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•••• D••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 8, 2012 · 36 filings
SEC status approved since Nov 15, 2010
RAUM
$2.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2.9B individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$267M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$2.9B as of Mar 31, 2026
Mar 20, 2012$91.2M then
HNW client RAUM$2.4B as of Mar 31, 2026
Mar 20, 2018$562M then
State-registered IARs (5.B.3)7 as of Mar 31, 2026
Mar 27, 20135 then
Employees (5.A)7 as of Mar 31, 2026
Mar 27, 20135 then
Private funds: no history
RAUM +12% over the last fiscal year+12% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 31, 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
- $267MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 181derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $475,044derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.6derivedItem 5.A over advisors
- Advisors per office
- 3.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Financial planning clients
- 1,993reportedItem 5.H
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.4B83%
- Individuals$476M16%
- Pension and profit-sharing plans$8.3M0.3%
- Corporations and businesses$3.8M0.1%
- Charitable organizations$1.4M0.0%
- Individual clients
- 1,158reported
- HNW clients
- 828reported
- Pension plan clients
- 8reported
- Charitable clients
- 1reported
- Accounts
- 6,174reported
- Financial planning clients
- 1,993reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• J••••• J•••••••Certified Financial Planner | Jackson, Ms | Apr 21, 2022 | 12 y | 1 |
| J••••• D••• F•••••••Chartered Financial Analyst | San Francisco, Ca | Apr 22, 2022 | 34 y | 2 |
| J•••• K•••• B•••••••Certified Financial Planner | Jackson, Ms | Apr 28, 2022 | 28 y | 5 |
| B•••• T••••• D•••••Certified Financial Planner | San Francisco, Ca | May 5, 2022 | 20 y | 3 |
| A•••••••• J•••••• R••••Certified Financial Planner, Chartered Financial Consultant | Jackson, Ms | May 5, 2022 | 12 y | 1 |
| D••••• G••• Y••••• | San Francisco, Ca | May 5, 2022 | 15 y | 2 |
| J••• B•••• B•••• | San Francisco, Ca | May 5, 2022 | 25 y | 3 |
| S•••••• J•••• H••••• | San Francisco, Ca | May 5, 2022 | 53 y | 3 |
| J•••• R••••• R••••• | San Francisco, Ca | Nov 25, 2024 | 13 y | 2 |
| K••••• L•••• T••••••Certified Financial Planner | San Francisco, Ca | Oct 29, 2025 | 26 y | 5 |
| S••••• A• B•••••••Certified Financial Planner | San Francisco, Ca | Jun 8, 2026 | 13 y | 1 |
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
- J••• Y• H•• K•• to E••••••• C•••••• M••••••••• L••May 9, 2023 · RIA to RIA
- K••••• L•••• T•••••• to B••••••••• S•••••••• W•••••• L••Oct 4, 2022 · RIA to RIA
- T••• W••••• P••••• to C•••••• S••••• • C••• I•••Jun 10, 2011 · Other
Joined, latest
- S••••• A• B••••••• from M••••••• W••••• M••••••••• I•••Jun 8, 2026 · RIA to RIA
- K••••• L•••• T•••••• from F•••• P••••••• W•••••• L••Oct 29, 2025 · RIA to RIA
- B•••• T••••• D••••• from S••••••• M••••• L••Aug 9, 2021 · RIA to RIA
- K••••• L•••• T•••••• from S••••••• G•••• C••••••Jan 28, 2020 · Other
- J•••• R••••• R••••• from G••••••• B•••••• • B••••••• W••••• A•• R••••••••• P••• M•••• L••May 10, 2018 · RIA to RIA
- J•••• K•••• B••••••• from C• P••••••• C•••Apr 4, 2013 · Other
- D••••• G••• Y••••• from C•••••• P•••••••• L••Nov 13, 2012 · Other
- T••• W••••• P••••• from B•••••••• F••••••••• I•••Feb 3, 2010 · Other
- J••• B•••• B•••• from A•••• D••••••••• L••Jan 5, 2010 · Other
- S•••••• J•••• H••••• from A•••• D••••••••• L••Jan 5, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J•••• B•••• · Member/Manager/President/Chief Compliance Officercontrolsince 10/2009 · owns 25% to 50%
- F•••••••• J•••••• D••• · Member/Manager/Director Of Investments And Portfolio Risk Managementcontrolsince 10/2011 · owns 10% to 25%
- H•••••• S••••••• J•••• · Member/Manager/Chief Investment Strategistcontrolsince 10/2009 · owns 25% to 50%
