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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Former SEC-registered adviser
C••••••••• W••••• M••••••••• L••
Latest filing Mar 28, 2024
First filing on the tape Mar 30, 2012 · 17 filings
SEC status approved since Apr 8, 2008
RAUM
$601M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$589M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$601M as of Mar 28, 2024
Mar 30, 2012$105M then
HNW client RAUM$562M as of Mar 28, 2024
Mar 30, 2018$249M then
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Mar 30, 20120 then
Employees (5.A)6 as of Mar 28, 2024
Mar 28, 20135 then
Private funds: no history
RAUM +22% over the last fiscal year+8.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2024; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $643,153derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $150M, 174 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$562M93%
- Individuals$26.9M4.5%
- Pension and profit-sharing plans$12.2M2.0%
- Individual clients
- 109reported
- HNW clients
- 194reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 935reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $150M for 174 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- N••••• R•••• H••••• to M•• C•••••• M••••••••• L••Jan 24, 2025 · RIA to RIA
- S•••••• A••• M•••••• to M•• C•••••• M••••••••• L••Jan 24, 2025 · RIA to RIA
- E••• M•••••• F•••• to M•• C•••••• M••••••••• L••Jan 24, 2025 · RIA to RIA
Joined, latest
- N••••• R•••• H••••• from P••••••• F•••••••• C••••••••• I•••Oct 5, 2016 · Other
- S•••••• A••• M•••••• from H• F•••••••• A••••••• I••Aug 7, 2008 · Other
- E••• M•••••• F•••• from J••• M••••• P•••••• W••••• A••••••• L••Jun 24, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for M•• C•••••• M••••••••• L••Jan 24, 2025 · Lafayette, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• E•••• M•••••• · Ceo/Managing Membercontrolsince 01/2008 · owns 50% to 75%
- M••••••• S••••••• A••• · Cio/Member, Chief Compliance Officercontrolsince 07/2008 · owns 50% to 75%
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 | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 920 to 935Mar 29, 2023 to Mar 28, 2024
- HNW clients · 185 to 194Mar 29, 2023 to Mar 28, 2024
- Individual clients · 100 to 109Mar 29, 2023 to Mar 28, 2024
- Assets in custody · $132M to $150MMar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $495M to $601MMar 29, 2023 to Mar 28, 2024
- HNW RAUM · $458M to $562MMar 29, 2023 to Mar 28, 2024
- Individual RAUM · $22.6M to $26.9MMar 29, 2023 to Mar 28, 2024
- Pension RAUM · $10.5M to $12.2MMar 29, 2023 to Mar 28, 2024
- RAUM · $495M to $601MMar 29, 2023 to Mar 28, 2024
- Accounts · 891 to 920Aug 16, 2022 to Mar 29, 2023
- HNW clients · 184 to 185Aug 16, 2022 to Mar 29, 2023
- Individual clients · 93 to 100Aug 16, 2022 to Mar 29, 2023
- Assets in custody · $142M to $132MAug 16, 2022 to Mar 29, 2023
- Employees · 5 to 6Aug 16, 2022 to Mar 29, 2023
- Discretionary RAUM · $562M to $495MAug 16, 2022 to Mar 29, 2023
- HNW RAUM · $523M to $458MAug 16, 2022 to Mar 29, 2023
- Individual RAUM · $23.1M to $22.6MAug 16, 2022 to Mar 29, 2023
- Pension RAUM · $12.4M to $10.5MAug 16, 2022 to Mar 29, 2023
- RAUM · $562M to $495MAug 16, 2022 to Mar 29, 2023
- Accounts · 844 to 891Mar 30, 2021 to Mar 30, 2022
- HNW clients · 173 to 184Mar 30, 2021 to Mar 30, 2022
- Individual clients · 88 to 93Mar 30, 2021 to Mar 30, 2022
- Assets in custody · $98.2M to $142MMar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $471M to $562MMar 30, 2021 to Mar 30, 2022
- HNW RAUM · $437M to $523MMar 30, 2021 to Mar 30, 2022
- Individual RAUM · $20.9M to $23.1MMar 30, 2021 to Mar 30, 2022
- Pension RAUM · $10.3M to $12.4MMar 30, 2021 to Mar 30, 2022
- RAUM · $471M to $562MMar 30, 2021 to Mar 30, 2022
- Accounts · 803 to 844Jun 29, 2020 to Mar 30, 2021
- HNW clients · 166 to 173Jun 29, 2020 to Mar 30, 2021
- Individual clients · 90 to 88Jun 29, 2020 to Mar 30, 2021
- Assets in custody · $95.4M to $98.2MJun 29, 2020 to Mar 30, 2021
- Discretionary RAUM · $430M to $471MJun 29, 2020 to Mar 30, 2021
- HNW RAUM · $397M to $437MJun 29, 2020 to Mar 30, 2021
- Individual RAUM · $22.0M to $20.9MJun 29, 2020 to Mar 30, 2021
- Pension RAUM · $8.6M to $10.3MJun 29, 2020 to Mar 30, 2021
- RAUM · $430M to $471MJun 29, 2020 to Mar 30, 2021
- Accounts · 649 to 803Mar 27, 2019 to Mar 30, 2020
- HNW clients · 119 to 166Mar 27, 2019 to Mar 30, 2020
- Individual clients · 64 to 90Mar 27, 2019 to Mar 30, 2020
Signals
6 dated events
- C••••••••• W••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $601.3M)Feb 3, 2025 · Left the SEC roster · derived
- E••• M•••••• F•••• left C••••••••• W••••• M••••••••• L•• for M•• C•••••• M••••••••• L•• (registered 2025-01-14)Jan 24, 2025 · Advisor changed firm · fact
- N••••• R•••• H••••• left C••••••••• W••••• M••••••••• L•• for M•• C•••••• M••••••••• L•• (registered 2025-01-24)Jan 24, 2025 · Advisor changed firm · fact
- S•••••• A••• M•••••• left C••••••••• W••••• M••••••••• L•• for M•• C•••••• M••••••••• L•• (registered 2025-01-09)Jan 24, 2025 · Advisor changed firm · fact
- C••••••••• W••••• M••••••••• L••'s advisors moved to M•• C•••••• M••••••••• L•• (Lafayette, CA): 3 of 3 registered, on the same dayJan 24, 2025 · Firm absorbed (people side) · derived
- C••••••••• W••••• M••••••••• L•• reported RAUM $429.6M, up 63% from $263.2M (2019-03-27 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026