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••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 27 filings
SEC status approved since Mar 21, 2006
RAUM
$467M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$467M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$233M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$467M as of Mar 30, 2026
Mar 30, 2012$137M then
HNW client RAUM$463M as of Mar 30, 2026
Mar 24, 2018$312M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Mar 30, 20120 then
Employees (5.A)5 as of Mar 30, 2026
Mar 26, 20136 then
Private funds: no history
RAUM +14% over the last fiscal year+11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $233MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $18.5MderivedHNW RAUM over HNW clients
- Average account
- $3.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$463M99%
- Individuals$3.7M0.8%
- Individual clients
- n/areported
- HNW clients
- 25reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 151reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 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 |
|---|---|---|---|---|
| K•••• R•• G•••••••••Certified Financial Planner, Personal Financial Specialist | Redwood City, Ca | Apr 20, 2006 | 26 y | 2 |
| S••••• L•••• G••••••••• | Redwood City, Ca | Sep 11, 2023 | 17 y | 1 |
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
- R••• T••• O•••••• to F•••• P•••••• F••••••••• I•••Aug 8, 2018 · RIA to RIA
- K••••• E••••• S••••••••• to G•••• P••• A•••••••• L••Oct 28, 2015 · Other
- S•••• M•••• S••••••• to P•••••••••Jul 20, 2015 · Other
Joined, latest
- S••••• L•••• G••••••••• from E••••• J••••Sep 11, 2023 · Affiliated broker-dealer or bank to independent RIA
- S•••• M•••• S••••••• from 1•• G••••• A••••••• I••Aug 10, 2012 · Other
- K••••• E••••• S••••••••• from A••••• C••••••••• G••••Apr 20, 2006 · Other
- K•••• R•• G••••••••• from A••••• C••••••••• G••••Apr 20, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• K••••• R•• · Managing Member And Chief Compliance Officercontrolsince 03/2006 · 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 |
|---|---|---|---|---|---|
| Redwood City, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Mar 30, 2026HNW RAUM per HNW client of $18,510,879 against a peer median of $2,402,920 (4942 comparable advisers, 100.0th percentile, 10.9 robust deviations)peers: independent wealth managers, $100M to $500M (4,942) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 146 to 151Mar 28, 2025 to Mar 30, 2026
- HNW clients · 24 to 25Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $411M to $467MMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $408M to $463MMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $2.8M to $3.7MMar 28, 2025 to Mar 30, 2026
- RAUM · $411M to $467MMar 28, 2025 to Mar 30, 2026
- Accounts · 149 to 146May 28, 2024 to Mar 28, 2025
- HNW clients · 23 to 24May 28, 2024 to Mar 28, 2025
- Individual clients · 5.0 to unsetMay 28, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0May 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $379M to $411MMay 28, 2024 to Mar 28, 2025
- HNW RAUM · $375M to $408MMay 28, 2024 to Mar 28, 2025
- Individual RAUM · $3.6M to $2.8MMay 28, 2024 to Mar 28, 2025
- RAUM · $379M to $411MMay 28, 2024 to Mar 28, 2025
- Accounts · 150 to 149Mar 29, 2023 to Mar 27, 2024
- HNW clients · 22 to 23Mar 29, 2023 to Mar 27, 2024
- Individual clients · 8 to 5Mar 29, 2023 to Mar 27, 2024
- Employees · 6 to 5Mar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $337M to $379MMar 29, 2023 to Mar 27, 2024
- HNW RAUM · $333M to $375MMar 29, 2023 to Mar 27, 2024
- Individual RAUM · $4.3M to $3.6MMar 29, 2023 to Mar 27, 2024
- RAUM · $337M to $379MMar 29, 2023 to Mar 27, 2024
- Accounts · 179 to 150Oct 18, 2022 to Mar 29, 2023
- HNW clients · 25 to 22Oct 18, 2022 to Mar 29, 2023
- Individual clients · 6 to 8Oct 18, 2022 to Mar 29, 2023
- Employees · 5 to 6Oct 18, 2022 to Mar 29, 2023
- Discretionary RAUM · $421M to $337MOct 18, 2022 to Mar 29, 2023
- HNW RAUM · $417M to $333MOct 18, 2022 to Mar 29, 2023
- Individual RAUM · $3.9M to $4.3MOct 18, 2022 to Mar 29, 2023
- RAUM · $421M to $337MOct 18, 2022 to Mar 29, 2023
- HQ city · MENLO PARK to REDWOOD CITYMay 9, 2022 to Oct 18, 2022
- Accounts · 173 to 179Mar 16, 2021 to Mar 24, 2022
- HNW clients · 21 to 25Mar 16, 2021 to Mar 24, 2022
- Individual clients · unset to 6.0Mar 16, 2021 to Mar 24, 2022
- Employees · 4 to 5Mar 16, 2021 to Mar 24, 2022
- Discretionary RAUM · $391M to $421MMar 16, 2021 to Mar 24, 2022
- HNW RAUM · $390M to $417MMar 16, 2021 to Mar 24, 2022
- Individual RAUM · $1.8M to $3.9MMar 16, 2021 to Mar 24, 2022
- RAUM · $391M to $421MMar 16, 2021 to Mar 24, 2022
- Accounts · 174 to 173Jun 16, 2020 to Mar 16, 2021
Signals
No event on the tape.
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
- WLTHVALUES.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 650-941-5530reportedpublic record, Form ADV, Mar 30, 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
- $233Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026