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
Gebhardt Group, Inc
Latest filing Mar 12, 2026
First filing on the tape Mar 28, 2012 · 29 filings
SEC status approved since Oct 28, 2014
RAUM
$346M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$322M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$115M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$346M as of Mar 12, 2026
Mar 28, 2012$70.8M then
HNW client RAUM$278M as of Mar 12, 2026
Mar 23, 2018$106M then
State-registered IARs (5.B.3)3 as of Mar 12, 2026
Mar 28, 20120 then
Employees (5.A)7 as of Mar 12, 2026
Feb 27, 20154 then
Private funds: no history
RAUM +17% over the last fiscal year+17% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 12, 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
- $115MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $429,258derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.6%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$278M80%
- Individuals$44.2M13%
- Pension and profit-sharing plans$24.6M7.1%
- Individual clients
- 129reported
- HNW clients
- 96reported
- Pension plan clients
- 7reported
- Charitable clients
- 0reported
- Accounts
- 807reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Janine KeepermanCertified Financial Planner | Lafayette, Ca | Apr 14, 2025 | 21 y | 6 |
| Matthew David Grishman | Lafayette, Ca | Apr 14, 2025 | 30 y | 5 |
| James C GebhardtCertified Financial Planner | Lafayette, Ca | Apr 14, 2025 | 30 y | 7 |
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
- Russell Postell to Ameritas Advisory ServicesJul 27, 2020 · RIA to RIA
- Matthew David Grishman to 401k Masters, LLCAug 2, 2019 · Other
- James C Gebhardt to 401k Masters, LLCAug 2, 2019 · Other
- Charles Anthony Truhlar to Interactive Financial AdvisorsDec 3, 2018 · Other
- David Maldonado to Ae Wealth Management, LLCOct 23, 2018 · RIA to RIA
- Jonathan Charles Illig to Arp Advisors, LLCFeb 23, 2017 · Other
- George Vernon Hammontree to First Advisors National, LLCJan 24, 2017 · Other
- Bonnie Sue Clark to Gradient Advisors, LLCDec 9, 2016 · Other
- James C Gebhardt to Integrity Alliance, LLCDec 31, 2011 · Other
Joined, latest
- Janine Keeperman from Securian Financial Services, Inc.Jan 10, 2024 · RIA to RIA
- Matthew David Grishman from 401k Masters, LLCFeb 25, 2020 · RIA to RIA
- James C Gebhardt from 401k Masters, LLCAug 2, 2019 · RIA to RIA
- Charles Anthony Truhlar from New England Securities CorporationMar 6, 2017 · Other
- Jonathan Charles Illig from Retirement Income And Inheritance Advisors, LLCApr 13, 2016 · Other
- Matthew David Grishman from United Planners' Financial Services Of America A Limited PartnerApr 1, 2014 · Other
- James C Gebhardt from Integrity Alliance, LLCSep 3, 2013 · Other
- James C Gebhardt from Cambridge Investment Research Advisors, Inc.May 9, 2007 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for 401k Masters, LLCAug 2, 2019 · Lafayette, Ca
- 2 joined from 401k Masters, LLCDec 31, 2018 · Lafayette, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C James Gebhardt · President, Chief Compliance Officercontrolsince 05/2005 · owns 75% or more
- David Matthew Grishman · Principal And Wealth Advisorcontrolsince 01/2015 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Lafayette, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Roseville, CA2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 12, 2026custody of client assets (Item 9.A): yes on the filing of 2025-04-11, no on the filing of 2026-03-12peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 762 to 807Apr 11, 2025 to Mar 12, 2026
- BD registered reps · 2 to 0Apr 11, 2025 to Mar 12, 2026
- HNW clients · 83 to 96Apr 11, 2025 to Mar 12, 2026
- Individual clients · 128 to 129Apr 11, 2025 to Mar 12, 2026
- Pension plan clients · 9 to 7Apr 11, 2025 to Mar 12, 2026
- Assets in custody · 5689793.0 to unsetApr 11, 2025 to Mar 12, 2026
- Custody of client assets · true to falseApr 11, 2025 to Mar 12, 2026
- Discretionary RAUM · $266M to $345MApr 11, 2025 to Mar 12, 2026
- HNW RAUM · $222M to $278MApr 11, 2025 to Mar 12, 2026
- Individual RAUM · $43.9M to $44.2MApr 11, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $29.0M to $1.4MApr 11, 2025 to Mar 12, 2026
- Pension RAUM · $28.9M to $24.6MApr 11, 2025 to Mar 12, 2026
- RAUM · $295M to $346MApr 11, 2025 to Mar 12, 2026
- Accounts · 763 to 762May 3, 2024 to Apr 11, 2025
- HNW clients · 78 to 83May 3, 2024 to Apr 11, 2025
- Individual clients · 148 to 128May 3, 2024 to Apr 11, 2025
- Assets in custody · $5.8M to $5.7MMay 3, 2024 to Apr 11, 2025
- Financial planning clients · 11-25 to 11-25May 3, 2024 to Apr 11, 2025
- Discretionary RAUM · $218M to $266MMay 3, 2024 to Apr 11, 2025
- HNW RAUM · $165M to $222MMay 3, 2024 to Apr 11, 2025
- Individual RAUM · $79.9M to $43.9MMay 3, 2024 to Apr 11, 2025
- Non-discretionary RAUM · $50.8M to $29.0MMay 3, 2024 to Apr 11, 2025
- Pension RAUM · $24.4M to $28.9MMay 3, 2024 to Apr 11, 2025
- RAUM · $269M to $295MMay 3, 2024 to Apr 11, 2025
- Accounts · 683 to 763Mar 17, 2023 to Mar 19, 2024
- Advisory employees · 2 to 3Mar 17, 2023 to Mar 19, 2024
- HNW clients · 61 to 78Mar 17, 2023 to Mar 19, 2024
- Individual clients · 158 to 148Mar 17, 2023 to Mar 19, 2024
- Pension plan clients · 8 to 9Mar 17, 2023 to Mar 19, 2024
- Employees · 5 to 7Mar 17, 2023 to Mar 19, 2024
- State-registered IARs · 2 to 3Mar 17, 2023 to Mar 19, 2024
- Discretionary RAUM · $170M to $218MMar 17, 2023 to Mar 19, 2024
- HNW RAUM · $140M to $165MMar 17, 2023 to Mar 19, 2024
- Individual RAUM · $57.4M to $79.9MMar 17, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $48.1M to $50.8MMar 17, 2023 to Mar 19, 2024
- Pension RAUM · $20.7M to $24.4MMar 17, 2023 to Mar 19, 2024
- RAUM · $218M to $269MMar 17, 2023 to Mar 19, 2024
- Accounts · 876 to 683Oct 17, 2022 to Mar 17, 2023
- HNW clients · 70 to 61Oct 17, 2022 to Mar 17, 2023
- Individual clients · 136 to 158Oct 17, 2022 to Mar 17, 2023
Signals
1 dated events
- Gebhardt Group, Inc filed its initial SEC registration (Form ADV)Sep 18, 2014 · 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
- Website
- YOURFINANCIALSOBRIETY.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 925-283-9150reportedpublic record, Form ADV, Mar 12, 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
- $115Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026