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.
SEC-registered adviser
Raub Brock Capital Management, LP
Latest filing Sep 1, 2026
First filing on the tape Mar 23, 2012 · 41 filings
SEC status approved since Aug 6, 2010
RAUM
$2.9B
reported, Item 5.F
Discretionary
16%
of RAUM
Private clients
9.4%
$276M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$488M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$2.9B as of Mar 11, 2026
Mar 23, 2012$218M then
HNW client RAUM$256M as of Mar 11, 2026
Mar 6, 2018$290M then
State-registered IARs (5.B.3)6 as of Mar 11, 2026
Mar 8, 20133 then
Employees (5.A)9 as of Mar 11, 2026
Mar 8, 20134 then
Private funds: no history
RAUM -9.2% over the last fiscal year+1.4% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Sep 1, 2026; every figure names its basis
- RAUM per advisor
- $488MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 19derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $461,039derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 16%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -9.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $19.7M, 22 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$2.6B90%
- High-net-worth individuals$256M8.8%
- Individuals$19.7M0.7%
- Pension and profit-sharing plans$18.5M0.6%
- Individual clients
- 34reported
- HNW clients
- 81reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 6,352reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $0 sponsored, $3.7M managedreported
- Custody of client assets
- $19.7M for 22 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.09 fund_share=0.9 institutional_share=0.01 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Richard Henry AlpertCertified Financial Planner | Larkspur, Ca | Jan 4, 2021 | 24 y | 4 |
| Zachary Clayton Norman | Larkspur, Ca | Jan 4, 2021 | 11 y | 1 |
| Eric Justin RichardsChartered Financial Analyst | Larkspur, Ca | Aug 11, 2021 | 20 y | 1 |
| Cheryl Lenorre GrossCertified Financial Planner | Larkspur, Ca | Aug 11, 2021 | 12 y | 2 |
| Patrick Thomas TinucciChartered Financial Analyst | Larkspur, Ca | Apr 2, 2024 | 11 y | 0 |
| Gregory Scott SommerChartered Financial Analyst | Larkspur, Ca | Apr 5, 2024 | 18 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
- Jason Patrick Rodnick to Osborne PartnersNov 6, 2018 · RIA to RIA
- Corey Bryant Long to Polaris Wealth Advisory GroupApr 23, 2018 · RIA to RIA
- William James Steinberger to Buckingham Strategic Wealth, LLCOct 13, 2016 · Other
- David Bruce Lawrence to Willow Creek Wealth Management, Inc.Oct 6, 2015 · Other
Joined, latest
- Gregory Scott Sommer from Ameriprise Financial Services, LLCApr 5, 2024 · Other
- Cheryl Lenorre Gross from Broadwing Capital Advisors, Inc.Nov 7, 2017 · Other
- Corey Bryant Long from Strategic Advisers LLCMar 10, 2015 · Other
- David Bruce Lawrence from Mosaic Financial Partners, Inc.Jul 3, 2013 · Other
- Richard Henry Alpert from Raub/Brock Capital Management, Inc.Nov 19, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Henry Richard Alpert · Limited Partner And Portfolio Managercontrolsince 07/2010 · owns 75% or more
- Jeanne Wendy Phillippay · Chief Compliance Officercontrolsince 03/2021 · owns less than 5%
- Henry Richard Alpert · Owner And Officersince 07/2012 · owns 75% or more of Raub-Alpert Holdings, LLC
Entity owners
- Raub-Alpert Holdings, LLC · General Partnerdirect · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Larkspur, Ca · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 11-25 to 11-25Mar 11, 2026 to Sep 1, 2026
