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
T•••••• C••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 30, 2012 · 22 filings
SEC status approved since Sep 15, 2009
RAUM
$187M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
67%
$126M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$62.5M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$187M as of Mar 30, 2026
Mar 30, 2012$91.1M then
HNW client RAUM$105M as of Mar 30, 2026
Mar 28, 2018$87.0M then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Apr 1, 20132 then
Employees (5.A)5 as of Mar 30, 2026
Apr 1, 20133 then
Private funds1 as of Mar 27, 2025
Mar 30, 20121 then
RAUM +5.0% over the last fiscal year+11% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 30, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $62.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $589,190derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 31%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $37.5M, 44 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)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$105M56%
- Charitable organizations$36.5M19%
- Pension and profit-sharing plans$21.9M12%
- Individuals$20.1M11%
- Corporations and businesses$3.4M1.8%
- Individual clients
- 38reported
- HNW clients
- 45reported
- Pension plan clients
- 6reported
- Charitable clients
- 9reported
- Accounts
- 318reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $37.5M for 44 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.67 fund_share=0.0 institutional_share=0.31 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• N•• D•••••••Certified Financial Planner | Carmel, Ca | Dec 8, 2025 | 36 y | 2 |
| D••••• G•••••• S•••••• | Carmel, Ca | Jan 21, 2026 | 27 y | 2 |
| D•••• M••••• L••Certified Financial Planner | Carmel, Ca | Feb 2, 2026 | 18 y | 1 |
Advisor movement
0 left, 3 joined in 12 months
net +3 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•••• M••••• L•• from L•• F•••••••• L••Feb 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- D••••• G•••••• S•••••• from U•• F•••••••• S••••••• I•••Jan 21, 2026 · Wirehouse to independent RIA
- D•••• N•• D••••••• from U•• F•••••••• S••••••• I•••Dec 8, 2025 · Wirehouse to independent RIA
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O•••••••• F•••• L• | Hedge Fund | $303,703 | 17 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D•••••••• D••••• N•• · Managing Member/Chief Compliance Officercontrolsince 11/2009 · owns 50% to 75%
- S••••••• D•••••• G•••••• · Managing Member/Chief Investment Officercontrolsince 11/2009 · owns 50% to 75%
Related persons
Schedule D 7.A
- T•••••• F••• A•••••••real estatey
Advisers that list T•••••• C••••••• L•• as a related person
- 175325 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Carmel, Ca · principal | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 30, 2026pension consulting (Item 5.G.6): no on the filing of 2025-03-27, yes on the filing of 2026-03-30peers: independent wealth managers, $100M to $500M (5,676)
- business activity changedChange between filings · filing Mar 30, 2026portfolio management for pooled vehicles (Item 5.G.4): yes on the filing of 2025-03-27, no on the filing of 2026-03-30peers: independent wealth managers, $100M to $500M (5,676)
- business activity changedChange between filings · filing Mar 30, 2026advises private funds (Item 7.B): yes on the filing of 2025-03-27, no on the filing of 2026-03-30peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Mar 30, 2026HNW share of RAUM moved from 74.0% to 56.0% between the annual amendments of 2025-03-27 and 2026-03-30peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 336 to 318Mar 27, 2025 to Mar 30, 2026
- Advisory employees · 3 to 4Mar 27, 2025 to Mar 30, 2026
- Charity clients · 8 to 9Mar 27, 2025 to Mar 30, 2026
- Corporate clients · 9 to 8Mar 27, 2025 to Mar 30, 2026
- HNW clients · 61 to 45Mar 27, 2025 to Mar 30, 2026
- Individual clients · 21 to 38Mar 27, 2025 to Mar 30, 2026
- Pension plan clients · 22 to 6Mar 27, 2025 to Mar 30, 2026
- Pooled vehicle clients · 1 to 0Mar 27, 2025 to Mar 30, 2026
- Assets in custody · $51.3M to $37.5MMar 27, 2025 to Mar 30, 2026
- Employees · 4 to 5Mar 27, 2025 to Mar 30, 2026
- HQ city · MONTEREY to CARMELMar 27, 2025 to Mar 30, 2026
- State-registered IARs · 2 to 3Mar 27, 2025 to Mar 30, 2026
- Private funds · 1 to unsetMar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $160M to $167MMar 27, 2025 to Mar 30, 2026
- HNW RAUM · $132M to $105MMar 27, 2025 to Mar 30, 2026
- Individual RAUM · $4.5M to $20.1MMar 27, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $18.1M to $20.2MMar 27, 2025 to Mar 30, 2026
- Pension RAUM · $20.0M to $21.9MMar 27, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $309,350 to $0Mar 27, 2025 to Mar 30, 2026
- RAUM · $178M to $187MMar 27, 2025 to Mar 30, 2026
- Accounts · 338 to 336Nov 18, 2024 to Mar 27, 2025
- Charity clients · 7 to 8Nov 18, 2024 to Mar 27, 2025
- Corporate clients · 2 to 9Nov 18, 2024 to Mar 27, 2025
- HNW clients · 45 to 61Nov 18, 2024 to Mar 27, 2025
- Individual clients · 14 to 21Nov 18, 2024 to Mar 27, 2025
- Pension plan clients · 8 to 22Nov 18, 2024 to Mar 27, 2025
- Assets in custody · $313,703 to $51.3MNov 18, 2024 to Mar 27, 2025
- Financial planning clients · 26-50 to 11-25Nov 18, 2024 to Mar 27, 2025
- Discretionary RAUM · $141M to $160MNov 18, 2024 to Mar 27, 2025
- HNW RAUM · $118M to $132MNov 18, 2024 to Mar 27, 2025
- Individual RAUM · $1.4M to $4.5MNov 18, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $18.9M to $18.1MNov 18, 2024 to Mar 27, 2025
- Pension RAUM · $23.5M to $20.0MNov 18, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $300,000 to $309,350Nov 18, 2024 to Mar 27, 2025
- RAUM · $160M to $178MNov 18, 2024 to Mar 27, 2025
- Accounts · 319 to 338Mar 29, 2023 to Mar 27, 2024
- Charity clients · 16 to 7Mar 29, 2023 to Mar 27, 2024
- Corporate clients · 3 to 2Mar 29, 2023 to Mar 27, 2024
- HNW clients · 44 to 45Mar 29, 2023 to Mar 27, 2024
- Individual clients · 21 to 14Mar 29, 2023 to Mar 27, 2024
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
- 831-324-0505reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 831-324-0481reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 877-251-3850reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/darchuck-stewart-capital-advisors-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- topturncapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (831) 324-0481reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- topturncapital.com/contactreportedpublished 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
- $62.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026