Va | Aug 7, 2026 | 12 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- H••••• R•••• N•••• from B••••• W••••• C••••••••• I•••Aug 7, 2026 · RIA to RIA
- S•••• B•••••• J••••• from E• W••••• A•••••••Feb 9, 2024 · RIA to RIA
- J•••• R••••• P••••• from F••••• W••••• P•••••••Jul 20, 2018 · Other
- A••• B•••• W•••• from L•• F•••••••• I•••Jan 20, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• J••••• R••••• · Managing Membercontrolsince 06/2017 · owns 25% to 50%
- R••••• A••••• M•••••• · Membercontrolsince 06/2017 · owns 25% to 50%
- W••••• A•••• B•••• · Member Membercontrolsince 06/2017 · owns 25% to 50%
- J•••••• S••••• B•••••• · Membersince 01/2025 · owns 10% to 25%
- L••• M•• L••• T•• · Ccosince 10/2022 · owns less than 5%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Jose, Ca · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 6, 2026P•••••• J••••• R••••• (MANAGING MEMBER) left Schedule A between the filings of 2023-01-03 and 2026-08-06peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Other offices · 2 to 5May 18, 2026 to Jun 1, 2026
- Accounts · 1,939 to 2,105Dec 19, 2025 to Mar 8, 2026
- Advisory employees · 7 to 9Dec 19, 2025 to Mar 8, 2026
- Charity clients · 7 to 4Dec 19, 2025 to Mar 8, 2026
- Corporate clients · unset to 3.0Dec 19, 2025 to Mar 8, 2026
- HNW clients · 296 to 315Dec 19, 2025 to Mar 8, 2026
- Individual clients · 345 to 355Dec 19, 2025 to Mar 8, 2026
- Employees · 15 to 18Dec 19, 2025 to Mar 8, 2026
- Insurance-licensed employees · 1 to 0Dec 19, 2025 to Mar 8, 2026
- State-registered IARs · 7 to 6Dec 19, 2025 to Mar 8, 2026
- Other offices · 3 to 2Dec 19, 2025 to Mar 8, 2026
- Discretionary RAUM · $1.1B to $1.4BDec 19, 2025 to Mar 8, 2026
- HNW RAUM · $939M to $1.2BDec 19, 2025 to Mar 8, 2026
- Individual RAUM · $142M to $174MDec 19, 2025 to Mar 8, 2026
- Non-discretionary RAUM · $30.7M to $28.8MDec 19, 2025 to Mar 8, 2026
- RAUM · $1.1B to $1.4BDec 19, 2025 to Mar 8, 2026
- Financial planning clients · More than 500 to More than 500Mar 27, 2025 to Jul 16, 2025
- Accounts · 1,883 to 1,939Jan 6, 2025 to Mar 27, 2025
- Corporate clients · 1.0 to unsetJan 6, 2025 to Mar 27, 2025
- HNW clients · 292 to 296Jan 6, 2025 to Mar 27, 2025
- Individual clients · 346 to 345Jan 6, 2025 to Mar 27, 2025
- Assets in custody · $553M to $1.1BJan 6, 2025 to Mar 27, 2025
- Employees · 8 to 15Jan 6, 2025 to Mar 27, 2025
- Insurance-licensed employees · 0 to 1Jan 6, 2025 to Mar 27, 2025
- Other offices · 2 to 3Jan 6, 2025 to Mar 27, 2025
- Discretionary RAUM · $1.1B to $1.1BJan 6, 2025 to Mar 27, 2025
- HNW RAUM · $937M to $939MJan 6, 2025 to Mar 27, 2025
- Individual RAUM · $131M to $142MJan 6, 2025 to Mar 27, 2025
- Non-discretionary RAUM · $34.7M to $30.7MJan 6, 2025 to Mar 27, 2025
- RAUM · $1.1B to $1.1BJan 6, 2025 to Mar 27, 2025
- Advisory employees · 5 to 7Nov 15, 2024 to Jan 6, 2025
- State-registered IARs · 5 to 7Nov 15, 2024 to Jan 6, 2025
- Other offices · 1 to 2Nov 15, 2024 to Jan 6, 2025
- Accounts · 1,354 to 1,883Mar 26, 2024 to Nov 15, 2024
- Advisory activities · 7 to 4Mar 26, 2024 to Nov 15, 2024
- Charity clients · 0 to 7Mar 26, 2024 to Nov 15, 2024
- Corporate clients · 0 to 1Mar 26, 2024 to Nov 15, 2024
- HNW clients · 225 to 292Mar 26, 2024 to Nov 15, 2024
- Individual clients · 297 to 346Mar 26, 2024 to Nov 15, 2024
- Discretionary RAUM · $854M to $1.1BMar 26, 2024 to Nov 15, 2024
Signals
2 dated events
- W•••• R•••• P••••• W••••• M••••••••• L•• reported RAUM $1.1B, up 31% from $854.3M (2024-03-26 to 2024-11-15)Nov 15, 2024 · RAUM change · derived
- W•••• R•••• P••••• W••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Aug 9, 2017 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- W•••• R•••• P••••• W••••• M••••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 408-217-2000reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/wrpwealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- wrpwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (408) 217-2000reportedpublic record, Form ADV, Aug 6, 2026
- Contact form
- wrpwealth.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- wrpwealth.com/who-we-arereportedpublished 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
- $200Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026