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
W••••••• F•••••••• A•••••••• I•••
Latest filing Aug 11, 2026
First filing on the tape Mar 17, 2012 · 40 filings
SEC status approved since Jan 21, 2010
RAUM
$789M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$772M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$132M
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
11
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$789M as of Aug 11, 2026
Mar 17, 2012$136M then
HNW client RAUM$686M as of Aug 11, 2026
Mar 26, 2018$226M then
State-registered IARs (5.B.3)6 as of Aug 11, 2026
Mar 17, 20120 then
Employees (5.A)11 as of Aug 11, 2026
Feb 5, 20138 then
Private funds: no history
RAUM +15% over the last fiscal year+17% a year over threeIARs 7 to 6
Practice profile
derived from the filing of Aug 11, 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
- RAUM per advisor
- $132MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 69derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $620,630derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 0.5derived12 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $273M, 200 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$686M87%
- Individuals$85.7M11%
- Pension and profit-sharing plans$16.1M2.0%
- Corporations and businesses$1.8M0.2%
- Individual clients
- 200reported
- HNW clients
- 214reported
- Pension plan clients
- 8reported
- Charitable clients
- 0reported
- Accounts
- 1,272reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $273M for 200 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• F•••• T•••••Certified Financial Planner, Chartered Financial Consultant | San Rafael, Ca | Mar 11, 2010 | 31 y | 2 |
| K••• M••••• L•••••Certified Financial Planner, Chartered Financial Consultant | San Rafael, Ca | Mar 11, 2010 | 30 y | 2 |
| D•••• M•••• M•••••••• | San Rafael, Ca | Mar 11, 2010 | 31 y | 2 |
| M••••• M••••• H••••• | San Rafael, Ca | Feb 5, 2016 | 11 y | 0 |
| N••••••• F••••• S•••••Certified Financial Planner | San Rafael, Ca | Mar 26, 2020 | 21 y | 5 |
| S••••••• L••• K•••••Certified Financial Planner | San Rafael, Ca | Jun 13, 2024 | 11 y | 1 |
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
- C•••••• J• M••••• to R••• • A•••••••••Dec 3, 2013 · Other
Joined, latest
- S••••••• L••• K••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 13, 2024 · Wirehouse to independent RIA
- N••••••• F••••• S••••• from F••••••• P••••••• A•• W•••••••• A•••••••Mar 26, 2020 · Affiliated broker-dealer or bank to independent RIA
- C•••••• J• M••••• from R•• S••••••••• I•••Jan 2, 2013 · Other
- M•••••• F•••• T••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Mar 11, 2010 · Other
- D•••• M•••• M•••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Mar 11, 2010 · Other
- K••• M••••• L••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Mar 11, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• M•••••• M••••• · Corporate Secretarycontrolsince 03/2024 · owns less than 5%
- L•••••• K•••• M••••• · Cfo, Cio, Ccocontrolsince 12/2009 · owns less than 5%
- M••••••••• D••••• M•••• · Directorcontrolsince 12/2009 · owns 5% to 10%
- S•••••• N•••••••• F••••• · Direct Owner, Financial Advisorcontrolsince 01/2023 · owns less than 5%
- T•••••• M••••••• F•••• · President, Ceocontrolsince 12/2009 · owns less than 5%
- H•••••• M•••••• M••••• · Grantor And Trusteesince 01/2023 · owns 50% to 75% of T•• H••••• F••••• T•••• U•••• D•••• 1••••••
- L•••••• K•••• M••••• · Grantor And Trusteesince 09/2006 · owns 50% to 75% of K••• M• L••••• A•• N•••• L•••• T•••• U•••• D•••• 9••••••
- M••••••••• D••••• M•••• · Grantor And Trusteesince 10/2008 · owns 75% or more of T•• D•••• M•••••••• T•••• U•••• D•••• 1••••••
- T•••••• M••••••• F•••• · Grantor And Trusteesince 09/2015 · owns 75% or more of T•• M•••••• F• T••••• T•••• U•••• D•••• 9••••••
Entity owners
- K••• M• L••••• A•• N•••• L•••• T•••• U•••• D•••• 9•••••• · Direct Ownerdirect · owns 25% to 50%
- T•• D•••• M•••••••• T•••• U•••• D•••• 1•••••• · Direct Ownerdirect · owns 5% to 10%
- T•• H••••• F••••• T•••• U•••• D•••• 1•••••• · Direct Ownerdirect · owns 10% to 25%
- T•• M•••••• F• T••••• T•••• U•••• D•••• 9•••••• · Direct Ownerdirect · owns 25% to 50%
