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
A••••••••• C••••••• L••
Latest filing Mar 13, 2026
First filing on the tape Oct 13, 2020 · 11 filings
SEC status approved since Nov 13, 2020
RAUM
$184M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$183M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$92.0M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$184M as of Mar 13, 2026
Mar 25, 2021$126M then
HNW client RAUM$165M as of Mar 13, 2026
Mar 25, 2021$104M then
State-registered IARs (5.B.3)2 as of Mar 13, 2026
Mar 25, 20212 then
Employees (5.A)4 as of Mar 13, 2026
Mar 25, 20213 then
Private funds: no history
RAUM +8.9% over the last fiscal year+26% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 13, 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
- RAUM per advisor
- $92.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $641,243derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $119M, 122 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)
- 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$165M90%
- Individuals$18.1M9.8%
- Charitable organizations$594,0490.3%
- Individual clients
- 61reported
- HNW clients
- 80reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 287reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $119M for 122 clientsreported
- Compensation
- % of AUMreported
- 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 |
|---|---|---|---|---|
| A••• J••• G••• | Tahoe City, Ca | Sep 16, 2013 | 20 y | 0 |
| K•••• S••••• C•••• | Tahoe City, Ca | Apr 18, 2022 | 21 y | 0 |
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• K••••• S••••• · Managing Director/Chief Compliance Officercontrolsince 01/2019 · owns less than 5%
- G•••• A•••• J••• · Managing Directorcontrolsince 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 |
|---|---|---|---|---|---|
| Tahoe City, Ca | 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
- HNW share shiftChange between filings · filing Mar 13, 2026HNW share of RAUM moved from 73.0% to 90.0% between the annual amendments of 2025-02-27 and 2026-03-13peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 281 to 287Feb 27, 2025 to Mar 13, 2026
- Advisory employees · 1 to 2Feb 27, 2025 to Mar 13, 2026
- Charity clients · 0.0 to unsetFeb 27, 2025 to Mar 13, 2026
- HNW clients · 69 to 80Feb 27, 2025 to Mar 13, 2026
- Individual clients · 72 to 61Feb 27, 2025 to Mar 13, 2026
- Assets in custody · $112M to $119MFeb 27, 2025 to Mar 13, 2026
- Employees · 3 to 4Feb 27, 2025 to Mar 13, 2026
- Discretionary RAUM · $169M to $184MFeb 27, 2025 to Mar 13, 2026
- HNW RAUM · $123M to $165MFeb 27, 2025 to Mar 13, 2026
- Individual RAUM · $46.2M to $18.1MFeb 27, 2025 to Mar 13, 2026
- RAUM · $169M to $184MFeb 27, 2025 to Mar 13, 2026
- Accounts · 266 to 281Mar 5, 2024 to Feb 27, 2025
- HNW clients · 54 to 69Mar 5, 2024 to Feb 27, 2025
- Individual clients · 75 to 72Mar 5, 2024 to Feb 27, 2025
- Assets in custody · $88.4M to $112MMar 5, 2024 to Feb 27, 2025
- Financial planning clients · 51-100 to 51-100Mar 5, 2024 to Feb 27, 2025
- HQ city · unset to Mar 5, 2024 to Feb 27, 2025
- HQ state · unset to Mar 5, 2024 to Feb 27, 2025
- Discretionary RAUM · $132M to $169MMar 5, 2024 to Feb 27, 2025
- HNW RAUM · $108M to $123MMar 5, 2024 to Feb 27, 2025
- Individual RAUM · $24.1M to $46.2MMar 5, 2024 to Feb 27, 2025
- RAUM · $132M to $169MMar 5, 2024 to Feb 27, 2025
- Accounts · 262 to 266Feb 16, 2023 to Mar 5, 2024
- HNW clients · 51 to 54Feb 16, 2023 to Mar 5, 2024
- Individual clients · 77 to 75Feb 16, 2023 to Mar 5, 2024
- Assets in custody · $59.0M to $88.4MFeb 16, 2023 to Mar 5, 2024
- Discretionary RAUM · $91.5M to $132MFeb 16, 2023 to Mar 5, 2024
- HNW RAUM · $75.9M to $108MFeb 16, 2023 to Mar 5, 2024
- Individual RAUM · $15.7M to $24.1MFeb 16, 2023 to Mar 5, 2024
- RAUM · $91.5M to $132MFeb 16, 2023 to Mar 5, 2024
- Accounts · 252 to 262Nov 17, 2022 to Feb 16, 2023
- HNW clients · 48 to 51Nov 17, 2022 to Feb 16, 2023
- Individual clients · 64 to 77Nov 17, 2022 to Feb 16, 2023
- Assets in custody · $99.3M to $59.0MNov 17, 2022 to Feb 16, 2023
- Discretionary RAUM · $146M to $91.5MNov 17, 2022 to Feb 16, 2023
- HNW RAUM · $125M to $75.9MNov 17, 2022 to Feb 16, 2023
- Individual RAUM · $21.3M to $15.7MNov 17, 2022 to Feb 16, 2023
- RAUM · $146M to $91.5MNov 17, 2022 to Feb 16, 2023
- Accounts · 251 to 252Mar 25, 2021 to Mar 8, 2022
- Assets in custody · $83.0M to $99.3MMar 25, 2021 to Mar 8, 2022
Signals
1 dated events
- A••••••••• C••••••• L•• filed its initial SEC registration (Form ADV)Oct 13, 2020 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 415-424-4005reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- A•••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 415-424-4005 XT. 21reportedpublic record, Form ADV, Mar 13, 2026
- Team page
- a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $92.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026