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
R•••••• W••••• W••••• M•••••••••
Legal name R•••• I•••
Latest filing Mar 31, 2026
First filing on the tape Jan 27, 2012 · 33 filings
SEC status approved since Sep 16, 2008
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
82%
$1.3B individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$307M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$1.5B as of Mar 31, 2026
Jan 27, 2012$107M then
HNW client RAUM$1.2B as of Mar 31, 2026
Mar 29, 2018$326M then
State-registered IARs (5.B.3)5 as of Mar 31, 2026
Jan 27, 20120 then
Employees (5.A)8 as of Mar 31, 2026
Jan 25, 20133 then
Private funds1 as of Mar 31, 2026
Jan 25, 20131 then
RAUM +18% over the last fiscal year+16% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 31, 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $307MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 116derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $959,627derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.5%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Wrap fee program
- $1.7BreportedItem 5.I
- Custody
- $116M, 167 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.2B77%
- Pooled investment vehicles$182M12%
- Individuals$76.6M5.0%
- Pension and profit-sharing plans$60.0M3.9%
- Corporations and businesses$22.1M1.4%
- Charitable organizations$10.6M0.7%
- Individual clients
- 307reported
- HNW clients
- 273reported
- Pension plan clients
- 36reported
- Charitable clients
- 5reported
- Accounts
- 1,602reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $846M sponsored, $0 managedreported
- Custody of client assets
- $116M for 167 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.82 fund_share=0.12 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• J••• W••••• | Rocklin, Ca | Sep 19, 2008 | 23 y | 1 |
| S•••• P•••••• R•••••• | Pinedale, Wy | Sep 19, 2008 | 32 y | 1 |
| M•••••• A••• D• D•• | Rocklin, Ca | Aug 30, 2017 | 19 y | 0 |
| R•• C••••• R•••••• | Newport Beach, Ca | Jul 26, 2021 | 20 y | 0 |
| S••• M• W••• | Rocklin, Ca | Jan 10, 2022 | 12 y | 1 |
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
- S••• M• W••• from E•••• S••••••••• L••Jan 10, 2022 · Affiliated broker-dealer or bank to independent RIA
- S•••• P•••••• R•••••• from C•••••••• G••••• M•••••• I•••Sep 19, 2008 · Other
- A•••• J••• W••••• from C•••••••• G••••• M•••••• I•••Sep 19, 2008 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••••• W••••• P•••••••• L••• | Hedge Fund | $182M | 68 | Sep 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- W•••••• A••••• J••• · President & Chief Compliance Officercontrolsince 09/2008 · owns less than 5%
- R••••••• S••••• P•••••• · Trusteesince 08/2022 · owns F of R•••••• F••••• T•••• 1•••••••••
- R••••••• T•••• G••• · Trusteesince 08/2022 · owns F of R•••••• F••••• T•••• 1•••••••••
- W•••••• A••••• J••• · Trusteesince 03/2023 · owns F of W••••• F••••• T•••• 1•••••••••
- W•••••• Q•••• F• · Trusteesince 03/2023 · owns F of W••••• F••••• T•••• 1•••••••••
Entity owners
- S•• 2••• I••••••••• T•••• D••• · Ownerdirect · owns 25% to 50%
- S•• 2••• I••••••••• T•••• D••• 1••••••• · Ownerdirect · owns 25% to 50%
- T•• 2••• I••••••••• T•••• D••• · Memberdirect · owns 25% to 50%
- T•• 2••• I••••••••• T•••• D••• 1••••••• · Memberdirect · owns 25% to 50%
- W••••• F••••• T•••• 1••••••••• · Memberdirect · owns 25% to 50%
- R•••••• F••••• T•••• 1••••••••• · Memberdirect · owns less than 5%
Related persons
Schedule D 7.A
- R•••••• W••••• G•• L••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Rocklin, Ca · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Newport Beach, CA1 employees
- Pinedale, WY1 employees
What changed
consecutive filings, newest first
- Accounts · 1,473 to 1,602Mar 27, 2025 to Mar 31, 2026
- Advisory employees · 5 to 6Mar 27, 2025 to Mar 31, 2026
- Charity clients · 3 to 5Mar 27, 2025 to Mar 31, 2026
- Corporate clients · 4.0 to unsetMar 27, 2025 to Mar 31, 2026
- HNW clients · 247 to 273Mar 27, 2025 to Mar 31, 2026
- Individual clients · 303 to 307Mar 27, 2025 to Mar 31, 2026
- Pension plan clients · 37 to 36Mar 27, 2025 to Mar 31, 2026
- Assets in custody · $77.2M to $116MMar 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.3B to $1.5BMar 27, 2025 to Mar 31, 2026
- HNW RAUM · $1.0B to $1.2BMar 27, 2025 to Mar 31, 2026
- Individual RAUM · $66.8M to $76.6MMar 27, 2025 to Mar 31, 2026
- Pension RAUM · $56.8M to $60.0MMar 27, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $133M to $182MMar 27, 2025 to Mar 31, 2026
- RAUM · $1.3B to $1.5BMar 27, 2025 to Mar 31, 2026
- Wrap assets (sponsor) · $809M to $846MMar 27, 2025 to Mar 31, 2026
- Accounts · 1,379 to 1,473Aug 30, 2024 to Mar 27, 2025
- Charity clients · 2 to 3Aug 30, 2024 to Mar 27, 2025
- HNW clients · 267 to 247Aug 30, 2024 to Mar 27, 2025
- Individual clients · 238 to 303Aug 30, 2024 to Mar 27, 2025
- Pension plan clients · 33 to 37Aug 30, 2024 to Mar 27, 2025
- Assets in custody · $50.5M to $77.2MAug 30, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Aug 30, 2024 to Mar 27, 2025
- Discretionary RAUM · $1.1B to $1.3BAug 30, 2024 to Mar 27, 2025
- HNW RAUM · $890M to $1.0BAug 30, 2024 to Mar 27, 2025
- Individual RAUM · $41.9M to $66.8MAug 30, 2024 to Mar 27, 2025
- Pension RAUM · $44.1M to $56.8MAug 30, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $112M to $133MAug 30, 2024 to Mar 27, 2025
- RAUM · $1.1B to $1.3BAug 30, 2024 to Mar 27, 2025
- Wrap assets (sponsor) · $753M to $809MAug 30, 2024 to Mar 27, 2025
- Accounts · 1,245 to 1,379May 2, 2023 to Mar 27, 2024
- Charity clients · unset to 2.0May 2, 2023 to Mar 27, 2024
- Corporate clients · unset to 4.0May 2, 2023 to Mar 27, 2024
- HNW clients · 246 to 267May 2, 2023 to Mar 27, 2024
- Individual clients · 216 to 238May 2, 2023 to Mar 27, 2024
- Assets in custody · $51.6M to $50.5MMay 2, 2023 to Mar 27, 2024
- Discretionary RAUM · $986M to $1.1BMay 2, 2023 to Mar 27, 2024
- HNW RAUM · $768M to $890MMay 2, 2023 to Mar 27, 2024
- Individual RAUM · $32.9M to $41.9MMay 2, 2023 to Mar 27, 2024
- Pension RAUM · $53.4M to $44.1MMay 2, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $107M to $112MMay 2, 2023 to Mar 27, 2024
Signals
1 dated events
- R•••••• W••••• W••••• M••••••••• reported RAUM $808.5M, up 56% from $517.5M (2020-06-30 to 2021-03-19)Mar 19, 2021 · 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.
How to reach
public business contact points only, each with its source
- Website
- r•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (916) 652-1525reportedpublic record, Form ADV, Mar 31, 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
- $307Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026