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.

Former SEC-registered adviser

Futureadvisor, Inc.

Former SEC-registered adviserSan Francisco, CaliforniaCRD 154604SEC 801-71929IAPD
Latest filing Jun 8, 2023
First filing on the tape Apr 9, 2012 · 36 filings
RAUM
$649M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$649M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
20
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$649M as of Mar 30, 2023
Sep 28, 2012$0 then
HNW client RAUM$224M as of Mar 30, 2023
Mar 29, 2018$29.5M then
State-registered IARs (5.B.3)3 as of Mar 30, 2023
Sep 28, 20120 then
Employees (5.A)20 as of Mar 30, 2023
Sep 30, 201314 then
Private funds: no history
RAUM -63% over the last fiscal year-17% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Jun 8, 2023; every figure names its basis
RAUM per advisor
$216MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
997derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$129,496derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
6.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-63%derivedbetween the last two annual amendments
Advisor growth, one year
-25%derivedItem 5.B.3 between annual amendments
Client growth, one year
-88%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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
  • 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$425M65%
  • High-net-worth individuals$224M35%
Individual clients
2,871reported
HNW clients
119reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
5,011reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $16.5M managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Allen Joseph Chalom · Directorcontrol
    since 02/2020 · owns less than 5%
  • Venugopal Krishnamurthy · Directorcontrol
    since 03/2019 · owns less than 5%
  • Choon Sik Charles Park · Chief Compliance Officercontrol
    since 09/2018 · owns less than 5%
Entity owners
  • Blackrock Inc · Sole Shareholder
    direct · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
Advisers that list Futureadvisor, Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 30,612 to 5,011
    Apr 22, 2022 to Mar 30, 2023
  • Advisory employees · 8 to 6
    Apr 22, 2022 to Mar 30, 2023
  • HNW clients · 176 to 119
    Apr 22, 2022 to Mar 30, 2023
  • Individual clients · 23,845 to 2,871
    Apr 22, 2022 to Mar 30, 2023
  • Employees · 35 to 20
    Apr 22, 2022 to Mar 30, 2023
  • State-registered IARs · 4 to 3
    Apr 22, 2022 to Mar 30, 2023
  • Discretionary RAUM · $1.8B to $649M
    Apr 22, 2022 to Mar 30, 2023
  • HNW RAUM · $340M to $224M
    Apr 22, 2022 to Mar 30, 2023
  • Individual RAUM · $1.4B to $425M
    Apr 22, 2022 to Mar 30, 2023
  • Pension RAUM · unset to 0.0
    Apr 22, 2022 to Mar 30, 2023
  • Pooled vehicle RAUM · unset to 0.0
    Apr 22, 2022 to Mar 30, 2023
  • RAUM · $1.8B to $649M
    Apr 22, 2022 to Mar 30, 2023
  • Wrap assets (manager) · $874M to $16.5M
    Apr 22, 2022 to Mar 30, 2023
  • Accounts · 30,921 to 30,612
    May 3, 2021 to Mar 30, 2022
  • HNW clients · 28 to 176
    May 3, 2021 to Mar 30, 2022
  • Individual clients · 24,148 to 23,845
    May 3, 2021 to Mar 30, 2022
  • Employees · 55 to 35
    May 3, 2021 to Mar 30, 2022
  • State-registered IARs · 5 to 4
    May 3, 2021 to Mar 30, 2022
  • Discretionary RAUM · $1.7B to $1.8B
    May 3, 2021 to Mar 30, 2022
  • HNW RAUM · $70.8M to $340M
    May 3, 2021 to Mar 30, 2022
  • Individual RAUM · $1.7B to $1.4B
    May 3, 2021 to Mar 30, 2022
  • RAUM · $1.7B to $1.8B
    May 3, 2021 to Mar 30, 2022
  • Wrap assets (manager) · $835M to $874M
    May 3, 2021 to Mar 30, 2022
  • Accounts · 18,662 to 30,921
    Oct 21, 2020 to Mar 30, 2021
  • Advisory employees · 9 to 8
    Oct 21, 2020 to Mar 30, 2021
  • HNW clients · unset to 28.0
    Oct 21, 2020 to Mar 30, 2021
  • Individual clients · 18,660 to 24,148