- Related adviser · false to unsetMar 11, 2026 to Sep 1, 2026
- Related bank · false to unsetMar 11, 2026 to Sep 1, 2026
- Related broker-dealer · false to unsetMar 11, 2026 to Sep 1, 2026
- Related insurance company · false to unsetMar 11, 2026 to Sep 1, 2026
- Succession · false to unsetMar 11, 2026 to Sep 1, 2026
- Accounts · 7,179 to 6,352Nov 17, 2025 to Mar 11, 2026
- HNW clients · 86 to 81Nov 17, 2025 to Mar 11, 2026
- Individual clients · 35 to 34Nov 17, 2025 to Mar 11, 2026
- Assets in custody · $10.7M to $19.7MNov 17, 2025 to Mar 11, 2026
- Discretionary RAUM · $488M to $467MNov 17, 2025 to Mar 11, 2026
- HNW RAUM · $248M to $256MNov 17, 2025 to Mar 11, 2026
- Individual RAUM · $22.8M to $19.7MNov 17, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $2.7B to $2.5BNov 17, 2025 to Mar 11, 2026
- Pension RAUM · $17.9M to $18.5MNov 17, 2025 to Mar 11, 2026
- RAUM · $3.2B to $2.9BNov 17, 2025 to Mar 11, 2026
- Wrap assets (manager) · $3.8M to $3.7MNov 17, 2025 to Mar 11, 2026
- Assets in custody · unset to 10707756.0Mar 5, 2025 to Nov 17, 2025
- Custody of client assets · false to trueMar 5, 2025 to Nov 17, 2025
- Accounts · 7,037 to 7,179Mar 22, 2024 to Mar 5, 2025
- Advisory employees · 7 to 6Mar 22, 2024 to Mar 5, 2025
- HNW clients · 80 to 86Mar 22, 2024 to Mar 5, 2025
- Individual clients · 44 to 35Mar 22, 2024 to Mar 5, 2025
- Financial planning clients · 11-25 to 11-25Mar 22, 2024 to Mar 5, 2025
- State-registered IARs · 7 to 6Mar 22, 2024 to Mar 5, 2025
- Discretionary RAUM · $510M to $488MMar 22, 2024 to Mar 5, 2025
- HNW RAUM · $234M to $248MMar 22, 2024 to Mar 5, 2025
- Individual RAUM · $26.7M to $22.8MMar 22, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $2.5B to $2.7BMar 22, 2024 to Mar 5, 2025
- Pension RAUM · $17.1M to $17.9MMar 22, 2024 to Mar 5, 2025
- RAUM · $3.1B to $3.2BMar 22, 2024 to Mar 5, 2025
- Wrap assets (manager) · $55.3M to $3.8MMar 22, 2024 to Mar 5, 2025
- Accounts · 6,720 to 7,037Mar 14, 2023 to Mar 20, 2024
- Advisory employees · 4 to 7Mar 14, 2023 to Mar 20, 2024
- HNW clients · 131 to 80Mar 14, 2023 to Mar 20, 2024
- Individual clients · 378 to 44Mar 14, 2023 to Mar 20, 2024
- Pension plan clients · 9 to 2Mar 14, 2023 to Mar 20, 2024
- Employees · 8 to 9Mar 14, 2023 to Mar 20, 2024
- State-registered IARs · 6 to 7Mar 14, 2023 to Mar 20, 2024
- Discretionary RAUM · $537M to $510MMar 14, 2023 to Mar 20, 2024
Signals
5 dated events
- Raub Brock Capital Management, Lp reported RAUM $3.4B, up 30% from $2.6B (2021-11-22 to 2022-02-28)Feb 28, 2022 · RAUM change · derived
- Jeanne Wendy Phillippay (Chief Compliance Officer) appeared on Schedule A of Raub Brock Capital Management, LpMar 29, 2021 · Control person joined · fact
- Raub Brock Capital Management, Lp reported RAUM $1.9B, up 50% from $1.3B (2018-04-02 to 2019-03-19)Mar 19, 2019 · RAUM change · derived
- Raub Brock Capital Management, Lp reported RAUM $1.3B, up 27% from $1.0B (2017-05-30 to 2018-03-06)Mar 6, 2018 · RAUM change · derived
- Raub Brock Capital Management, Lp reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 28, 2014 · Succession (Item 4) · 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
- Website
- RAUBBROCK.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 415-927-6990reportedpublic record, Form ADV, Sep 1, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $488Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026