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

Certis Capital Management, Inc.

Independent wealth managerSanta Barbara, CaliforniaCRD 144290SEC 801-135578websiteIAPD
Latest filing Mar 26, 2026
First filing on the tape Mar 26, 2026 · 1 filings
SEC status approved since Mar 17, 2026
RAUM
$256M
reported, Item 5.F
Discretionary
9.5%
of RAUM
Private clients
100%
$256M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$85.3M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $256M
HNW client RAUM: $256M
State-registered IARs (5.B.3): 3
Employees (5.A): 7
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 26, 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
$85.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$8.3MderivedHNW RAUM over HNW clients
Average account
$8.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
9.5%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$28.1M, 15 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$256M100%
Individual clients
n/areported
HNW clients
31reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
31reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$28.1M for 15 clientsreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
David James BackensSanta Barbara, CaDec 23, 201020 y0
Todd DawesSanta Barbara, CaJan 14, 201526 y2
Kelly Reed SmithSanta Barbara, CaJan 1, 202527 y1
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 headcount1 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Santa Barbara, Ca · principal300
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 26, 2026
    HNW RAUM per HNW client of $8,255,754 against a peer median of $2,404,040 (4940 comparable advisers, 99.0th percentile, 3.9 robust deviations)
    peers: independent wealth managers, $100M to $500M (4,940) · 99% percentile
How anomalies are measured
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
  • Margaret Martin Loncki left Certis Capital Management, Inc. for Merus Advisors, Llc (registered 2026-01-01)
    Sep 27, 2024 · Advisor changed firm · 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
CERTISCAPITAL.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
(805) 965-0509reportedpublic record, Form ADV, Mar 26, 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
$85.3Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026