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
C••••••• O•••• F•••••••• S••••••• G•••• L••
Latest filing Mar 17, 2026
First filing on the tape Jan 12, 2012 · 19 filings
SEC status approved since May 26, 2020
RAUM
$258M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
97%
$250M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$129M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$258M as of Mar 17, 2026
Jan 12, 2012$47.5M then
HNW client RAUM$175M as of Mar 17, 2026
Mar 16, 2021$73.2M then
State-registered IARs (5.B.3)2 as of Mar 17, 2026
Jan 12, 20120 then
Employees (5.A)3 as of Mar 17, 2026
Mar 16, 20214 then
Private funds: no history
RAUM +21% over the last fiscal year+19% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Mar 17, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $129MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 119derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $438,837derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 2.8%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
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- 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 securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$175M68%
- Individuals$75.4M29%
- Pension and profit-sharing plans$7.3M2.8%
- Individual clients
- 188reported
- HNW clients
- 49reported
- Pension plan clients
- 7reported
- Charitable clients
- n/areported
- Accounts
- 587reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| M••••• A••• C••••••• | Davis, Ca | Jul 27, 2010 | 42 y | 0 |
| K••• D•••••• S•••••••Certified Financial Planner | Davis, Ca | Oct 16, 2017 | 16 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
- A••••• C••• to A••••••••• F•••••••• S•••••••• L••Oct 18, 2022 · RIA to affiliated broker-dealer or bank
- T•••••• M• R•••••• to B••••••• I••••••••• S•••••••• I••• •••••Jul 15, 2011 · Other
Joined, latest
- T•••••• M• R•••••• from S••••••••• A•••••• A•••••••• I•••Jul 28, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• J•••• M••• · Membercontrolsince 09/1999 · owns 25% to 50%
- C•••••••• M•••••• A••• · Membercontrolsince 09/1999 · owns 25% to 50%
- S•••••••• K•••• D•••••• · Membercontrolsince 01/2021 · owns 25% to 50%
Related persons
Schedule D 7.A
- C••••••• • C••••••• A• A••••••••• C•••••••••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Davis, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 547 to 587May 13, 2025 to Mar 17, 2026
- HNW clients · 45 to 49May 13, 2025 to Mar 17, 2026
- Individual clients · 191 to 188May 13, 2025 to Mar 17, 2026
- Assets in custody · $11.7M to $12.7MMay 13, 2025 to Mar 17, 2026
- Financial planning clients · 11-25 to 1-10May 13, 2025 to Mar 17, 2026
- State-registered IARs · 1 to 2May 13, 2025 to Mar 17, 2026
- Discretionary RAUM · $203M to $242MMay 13, 2025 to Mar 17, 2026
- HNW RAUM · $144M to $175MMay 13, 2025 to Mar 17, 2026
- Individual RAUM · $64.5M to $75.4MMay 13, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $9.9M to $15.8MMay 13, 2025 to Mar 17, 2026
- Pension RAUM · $4.2M to $7.3MMay 13, 2025 to Mar 17, 2026
- RAUM · $213M to $258MMay 13, 2025 to Mar 17, 2026
- Financial planning clients · 11-25 to 11-25Mar 26, 2025 to May 13, 2025
- Accounts · 521 to 547Mar 15, 2024 to Mar 26, 2025
- Advisory employees · 2 to 1Mar 15, 2024 to Mar 26, 2025
- HNW clients · 47 to 45Mar 15, 2024 to Mar 26, 2025
- Individual clients · 183 to 191Mar 15, 2024 to Mar 26, 2025
- Assets in custody · $3.4M to $11.7MMar 15, 2024 to Mar 26, 2025
- Employees · 4 to 3Mar 15, 2024 to Mar 26, 2025
- State-registered IARs · 2 to 1Mar 15, 2024 to Mar 26, 2025
- Discretionary RAUM · $175M to $203MMar 15, 2024 to Mar 26, 2025
- HNW RAUM · $123M to $144MMar 15, 2024 to Mar 26, 2025
- Individual RAUM · $53.4M to $64.5MMar 15, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $5.2M to $9.9MMar 15, 2024 to Mar 26, 2025
- Pension RAUM · $3.5M to $4.2MMar 15, 2024 to Mar 26, 2025
- RAUM · $180M to $213MMar 15, 2024 to Mar 26, 2025
- Accounts · 497 to 521Mar 16, 2023 to Mar 15, 2024
- Advisory employees · 3 to 2Mar 16, 2023 to Mar 15, 2024
- Individual clients · 177 to 183Mar 16, 2023 to Mar 15, 2024
- Pension plan clients · 1 to 7Mar 16, 2023 to Mar 15, 2024
- Assets in custody · $2.8M to $3.4MMar 16, 2023 to Mar 15, 2024
- Employees · 5 to 4Mar 16, 2023 to Mar 15, 2024
- Financial planning clients · 101-250 to 11-25Mar 16, 2023 to Mar 15, 2024
- State-registered IARs · 3 to 2Mar 16, 2023 to Mar 15, 2024
- Discretionary RAUM · $148M to $175MMar 16, 2023 to Mar 15, 2024
- HNW RAUM · $105M to $123MMar 16, 2023 to Mar 15, 2024
- Individual RAUM · $48.1M to $53.4MMar 16, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $4.7M to $5.2MMar 16, 2023 to Mar 15, 2024
- Pension RAUM · $144,859 to $3.5MMar 16, 2023 to Mar 15, 2024
- RAUM · $153M to $180MMar 16, 2023 to Mar 15, 2024
Signals
6 dated events
- Gene Larry Olsen (Member) no longer on Schedule A of C••••••• O•••• F•••••••• S••••••• G•••• L•• (listed 2023-03-16, absent 2024-03-15)Mar 15, 2024 · Control person left · inference
- Gene Larry Olsen (Member) appeared on Schedule A of C••••••• O•••• F•••••••• S••••••• G•••• L••Dec 15, 2022 · Control person joined · fact
- A••••• C••• left C••••••• O•••• F•••••••• S••••••• G•••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2023-01-27)Oct 18, 2022 · Advisor changed firm · fact
- Gene Larry Olsen (Cio & Cco) no longer on Schedule A of C••••••• O•••• F•••••••• S••••••• G•••• L•• (listed 2021-03-16, absent 2022-03-15)Mar 15, 2022 · Control person left · inference
- D•••••• K••• S••••••• (Member) appeared on Schedule A of C••••••• O•••• F•••••••• S••••••• G•••• L••Feb 3, 2021 · Control person joined · fact
- C••••••• O•••• F•••••••• S••••••• G•••• L•• filed its initial SEC registration (Form ADV)Apr 24, 2020 · 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
- 530-758-1425reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 530-758-4921reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/carbahal-olsen-financial-services/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 530-758-4921reportedpublic record, Form ADV, Mar 17, 2026
- Team page
- carbahalolsen.com/team-member-01/kurt-d-schrader-cfprreportedpublished 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
- $129Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026