- Y•••••• D•••••• G••• · Member/Manager/Director Of Operationscontrolsince 10/2012 · 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 Francisco, Ca · principal | 11 | 2 | 0 | ||
| Jackson, Ms | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- North Jackson, MS2 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 31, 2026accounts (Item 5.F.2.f) moved from 2,002.0 to 6,174.0 (+208.0%) between the annual amendments of 2025-04-09 and 2026-03-31; the peer median change was +6.0% (1206 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 2,002 to 6,174Apr 9, 2025 to Mar 31, 2026
- Corporate clients · 2 to 3Apr 9, 2025 to Mar 31, 2026
- HNW clients · 779 to 828Apr 9, 2025 to Mar 31, 2026
- Individual clients · 1,220 to 1,158Apr 9, 2025 to Mar 31, 2026
- Pension plan clients · unset to 8.0Apr 9, 2025 to Mar 31, 2026
- Financial planning clients · 101-250 to More than 500Apr 9, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.6B to $2.9BApr 9, 2025 to Mar 31, 2026
- HNW RAUM · $2.1B to $2.4BApr 9, 2025 to Mar 31, 2026
- Individual RAUM · $511M to $476MApr 9, 2025 to Mar 31, 2026
- Pension RAUM · unset to 8336466.0Apr 9, 2025 to Mar 31, 2026
- RAUM · $2.6B to $2.9BApr 9, 2025 to Mar 31, 2026
- Accounts · 6,692 to 2,002Mar 18, 2024 to Apr 9, 2025
- Charity clients · 4 to 1Mar 18, 2024 to Apr 9, 2025
- Corporate clients · 3 to 2Mar 18, 2024 to Apr 9, 2025
- HNW clients · 755 to 779Mar 18, 2024 to Apr 9, 2025
- Individual clients · 1,521 to 1,220Mar 18, 2024 to Apr 9, 2025
- Financial planning clients · 101-250 to 101-250Mar 18, 2024 to Apr 9, 2025
- Discretionary RAUM · $2.5B to $2.6BMar 18, 2024 to Apr 9, 2025
- HNW RAUM · $1.9B to $2.1BMar 18, 2024 to Apr 9, 2025
- Individual RAUM · $637M to $511MMar 18, 2024 to Apr 9, 2025
- RAUM · $2.5B to $2.6BMar 18, 2024 to Apr 9, 2025
- Accounts · 5,197 to 6,692Sep 7, 2023 to Mar 18, 2024
- Advisory employees · 10 to 5Sep 7, 2023 to Mar 18, 2024
- Charity clients · 3 to 4Sep 7, 2023 to Mar 18, 2024
- Corporate clients · 1 to 3Sep 7, 2023 to Mar 18, 2024
- HNW clients · 667 to 755Sep 7, 2023 to Mar 18, 2024
- Individual clients · 1,192 to 1,521Sep 7, 2023 to Mar 18, 2024
- Employees · 13 to 7Sep 7, 2023 to Mar 18, 2024
- State-registered IARs · 10 to 7Sep 7, 2023 to Mar 18, 2024
- Discretionary RAUM · $2.1B to $2.5BSep 7, 2023 to Mar 18, 2024
- HNW RAUM · $1.5B to $1.9BSep 7, 2023 to Mar 18, 2024
- Individual RAUM · $588M to $637MSep 7, 2023 to Mar 18, 2024
- RAUM · $2.1B to $2.5BSep 7, 2023 to Mar 18, 2024
- Discretionary RAUM · $2.0B to $2.1BMar 29, 2022 to Mar 31, 2023
- HNW RAUM · $1.5B to $1.5BMar 29, 2022 to Mar 31, 2023
- Individual RAUM · $522M to $588MMar 29, 2022 to Mar 31, 2023
- RAUM · $2.0B to $2.1BMar 29, 2022 to Mar 31, 2023
- Accounts · 1,581 to 5,197Jan 19, 2022 to Mar 29, 2022
- HNW clients · 468 to 667Jan 19, 2022 to Mar 29, 2022
- Individual clients · 1,097 to 1,192Jan 19, 2022 to Mar 29, 2022
Signals
4 dated events
- J••• Y• H•• K•• left A•••• D••••••••• L•• for E••••••• C•••••• M••••••••• L•• (registered 2023-06-07)May 9, 2023 · Advisor changed firm · fact
- K••••• L•••• T•••••• left A•••• D••••••••• L•• for B••••••••• S•••••••• W•••••• L•• (registered 2022-11-14)Oct 4, 2022 · Advisor changed firm · fact
- A•••• D••••••••• L•• reported RAUM $2.0B, up 40% from $1.4B (2022-01-19 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- A•••• D••••••••• L•• reported RAUM $857.6M, up 44% from $594.5M (2017-11-30 to 2018-03-20)Mar 20, 2018 · RAUM change · derived
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
- 866-535-0897reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 925-262-2351reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- ASSETD•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 866-535-0897reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- assetdedication.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- assetdedication.com/about-us/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $267Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026