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•••••• G•••• W••••• M•••••••••
Legal name R•••••• G•••• W••••• M••••••••• L••
Latest filing Mar 16, 2026
First filing on the tape Jun 10, 2022 · 6 filings
SEC status approved since Jul 11, 2022
RAUM
$151M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$150M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$75.7M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$151M as of Mar 16, 2026
Mar 17, 2023$99.9M then
HNW client RAUM$140M as of Mar 16, 2026
Mar 17, 2023$79.9M then
State-registered IARs (5.B.3)2 as of Mar 16, 2026
Mar 17, 20232 then
Employees (5.A)3 as of Mar 16, 2026
Mar 17, 20233 then
Private funds: no history
RAUM +15% over the last fiscal year+15% 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
- 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
- $75.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $571,016derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $49.3M, 36 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$140M92%
- Individuals$9.8M6.5%
- Pension and profit-sharing plans$1.7M1.1%
- Individual clients
- 23reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 265reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $49.3M for 36 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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 |
|---|---|---|---|---|
| T•••• K••••• S•••••••••Certified Financial Planner, Chartered Financial Analyst | San Rafael, Ca | Aug 24, 2009 | 26 y | 1 |
| D••••• C••••• T••••Certified Financial Planner | San Rafael, Ca | Mar 9, 2021 | 11 y | 2 |
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
- D••••• C••••• T•••• from T••••• M••• F••••••••Mar 9, 2021 · Other
- T•••• K••••• S••••••••• from L••Aug 24, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• T••••• K••••• · Principal/Owner/Ceo/Ccocontrolsince 05/2009 · owns 75% or more
- T••••• D•••••• C••••• · Financial Plannersince 01/2024 · 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 |
|---|---|---|---|---|---|
| San Rafael, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 260 to 265Feb 26, 2025 to Mar 16, 2026
- HNW clients · 46 to 49Feb 26, 2025 to Mar 16, 2026
- Individual clients · 25 to 23Feb 26, 2025 to Mar 16, 2026
- Assets in custody · $46.8M to $49.3MFeb 26, 2025 to Mar 16, 2026
- Discretionary RAUM · $132M to $151MFeb 26, 2025 to Mar 16, 2026
- HNW RAUM · $115M to $140MFeb 26, 2025 to Mar 16, 2026
- Individual RAUM · $11.7M to $9.8MFeb 26, 2025 to Mar 16, 2026
- Pension RAUM · $5.1M to $1.7MFeb 26, 2025 to Mar 16, 2026
- RAUM · $132M to $151MFeb 26, 2025 to Mar 16, 2026
- Accounts · 254 to 260Mar 20, 2024 to Feb 26, 2025
- HNW clients · 44 to 46Mar 20, 2024 to Feb 26, 2025
- Assets in custody · $43.1M to $46.8MMar 20, 2024 to Feb 26, 2025
- Financial planning clients · 51-100 to 51-100Mar 20, 2024 to Feb 26, 2025
- HQ city · LARKSPUR to SAN RAFAELMar 20, 2024 to Feb 26, 2025
- Discretionary RAUM · $123M to $132MMar 20, 2024 to Feb 26, 2025
- HNW RAUM · $105M to $115MMar 20, 2024 to Feb 26, 2025
- Individual RAUM · $12.8M to $11.7MMar 20, 2024 to Feb 26, 2025
- Pension RAUM · $4.4M to $5.1MMar 20, 2024 to Feb 26, 2025
- RAUM · $123M to $132MMar 20, 2024 to Feb 26, 2025
- Accounts · 238 to 254Nov 28, 2023 to Mar 20, 2024
- HNW clients · 38 to 44Nov 28, 2023 to Mar 20, 2024
- Individual clients · 27 to 25Nov 28, 2023 to Mar 20, 2024
- Assets in custody · $29.6M to $43.1MNov 28, 2023 to Mar 20, 2024
- Discretionary RAUM · $99.9M to $123MNov 28, 2023 to Mar 20, 2024
- HNW RAUM · $79.9M to $105MNov 28, 2023 to Mar 20, 2024
- Individual RAUM · $16.6M to $12.8MNov 28, 2023 to Mar 20, 2024
- Pension RAUM · $3.4M to $4.4MNov 28, 2023 to Mar 20, 2024
- RAUM · $99.9M to $123MNov 28, 2023 to Mar 20, 2024
- Advisory activities · 2 to 3Jun 10, 2022 to Mar 17, 2023
- HNW clients · 41 to 38Jun 10, 2022 to Mar 17, 2023
- Individual clients · 18 to 27Jun 10, 2022 to Mar 17, 2023
- Assets in custody · unset to 29565938.0Jun 10, 2022 to Mar 17, 2023
- Custody of client assets · false to trueJun 10, 2022 to Mar 17, 2023
- Discretionary RAUM · $111M to $99.9MJun 10, 2022 to Mar 17, 2023
- HNW RAUM · $98.8M to $79.9MJun 10, 2022 to Mar 17, 2023
- Individual RAUM · $12.2M to $16.6MJun 10, 2022 to Mar 17, 2023
- Pension RAUM · unset to 3355358.0Jun 10, 2022 to Mar 17, 2023
- RAUM · $111M to $99.9MJun 10, 2022 to Mar 17, 2023
Signals
1 dated events
- R•••••• G•••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Jun 10, 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
- Business phone
- 415-737-5003reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/redwood-grove-wealth-management/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- R••••••G••••WM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-737-5003reportedpublic record, Form ADV, Mar 16, 2026
- Contact form
- r•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- r•••••••••.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
- $75.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026