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••••• A•••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Jan 30, 2012 · 33 filings
SEC status approved since Apr 12, 1999
RAUM
$799M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
30%
$239M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$200M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$799M as of Mar 18, 2026
Jan 30, 2012$479M then
HNW client RAUM$239M as of Mar 18, 2026
Mar 6, 2018$114M then
State-registered IARs (5.B.3)3 as of Mar 18, 2026
Jan 30, 20120 then
Employees (5.A)4 as of Mar 18, 2026
Feb 4, 20134 then
Private funds: no history
RAUM +17% over the last fiscal year+13% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $200MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 13derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $11.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 69%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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
- +55%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- $786MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$548M69%
- High-net-worth individuals$239M30%
- Corporations and businesses$12.0M1.5%
- Individual clients
- 0reported
- HNW clients
- 51reported
- Pension plan clients
- 0reported
- Charitable clients
- 14reported
- Accounts
- 67reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.3 fund_share=0.0 institutional_share=0.69 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• J•• R••••Chartered Financial Analyst | Mill Valley, Ca | Dec 15, 2003 | 34 y | 0 |
| J••••• D••• B•••Chartered Financial Analyst | Mill Valley, Ca | Dec 15, 2003 | 28 y | 0 |
| S••••• G•••••••• C••••• | Mill Valley, Ca | Sep 13, 2024 | 12 y | 0 |
| A•••••• S••• P••••• | Mill Valley, Ca | Aug 19, 2026 | 11 y | 0 |
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
- J••••••• A• S•• to C•••••• A•••• M••••••••• L••Jun 22, 2021 · Other
Joined, latest
- J••••••• A• S•• from J••• M••••• P•••••• W••••• A••••••• L••Jan 25, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••• B•••• J•• · Chief Compliance Officer, Ceo, Cfo & Managing Membercontrolsince 12/2004 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Mill Valley, Ca · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 18, 2026institutional share of RAUM of 69% against a peer median of 2% (1482 comparable advisers, 100.0th percentile, 22.6 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 100% percentile
- unusually large average accountStatic outlier · filing Mar 18, 2026RAUM per account of $11,925,373 against a peer median of $610,947 (1443 comparable advisers, 100.0th percentile, 7.6 robust deviations)peers: independent wealth managers, $500M to $1B (1,443) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 41 to 67Mar 6, 2025 to Mar 18, 2026
- Charity clients · 11 to 14Mar 6, 2025 to Mar 18, 2026
- Corporate clients · 3 to 2Mar 6, 2025 to Mar 18, 2026
- HNW clients · 33 to 51Mar 6, 2025 to Mar 18, 2026
- Discretionary RAUM · $669M to $787MMar 6, 2025 to Mar 18, 2026
- HNW RAUM · $178M to $239MMar 6, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $12.1M to $12.0MMar 6, 2025 to Mar 18, 2026
- RAUM · $682M to $799MMar 6, 2025 to Mar 18, 2026
- Financial planning clients · unset to Mar 3, 2025 to Mar 6, 2025
- Accounts · 99 to 41Sep 30, 2024 to Mar 3, 2025
- Advisory employees · 2 to 3Sep 30, 2024 to Mar 3, 2025
- Charity clients · 4 to 11Sep 30, 2024 to Mar 3, 2025
- Corporate clients · 0 to 3Sep 30, 2024 to Mar 3, 2025
- HNW clients · 22 to 33Sep 30, 2024 to Mar 3, 2025
- Individual clients · 7 to 0Sep 30, 2024 to Mar 3, 2025
- State-registered IARs · 2 to 3Sep 30, 2024 to Mar 3, 2025
- Discretionary RAUM · $584M to $669MSep 30, 2024 to Mar 3, 2025
- HNW RAUM · $119M to $178MSep 30, 2024 to Mar 3, 2025
- Individual RAUM · $4.7M to $0Sep 30, 2024 to Mar 3, 2025
- Non-discretionary RAUM · $0 to $12.1MSep 30, 2024 to Mar 3, 2025
- RAUM · $584M to $682MSep 30, 2024 to Mar 3, 2025
- Accounts · 85 to 99Aug 3, 2023 to Mar 5, 2024
- HNW clients · 20 to 22Aug 3, 2023 to Mar 5, 2024
- Individual clients · 14 to 7Aug 3, 2023 to Mar 5, 2024
- Discretionary RAUM · $538M to $584MAug 3, 2023 to Mar 5, 2024
- HNW RAUM · $109M to $119MAug 3, 2023 to Mar 5, 2024
- Individual RAUM · $3.4M to $4.7MAug 3, 2023 to Mar 5, 2024
- Non-discretionary RAUM · $22.6M to $0Aug 3, 2023 to Mar 5, 2024
- RAUM · $560M to $584MAug 3, 2023 to Mar 5, 2024
- Accounts · 90 to 85Feb 11, 2022 to Feb 3, 2023
- HNW clients · 15 to 20Feb 11, 2022 to Feb 3, 2023
- Individual clients · 11 to 14Feb 11, 2022 to Feb 3, 2023
- Employees · 5 to 4Feb 11, 2022 to Feb 3, 2023
- Discretionary RAUM · $655M to $538MFeb 11, 2022 to Feb 3, 2023
- HNW RAUM · $99.7M to $109MFeb 11, 2022 to Feb 3, 2023
- Individual RAUM · $4.9M to $3.4MFeb 11, 2022 to Feb 3, 2023
- Non-discretionary RAUM · $0 to $22.6MFeb 11, 2022 to Feb 3, 2023
- RAUM · $655M to $560MFeb 11, 2022 to Feb 3, 2023
- Accounts · 75 to 90Nov 2, 2021 to Feb 11, 2022
- Advisory employees · 3 to 2Nov 2, 2021 to Feb 11, 2022
Signals
No event on the tape.
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
- Business phone
- 415-925-4000reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- R•••••••WEALTH.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 415-925-4000reportedpublic record, Form ADV, Mar 18, 2026
- Team page
- r•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $200Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026