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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
R•• F••••••••• L••
Latest filing Apr 16, 2026
First filing on the tape Feb 21, 2018 · 20 filings
SEC status approved since Mar 23, 2018
RAUM
$220M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
96%
$210M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$110M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$220M as of Apr 16, 2026
Feb 4, 2019$100M then
HNW client RAUM$172M as of Apr 16, 2026
Feb 4, 2019$64.8M then
State-registered IARs (5.B.3)2 as of Apr 16, 2026
Feb 4, 20193 then
Employees (5.A)2 as of Apr 16, 2026
Feb 4, 20194 then
Private funds: no history
RAUM -6.3% over the last fiscal year+9.9% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 16, 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
- RAUM per advisor
- $110MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $487,266derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -22%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $25.2M, 40 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$172M78%
- Individuals$38.2M17%
- Charitable organizations$9.2M4.2%
- Corporations and businesses$487,8920.2%
- Individual clients
- 75reported
- HNW clients
- 58reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 451reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $25.2M for 40 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• H••••••••• S•••Certified Financial Planner | San Francisco, Ca | Mar 13, 2009 | 23 y | 3 |
| C•••• D••••Chartered Financial Analyst | San Francisco, Ca | Apr 16, 2015 | 11 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- A••••• I•••••••• C••••••••• to W••••• S••••• A•••••••Mar 3, 2026 · RIA to RIA
Joined, latest
- A••••• I•••••••• C••••••••• from F••••••• P••••••• A•• W•••••••• A•••••••Dec 12, 2018 · Affiliated broker-dealer or bank to independent RIA
- R••••• H••••••••• S••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 13, 2009 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••• R•••••• H••••••••• · Managing Member And Chief Compliance Officercontrolsince 03/2009 · 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 |
|---|---|---|---|---|---|
| San Francisco, Ca · principal | 2 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 173 to 451Mar 31, 2025 to Mar 23, 2026
- Corporate clients · 1 to 2Mar 31, 2025 to Mar 23, 2026
- HNW clients · 66 to 58Mar 31, 2025 to Mar 23, 2026
- Individual clients · 105 to 75Mar 31, 2025 to Mar 23, 2026
- Assets in custody · $22.7M to $25.2MMar 31, 2025 to Mar 23, 2026
- Employees · 3 to 2Mar 31, 2025 to Mar 23, 2026
- Discretionary RAUM · $226M to $210MMar 31, 2025 to Mar 23, 2026
- HNW RAUM · $171M to $172MMar 31, 2025 to Mar 23, 2026
- Individual RAUM · $54.7M to $38.2MMar 31, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $8.3M to $9.5MMar 31, 2025 to Mar 23, 2026
- RAUM · $234M to $220MMar 31, 2025 to Mar 23, 2026
- Accounts · 160 to 173Mar 20, 2024 to Mar 31, 2025
- Advisory employees · 3 to 2Mar 20, 2024 to Mar 31, 2025
- HNW clients · 58 to 66Mar 20, 2024 to Mar 31, 2025
- Individual clients · 100 to 105Mar 20, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 20, 2024 to Mar 31, 2025
- State-registered IARs · 3 to 2Mar 20, 2024 to Mar 31, 2025
- Other offices · 3 to 2Mar 20, 2024 to Mar 31, 2025
- Discretionary RAUM · $190M to $226MMar 20, 2024 to Mar 31, 2025
- HNW RAUM · $147M to $171MMar 20, 2024 to Mar 31, 2025
- Individual RAUM · $42.9M to $54.7MMar 20, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $7.7M to $8.3MMar 20, 2024 to Mar 31, 2025
- RAUM · $198M to $234MMar 20, 2024 to Mar 31, 2025
- Other offices · 2 to 3Mar 18, 2024 to Mar 20, 2024
- Accounts · 525 to 160Mar 2, 2023 to Mar 18, 2024
- HNW clients · 67 to 58Mar 2, 2023 to Mar 18, 2024
- Individual clients · 103 to 100Mar 2, 2023 to Mar 18, 2024
- Assets in custody · $20.3M to $22.7MMar 2, 2023 to Mar 18, 2024
- Discretionary RAUM · $158M to $190MMar 2, 2023 to Mar 18, 2024
- HNW RAUM · $122M to $147MMar 2, 2023 to Mar 18, 2024
- Individual RAUM · $35.7M to $42.9MMar 2, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $7.0M to $7.7MMar 2, 2023 to Mar 18, 2024
- RAUM · $165M to $198MMar 2, 2023 to Mar 18, 2024
- Accounts · 593 to 525Oct 19, 2022 to Mar 2, 2023
- Charity clients · unset to 1.0Oct 19, 2022 to Mar 2, 2023
- Corporate clients · unset to 1.0Oct 19, 2022 to Mar 2, 2023
- HNW clients · 54 to 67Oct 19, 2022 to Mar 2, 2023
- Individual clients · 105 to 103Oct 19, 2022 to Mar 2, 2023
- Assets in custody · $33.3M to $20.3MOct 19, 2022 to Mar 2, 2023
- Other offices · 0 to 2Oct 19, 2022 to Mar 2, 2023
Signals
2 dated events
- A••••• I•••••••• C••••••••• left R•• F••••••••• L•• for W••••• S••••• A••••••• (registered 2025-03-10)Mar 3, 2026 · Advisor changed firm · fact
- R•• F••••••••• L•• filed its initial SEC registration (Form ADV)Feb 21, 2018 · 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
- Business phone
- 415-495-2900reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/RHS-FINANCIALreportedpublic record, Form ADV, Sep 18, 2026
- Website
- RHSFINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-495-2900reportedpublic record, Form ADV, Apr 16, 2026
- Team page
- rhsfinancial.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $110Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026