    Oct 21, 2020 to Mar 30, 2021
  • Employees · 89 to 55
    Oct 21, 2020 to Mar 30, 2021
  • State-registered IARs · 6 to 5
    Oct 21, 2020 to Mar 30, 2021
  • Discretionary RAUM · $1.1B to $1.7B
    Oct 21, 2020 to Mar 30, 2021
  • HNW RAUM · $11.6M to $70.8M
    Oct 21, 2020 to Mar 30, 2021
  • Individual RAUM · $1.1B to $1.7B
    Oct 21, 2020 to Mar 30, 2021
  • RAUM · $1.1B to $1.7B
    Oct 21, 2020 to Mar 30, 2021
  • Wrap assets (manager) · $443M to $835M
    Oct 21, 2020 to Mar 30, 2021
  • Accounts · 18,179 to 18,662
    Sep 10, 2019 to Mar 27, 2020
  • Individual clients · 12,285 to 18,660
    Sep 10, 2019 to Mar 27, 2020
  • Employees · 124 to 89
    Sep 10, 2019 to Mar 27, 2020
  • Discretionary RAUM · $1.2B to $1.1B
    Sep 10, 2019 to Mar 27, 2020
  • HNW RAUM · $18.5M to $11.6M
    Sep 10, 2019 to Mar 27, 2020
  • Individual RAUM · $1.2B to $1.1B
    Sep 10, 2019 to Mar 27, 2020
Signals
19 dated events
  • Futureadvisor, Inc. reported RAUM $648.9M, down 63% from $1.8B (2022-04-22 to 2023-03-30)
    Mar 30, 2023 · RAUM change · derived
  • Nishith Ajitsaria (Director) no longer on Schedule A of Futureadvisor, Inc. (listed 2023-03-30, absent 2023-03-30)
    Mar 30, 2023 · Control person left · inference
  • Matthew Gerard Hull left Futureadvisor, Inc. for Ubs Financial Services Inc. (registered 2023-01-19)
    Jan 6, 2023 · Advisor changed firm · fact
  • Futureadvisor, Inc. reported RAUM $1.7B, up 54% from $1.1B (2020-10-21 to 2021-03-30)
    Mar 30, 2021 · RAUM change · derived
  • Allen Joseph Chalom (Director) appeared on Schedule A of Futureadvisor, Inc.
    Mar 27, 2020 · Control person joined · fact
  • Anne Dervilla Lannon (Director) no longer on Schedule A of Futureadvisor, Inc. (listed 2019-09-10, absent 2020-03-27)
    Mar 27, 2020 · Control person left · inference
  • Nmn Bo Lu (Chief Executive Officer & President) no longer on Schedule A of Futureadvisor, Inc. (listed 2019-03-29, absent 2019-09-10)
    Sep 10, 2019 · Control person left · inference
  • Mary-Catherine Lader (Chief Operating Officer) no longer on Schedule A of Futureadvisor, Inc. (listed 2019-03-29, absent 2019-09-10)
    Sep 10, 2019 · Control person left · inference
  • Joud Abdel Majeid (Director) no longer on Schedule A of Futureadvisor, Inc. (listed 2019-03-29, absent 2019-09-10)
    Sep 10, 2019 · Control person left · inference
  • Anne Dervilla Lannon (Director) appeared on Schedule A of Futureadvisor, Inc.
    Sep 10, 2019 · Control person joined · fact
  • Joud Abdel Majeid (Director) appeared on Schedule A of Futureadvisor, Inc.
    Mar 29, 2019 · Control person joined · fact
  • Nishith Ajitsaria (Director) appeared on Schedule A of Futureadvisor, Inc.
    Mar 29, 2019 · Control person joined · fact
  • Venugopal Krishnamurthy (Director) appeared on Schedule A of Futureadvisor, Inc.
    Mar 29, 2019 · Control person joined · fact
  • Mary-Catherine Lader (Chief Operating Officer) appeared on Schedule A of Futureadvisor, Inc.
    Mar 29, 2019 · Control person joined · fact
  • Changzheng Jon Xu (President) no longer on Schedule A of Futureadvisor, Inc. (listed 2018-10-22, absent 2019-03-29)
    Mar 29, 2019 · Control person left · inference
  • Russell Daniel Waltcher (Director) no longer on Schedule A of Futureadvisor, Inc. (listed 2018-10-22, absent 2019-03-29)
    Mar 29, 2019 · Control person left · inference
  • Michael Kameron Rezai (Chief Operating Officer) no longer on Schedule A of Futureadvisor, Inc. (listed 2018-10-22, absent 2019-03-29)
    Mar 29, 2019 · Control person left · inference
  • William Robert Fairbairn (Director) no longer on Schedule A of Futureadvisor, Inc. (listed 2018-10-22, absent 2019-03-29)
    Mar 29, 2019 · Control person left · inference
  • Allen Joseph Chalom (Director) no longer on Schedule A of Futureadvisor, Inc. (listed 2018-10-22, absent 2019-03-29)
    Mar 29, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026