DFX Intelligence
RIA Intelligence
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SEC-registered adviser
L••••• W••••• M•••••••••
Legal name L•• A••••••• I••
Latest filing Mar 5, 2026
First filing on the tape Dec 15, 2022 · 18 filings
SEC status approved since Dec 1, 2023
RAUM
$172M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$165M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$57.4M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$172M as of Mar 5, 2026
Mar 4, 2024$120M then
HNW client RAUM$110M as of Mar 5, 2026
Mar 4, 2024$61.1M then
State-registered IARs (5.B.3)3 as of Mar 5, 2026
Mar 4, 20243 then
Employees (5.A)3 as of Mar 5, 2026
Mar 4, 20243 then
Private funds: no history
RAUM +14% over the last fiscal yearIARs 3 to 3offices 1 to 0
Practice profile
derived from the filing of Mar 5, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $57.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $279,567derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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
- -3.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$110M64%
- Individuals$55.9M32%
- Corporations and businesses$6.7M3.9%
- Individual clients
- 75reported
- HNW clients
- 45reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 616reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| M•••••• B•••• H••••••Certified Financial Planner | El Dorado Hills, Ca | Oct 3, 2023 | 20 y | 3 |
| W•••••• D••••• H•••••Certified Financial Planner | El Dorado Hills, Ca | Oct 5, 2023 | 12 y | 1 |
| K•••• E••• L•••••Certified Financial Planner | El Dorado Hills, Ca | Oct 5, 2023 | 29 y | 3 |
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
- K•••• E••• L••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Oct 5, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- W•••••• D••••• H••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Oct 5, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• B•••• H•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Oct 3, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from C•••••••• I••••••••• R••••••• A•••••••• I•••Oct 11, 2023 · El Dorado Hills, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• K••••• E••• · Presidentcontrolsince 04/2022 · owns 75% or more
- H••••••• M••••••• B•••• · Chief Compliance Officersince 04/2022 · owns less than 5%
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 |
|---|---|---|---|---|---|
| El Dorado Hills, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- El Dorado Hills, CA3 employees
What changed
consecutive filings, newest first
- Accounts · 608 to 616Dec 11, 2025 to Mar 5, 2026
- HNW clients · 40 to 45Dec 11, 2025 to Mar 5, 2026
- Individual clients · 84 to 75Dec 11, 2025 to Mar 5, 2026
- Assets in custody · $42.7M to $66.0MDec 11, 2025 to Mar 5, 2026
- Discretionary RAUM · $149M to $172MDec 11, 2025 to Mar 5, 2026
- HNW RAUM · $86.3M to $110MDec 11, 2025 to Mar 5, 2026
- Individual RAUM · $54.6M to $55.9MDec 11, 2025 to Mar 5, 2026
- RAUM · $149M to $172MDec 11, 2025 to Mar 5, 2026
- Pension plan clients · 1 to 2Feb 12, 2025 to Jun 6, 2025
- Assets in custody · $0 to $42.7MFeb 12, 2025 to Jun 6, 2025
- Financial planning clients · 101-250 to 101-250Feb 12, 2025 to Jun 6, 2025
- Other offices · 1 to 0Feb 12, 2025 to Jun 6, 2025
- Discretionary RAUM · $151M to $149MFeb 12, 2025 to Jun 6, 2025
- Pension RAUM · $2.7M to $0Feb 12, 2025 to Jun 6, 2025
- RAUM · $151M to $149MFeb 12, 2025 to Jun 6, 2025
- Accounts · 454 to 608Sep 30, 2024 to Feb 12, 2025
- HNW clients · 32 to 40Sep 30, 2024 to Feb 12, 2025
- Individual clients · 90 to 84Sep 30, 2024 to Feb 12, 2025
- Discretionary RAUM · $120M to $151MSep 30, 2024 to Feb 12, 2025
- HNW RAUM · $61.1M to $86.3MSep 30, 2024 to Feb 12, 2025
- Individual RAUM · $49.6M to $54.6MSep 30, 2024 to Feb 12, 2025
- Pension RAUM · $2.5M to $2.7MSep 30, 2024 to Feb 12, 2025
- RAUM · $120M to $151MSep 30, 2024 to Feb 12, 2025
- Accounts · 401 to 454Jan 16, 2024 to Mar 4, 2024
- HNW clients · 11 to 32Jan 16, 2024 to Mar 4, 2024
- Individual clients · 117 to 90Jan 16, 2024 to Mar 4, 2024
- Financial planning clients · 0 to 101-250Jan 16, 2024 to Mar 4, 2024
- Discretionary RAUM · $104M to $120MJan 16, 2024 to Mar 4, 2024
- HNW RAUM · $31.4M to $61.1MJan 16, 2024 to Mar 4, 2024
- Individual RAUM · $63.9M to $49.6MJan 16, 2024 to Mar 4, 2024
- Pension RAUM · $2.2M to $2.5MJan 16, 2024 to Mar 4, 2024
- RAUM · $104M to $120MJan 16, 2024 to Mar 4, 2024
- Accounts · 0 to 401Jun 6, 2023 to Nov 28, 2023
- Charity clients · unset to 0.0Jun 6, 2023 to Nov 28, 2023
- Corporate clients · unset to 2.0Jun 6, 2023 to Nov 28, 2023
- HNW clients · unset to 11.0Jun 6, 2023 to Nov 28, 2023
- Individual clients · unset to 117.0Jun 6, 2023 to Nov 28, 2023
- Pension plan clients · unset to 1.0Jun 6, 2023 to Nov 28, 2023
- Pooled vehicle clients · unset to 0.0Jun 6, 2023 to Nov 28, 2023
- Discretionary RAUM · $0 to $104MJun 6, 2023 to Nov 28, 2023
Signals
2 dated events
- 3 advisors left C•••••••• I••••••••• R••••••• A•••••••• I••• (EL Dorado Hills, CA) for L••••• W••••• M••••••••• on the same dayOct 11, 2023 · Team lift-out · derived
- L••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Dec 15, 2022 · 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
- Principal office phone
- 916-939-6860reportedpublic record, Form ADV, Mar 5, 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
- $57.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026