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 | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high office count relative to headcountStatic outlier · filing Aug 11, 2026offices per registered advisor of 2.0 against a peer median of 0.5 (358 comparable advisers, 100.0th percentile, 6.1 robust deviations)peers: independent wealth managers, $500M to $1B (358) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 1,212 to 1,272Mar 25, 2025 to Mar 12, 2026
- Advisory employees · 7 to 6Mar 25, 2025 to Mar 12, 2026
- Corporate clients · 5 to 4Mar 25, 2025 to Mar 12, 2026
- HNW clients · 210 to 214Mar 25, 2025 to Mar 12, 2026
- Individual clients · 218 to 200Mar 25, 2025 to Mar 12, 2026
- Pension plan clients · 9 to 8Mar 25, 2025 to Mar 12, 2026
- Assets in custody · $234M to $273MMar 25, 2025 to Mar 12, 2026
- Employees · 13 to 11Mar 25, 2025 to Mar 12, 2026
- State-registered IARs · 7 to 6Mar 25, 2025 to Mar 12, 2026
- Discretionary RAUM · $672M to $776MMar 25, 2025 to Mar 12, 2026
- HNW RAUM · $593M to $686MMar 25, 2025 to Mar 12, 2026
- Individual RAUM · $73.6M to $85.7MMar 25, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $12.1M to $13.8MMar 25, 2025 to Mar 12, 2026
- Pension RAUM · $16.5M to $16.1MMar 25, 2025 to Mar 12, 2026
- RAUM · $684M to $789MMar 25, 2025 to Mar 12, 2026
- Accounts · 1,165 to 1,212Dec 11, 2024 to Mar 25, 2025
- Corporate clients · 4 to 5Dec 11, 2024 to Mar 25, 2025
- HNW clients · 179 to 210Dec 11, 2024 to Mar 25, 2025
- Individual clients · 234 to 218Dec 11, 2024 to Mar 25, 2025
- Pension plan clients · 40 to 9Dec 11, 2024 to Mar 25, 2025
- Assets in custody · $194M to $234MDec 11, 2024 to Mar 25, 2025
- Financial planning clients · 11-25 to 11-25Dec 11, 2024 to Mar 25, 2025
- Other offices · 12 to 11Dec 11, 2024 to Mar 25, 2025
- Discretionary RAUM · $577M to $672MDec 11, 2024 to Mar 25, 2025
- HNW RAUM · $486M to $593MDec 11, 2024 to Mar 25, 2025
- Individual RAUM · $88.9M to $73.6MDec 11, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $11.6M to $12.1MDec 11, 2024 to Mar 25, 2025
- Pension RAUM · $12.7M to $16.5MDec 11, 2024 to Mar 25, 2025
- RAUM · $589M to $684MDec 11, 2024 to Mar 25, 2025
- Advisory employees · 6 to 7Mar 27, 2024 to Jun 17, 2024
- Employees · 12 to 13Mar 27, 2024 to Jun 17, 2024
- State-registered IARs · 6 to 7Mar 27, 2024 to Jun 17, 2024
- Accounts · 1,089 to 1,165Mar 30, 2023 to Mar 27, 2024
- HNW clients · 157 to 179Mar 30, 2023 to Mar 27, 2024
- Individual clients · 250 to 234Mar 30, 2023 to Mar 27, 2024
- Pension plan clients · 8 to 40Mar 30, 2023 to Mar 27, 2024
- Assets in custody · $176M to $194MMar 30, 2023 to Mar 27, 2024
- Employees · 10 to 12Mar 30, 2023 to Mar 27, 2024
- Financial planning clients · 26-50 to 11-25Mar 30, 2023 to Mar 27, 2024
- Other offices · 0 to 12Mar 30, 2023 to Mar 27, 2024
Signals
2 dated events
- W••••••• F•••••••• A•••••••• I••• reported 12 offices beyond its principal office, up from 0 (2023-03-30 to 2024-03-27)Mar 27, 2024 · Office count change · derived
- W••••••• F•••••••• A•••••••• I••• reported RAUM $561.7M, up 31% from $429.4M (2021-05-04 to 2022-03-17)Mar 17, 2022 · 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 email
- sharyn@westhillfa.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- don@westhillfa.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- yanina@westhillfa.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- elizabeth@westhillfa.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- john@westhillfa.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- nico@westhillfa.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- rosalyn@westhillfa.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 415-456-2292reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 415-482-1560reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 415-482-1561reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/westhill-financial-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- westhillfa.comreportedpublic record, Form ADV, Sep 18, 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
- $132Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026