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
A•••• A•••• F•••••••• A•••••••
Legal name A• A•••••••• I•••
Latest filing Mar 16, 2026
First filing on the tape Sep 14, 2018 · 14 filings
SEC status approved since Oct 16, 2018
RAUM
$480M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$475M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$240M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$480M as of Mar 16, 2026
Jan 25, 2019$90.6M then
HNW client RAUM$473M as of Mar 16, 2026
Jan 25, 2019$85.3M then
State-registered IARs (5.B.3)2 as of Mar 16, 2026
Jan 25, 20192 then
Employees (5.A)2 as of Mar 16, 2026
Jan 25, 20192 then
Private funds: no history
RAUM -35% over the last fiscal year+27% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $240MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $16.9MderivedHNW RAUM over HNW clients
- Average account
- $4.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -35%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $429M, 8 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$473M99%
- Pension and profit-sharing plans$4.1M0.9%
- Individuals$2.0M0.4%
- Charitable organizations$395,4610.1%
- Individual clients
- 12reported
- HNW clients
- 28reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 102reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $429M for 8 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| N••• E••••••• A•••• | Sacramento, Ca | Nov 12, 2025 | 35 y | 2 |
| J•••••• S•••••••• A••••Certified Financial Planner | Sacramento, Ca | Nov 19, 2025 | 30 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- P•••• J• A•••• to O•••• W•••••• I•••Oct 28, 2016 · Other
Joined, latest
- J•••••• S•••••••• A•••• from C•••••••• G••••• M•••••• I•••Nov 19, 2025 · Other
- N••• E••••••• A•••• from C•••••••• G••••• M•••••• I•••Nov 12, 2025 · Other
- P•••• J• A•••• from C•••••••• G••••• M•••••• I•••Apr 20, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• J••••••• S•••••••• · President And Chief Compliance Officercontrolsince 04/2009 · owns 75% or more
- A••••• N•••• E••••••• · Owner And Investment Adviser Representativesince 03/2010 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Sacramento, Ca · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Mar 16, 2026HNW RAUM per HNW client of $16,905,674 against a peer median of $2,404,040 (4940 comparable advisers, 100.0th percentile, 9.8 robust deviations)peers: independent wealth managers, $100M to $500M (4,940) · 100% percentile
- RAUM down 25 %Change between filings · filing Mar 16, 2026RAUM (Item 5.F) moved from $737,096,379 to $479,817,614 (-35.0%) between the annual amendments of 2025-03-11 and 2026-03-16; the peer median change was +15.0% (4550 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 1.1% percentile
- business activity changedChange between filings · filing Mar 16, 2026financial planning (Item 5.G.1): yes on the filing of 2025-03-11, no on the filing of 2026-03-16peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 99 to 102Mar 11, 2025 to Mar 16, 2026
- Advisory activities · 4 to 3Mar 11, 2025 to Mar 16, 2026
- HNW clients · 24 to 28Mar 11, 2025 to Mar 16, 2026
- Assets in custody · $655M to $429MMar 11, 2025 to Mar 16, 2026
- Discretionary RAUM · $737M to $479MMar 11, 2025 to Mar 16, 2026
- HNW RAUM · $731M to $473MMar 11, 2025 to Mar 16, 2026
- Individual RAUM · $2.2M to $2.0MMar 11, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $345,903 to $395,461Mar 11, 2025 to Mar 16, 2026
- Pension RAUM · $3.2M to $4.1MMar 11, 2025 to Mar 16, 2026
- RAUM · $737M to $480MMar 11, 2025 to Mar 16, 2026
- Accounts · 106 to 99Mar 21, 2024 to Mar 11, 2025
- HNW clients · 15 to 24Mar 21, 2024 to Mar 11, 2025
- Individual clients · 14 to 12Mar 21, 2024 to Mar 11, 2025
- Pension plan clients · 8 to 2Mar 21, 2024 to Mar 11, 2025
- Assets in custody · $392M to $655MMar 21, 2024 to Mar 11, 2025
- Financial planning clients · 0 to 0Mar 21, 2024 to Mar 11, 2025
- Other offices · 0 to 1Mar 21, 2024 to Mar 11, 2025
- Discretionary RAUM · $442M to $737MMar 21, 2024 to Mar 11, 2025
- HNW RAUM · $436M to $731MMar 21, 2024 to Mar 11, 2025
- Individual RAUM · $3.3M to $2.2MMar 21, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $314,688 to $345,903Mar 21, 2024 to Mar 11, 2025
- Pension RAUM · $2.6M to $3.2MMar 21, 2024 to Mar 11, 2025
- RAUM · $443M to $737MMar 21, 2024 to Mar 11, 2025
- Accounts · 117 to 106Mar 6, 2023 to Mar 21, 2024
- HNW clients · 12 to 15Mar 6, 2023 to Mar 21, 2024
- Individual clients · 11 to 14Mar 6, 2023 to Mar 21, 2024
- Pension plan clients · 12 to 8Mar 6, 2023 to Mar 21, 2024
- Assets in custody · $222M to $392MMar 6, 2023 to Mar 21, 2024
- Discretionary RAUM · $236M to $442MMar 6, 2023 to Mar 21, 2024
- HNW RAUM · $232M to $436MMar 6, 2023 to Mar 21, 2024
- Individual RAUM · $2.0M to $3.3MMar 6, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $323,776 to $314,688Mar 6, 2023 to Mar 21, 2024
- Pension RAUM · $2.0M to $2.6MMar 6, 2023 to Mar 21, 2024
- RAUM · $236M to $443MMar 6, 2023 to Mar 21, 2024
- Accounts · 110 to 117Mar 9, 2022 to Mar 6, 2023
- Charity clients · unset to 1.0Mar 9, 2022 to Mar 6, 2023
- HNW clients · 20 to 12Mar 9, 2022 to Mar 6, 2023
- Individual clients · 12 to 11Mar 9, 2022 to Mar 6, 2023
- Pension plan clients · unset to 12.0Mar 9, 2022 to Mar 6, 2023
- Assets in custody · $154M to $222MMar 9, 2022 to Mar 6, 2023
Signals
4 dated events
- A•••• A•••• F•••••••• A••••••• reported RAUM $479.8M, down 35% from $737.1M (2025-03-11 to 2026-03-16)Mar 16, 2026 · RAUM change · derived
- A•••• A•••• F•••••••• A••••••• reported RAUM $737.1M, up 67% from $442.5M (2024-03-21 to 2025-03-11)Mar 11, 2025 · RAUM change · derived
- A•••• A•••• F•••••••• A••••••• reported RAUM $442.5M, up 87% from $236.3M (2023-03-06 to 2024-03-21)Mar 21, 2024 · RAUM change · derived
- A•••• A•••• F•••••••• A••••••• filed its initial SEC registration (Form ADV)Sep 14, 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
- 916-333-5989reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- A••••A••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 916-333-5989reportedpublic record, Form ADV, Mar 16, 2026
- Contact form
- a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- a•••••••••.comreportedpublished 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
- $240Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026