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
Silicon Valley Retirement Services, LLC
Latest filing Feb 9, 2026
First filing on the tape Jan 13, 2012 · 16 filings
SEC status approved since Aug 12, 2010
RAUM
$1.4B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$1.4B individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$701M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$1.4B as of Feb 9, 2026
Mar 14, 2012$130M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Feb 9, 2026
Mar 14, 20120 then
Employees (5.A)2 as of Feb 9, 2026
Feb 19, 20132 then
Private funds: no history
RAUM +23% over the last fiscal year+26% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 9, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $701MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $28.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- pension consulting, selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$1.4B100%
- Individual clients
- 50reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 50reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
none on the tape
Joined, latest
- Timothy Allen Cole from Cambridge Investment Research Advisors, Inc.Oct 6, 2010 · Other
- Scott Anthony Keswick from Cambridge Investment Research Advisors, Inc.Oct 6, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Allen Timothy Cole · Managing Member, Chief Compliance Officercontrolsince 07/2010 · owns 50% to 75%
- Anthony Scott Keswick · Managing Membercontrolsince 07/2010 · owns 50% to 75%
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 Jose, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- institutional to wealth shiftCombination · filing Feb 9, 2026peers: independent wealth managers, $1B to $5B (1,360)
- unusually large average accountStatic outlier · filing Feb 9, 2026RAUM per account of $28,029,352 against a peer median of $812,622 (1332 comparable advisers, 99.0th percentile, 18.4 robust deviations)peers: independent wealth managers, $1B to $5B (1,332) · 99% percentile
- low discretionary shareStatic outlier · filing Feb 9, 2026discretionary share of RAUM of 0% against a peer median of 99% (1360 comparable advisers, 0.0th percentile, 33.2 robust deviations)peers: independent wealth managers, $1B to $5B (1,360) · 0.0% percentile
- client mix shiftChange between filings · filing Feb 9, 2026private-client share of RAUM moved from 0.0% to 100.0% between the annual amendments of 2025-02-18 and 2026-02-09peers: independent wealth managers, $1B to $5B (1,360)
- institutional asset share shiftChange between filings · filing Feb 9, 2026institutional share of RAUM moved from 100.0% to 0.0% between the annual amendments of 2025-02-18 and 2026-02-09peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 55 to 50Feb 18, 2025 to Feb 9, 2026
- Individual clients · unset to 50.0Feb 18, 2025 to Feb 9, 2026
- Pension plan clients · 55.0 to unsetFeb 18, 2025 to Feb 9, 2026
- Individual RAUM · unset to 1401467613.0Feb 18, 2025 to Feb 9, 2026
- Non-discretionary RAUM · $1.1B to $1.4BFeb 18, 2025 to Feb 9, 2026
- Pension RAUM · 1136720218.0 to unsetFeb 18, 2025 to Feb 9, 2026
- RAUM · $1.1B to $1.4BFeb 18, 2025 to Feb 9, 2026
- Accounts · 53 to 55Feb 11, 2024 to Feb 18, 2025
- Pension plan clients · 53 to 55Feb 11, 2024 to Feb 18, 2025
- Financial planning clients · unset to Feb 11, 2024 to Feb 18, 2025
- Non-discretionary RAUM · $944M to $1.1BFeb 11, 2024 to Feb 18, 2025
- Pension RAUM · $944M to $1.1BFeb 11, 2024 to Feb 18, 2025
- RAUM · $944M to $1.1BFeb 11, 2024 to Feb 18, 2025
- Accounts · 52 to 53Feb 12, 2023 to Feb 11, 2024
- Advisory activities · 1 to 2Feb 12, 2023 to Feb 11, 2024
- Pension plan clients · 52 to 53Feb 12, 2023 to Feb 11, 2024
- Non-discretionary RAUM · $698M to $944MFeb 12, 2023 to Feb 11, 2024
- Pension RAUM · $698M to $944MFeb 12, 2023 to Feb 11, 2024
- RAUM · $698M to $944MFeb 12, 2023 to Feb 11, 2024
- Pension plan clients · 54 to 52Feb 9, 2022 to Feb 12, 2023
- Financial planning clients · 51-100 to unsetFeb 9, 2022 to Feb 12, 2023
- Non-discretionary RAUM · $1.0B to $698MFeb 9, 2022 to Feb 12, 2023
- Pension RAUM · $1.0B to $698MFeb 9, 2022 to Feb 12, 2023
- RAUM · $1.0B to $698MFeb 9, 2022 to Feb 12, 2023
- Accounts · 56 to 52Jan 18, 2021 to Feb 9, 2022
- Pension plan clients · 56 to 54Jan 18, 2021 to Feb 9, 2022
- Financial planning clients · unset to 51-100Jan 18, 2021 to Feb 9, 2022
- Non-discretionary RAUM · $842M to $1.0BJan 18, 2021 to Feb 9, 2022
- Pension RAUM · $842M to $1.0BJan 18, 2021 to Feb 9, 2022
- RAUM · $842M to $1.0BJan 18, 2021 to Feb 9, 2022
- Accounts · 54 to 56Feb 7, 2020 to Jan 18, 2021
- Pension plan clients · 54 to 56Feb 7, 2020 to Jan 18, 2021
- Non-discretionary RAUM · $754M to $842MFeb 7, 2020 to Jan 18, 2021
- Pension RAUM · $754M to $842MFeb 7, 2020 to Jan 18, 2021
- RAUM · $754M to $842MFeb 7, 2020 to Jan 18, 2021
- Non-discretionary RAUM · $582M to $754MFeb 13, 2019 to Feb 7, 2020
- Pension RAUM · $582M to $754MFeb 13, 2019 to Feb 7, 2020
- RAUM · $582M to $754MFeb 13, 2019 to Feb 7, 2020
- Accounts · 52 to 54Feb 16, 2018 to Feb 13, 2019
- Pension plan clients · 52 to 54Feb 16, 2018 to Feb 13, 2019
Signals
4 dated events
- Silicon Valley Retirement Services, Llc reported RAUM $944.3M, up 35% from $698.3M (2023-02-12 to 2024-02-11)Feb 11, 2024 · RAUM change · derived
- Silicon Valley Retirement Services, Llc reported RAUM $698.3M, down 33% from $1.0B (2022-02-09 to 2023-02-12)Feb 12, 2023 · RAUM change · derived
- Silicon Valley Retirement Services, Llc reported RAUM $754.1M, up 29% from $582.4M (2019-02-13 to 2020-02-07)Feb 7, 2020 · RAUM change · derived
- Silicon Valley Retirement Services, Llc reported RAUM $501.3M, up 32% from $380.0M (2017-02-12 to 2018-02-16)Feb 16, 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
- Website
- SVRETIREMENTSERVICES.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 408-572-5572reportedpublic record, Form ADV, Feb 9, 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
- $701Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026