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
R•••• F••••••• A•••• M•••••••••
Legal name A••• I••••••••• A••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Dec 21, 2011 · 24 filings
SEC status approved since Sep 19, 2011
RAUM
$585M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$558M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$292M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$585M as of Mar 23, 2026
Mar 2, 2012$126M then
HNW client RAUM$515M as of Mar 23, 2026
Mar 29, 2018$258M then
State-registered IARs (5.B.3)2 as of Mar 23, 2026
Mar 2, 20120 then
Employees (5.A)2 as of Mar 23, 2026
Mar 9, 20132 then
Private funds: no history
RAUM +16% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 23, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $292MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 104derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$515M88%
- Individuals$42.6M7.3%
- Pension and profit-sharing plans$27.3M4.7%
- Individual clients
- 86reported
- HNW clients
- 122reported
- Pension plan clients
- 13reported
- Charitable clients
- 0reported
- Accounts
- 562reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• G••••• R•••• | Los Altos, Ca | Sep 19, 2011 | 23 y | 2 |
| S••••• E•••• F••••••• | Los Altos, Ca | Dec 8, 2025 | 24 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- S••••• E•••• F••••••• from D••••••• A•••••••• L••Dec 8, 2025 · Other
- J••••••• G••••• R•••• from L••••• M••••••••• C• I••Sep 19, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••••• S•••••• E•••• · Managing Membercontrolsince 02/2011 · owns 50% to 75%
- R••••• J•••••••• G••••• · Managing Member/Chief Compliance Officercontrolsince 02/2011 · 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 |
|---|---|---|---|---|---|
| Los Altos, Ca · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 527 to 562Mar 19, 2025 to Mar 23, 2026
- HNW clients · 114 to 122Mar 19, 2025 to Mar 23, 2026
- Individual clients · 79 to 86Mar 19, 2025 to Mar 23, 2026
- Pension plan clients · 17 to 13Mar 19, 2025 to Mar 23, 2026
- Discretionary RAUM · $503M to $583MMar 19, 2025 to Mar 23, 2026
- HNW RAUM · $432M to $515MMar 19, 2025 to Mar 23, 2026
- Individual RAUM · $42.1M to $42.6MMar 19, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $1.8M to $1.9MMar 19, 2025 to Mar 23, 2026
- Pension RAUM · $30.4M to $27.3MMar 19, 2025 to Mar 23, 2026
- RAUM · $505M to $585MMar 19, 2025 to Mar 23, 2026
- Accounts · 531 to 527Mar 20, 2024 to Mar 19, 2025
- HNW clients · 113 to 114Mar 20, 2024 to Mar 19, 2025
- Individual clients · 84 to 79Mar 20, 2024 to Mar 19, 2025
- Pension plan clients · 16 to 17Mar 20, 2024 to Mar 19, 2025
- Financial planning clients · unset to Mar 20, 2024 to Mar 19, 2025
- Discretionary RAUM · $452M to $503MMar 20, 2024 to Mar 19, 2025
- HNW RAUM · $385M to $432MMar 20, 2024 to Mar 19, 2025
- Individual RAUM · $41.0M to $42.1MMar 20, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $1.4M to $1.8MMar 20, 2024 to Mar 19, 2025
- Pension RAUM · $27.2M to $30.4MMar 20, 2024 to Mar 19, 2025
- RAUM · $453M to $505MMar 20, 2024 to Mar 19, 2025
- Accounts · 554 to 531Mar 29, 2023 to Mar 20, 2024
- HNW clients · 108 to 113Mar 29, 2023 to Mar 20, 2024
- Individual clients · 97 to 84Mar 29, 2023 to Mar 20, 2024
- Pension plan clients · 19 to 16Mar 29, 2023 to Mar 20, 2024
- Discretionary RAUM · $406M to $452MMar 29, 2023 to Mar 20, 2024
- HNW RAUM · $330M to $385MMar 29, 2023 to Mar 20, 2024
- Individual RAUM · $49.5M to $41.0MMar 29, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $946,982 to $1.4MMar 29, 2023 to Mar 20, 2024
- Pension RAUM · $26.8M to $27.2MMar 29, 2023 to Mar 20, 2024
- RAUM · $407M to $453MMar 29, 2023 to Mar 20, 2024
- Accounts · 541 to 554Mar 17, 2022 to Mar 29, 2023
- HNW clients · 113 to 108Mar 17, 2022 to Mar 29, 2023
- Individual clients · 77 to 97Mar 17, 2022 to Mar 29, 2023
- Pension plan clients · 14 to 19Mar 17, 2022 to Mar 29, 2023
- Discretionary RAUM · $460M to $406MMar 17, 2022 to Mar 29, 2023
- HNW RAUM · $387M to $330MMar 17, 2022 to Mar 29, 2023
- Individual RAUM · $46.2M to $49.5MMar 17, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $1.6M to $946,982Mar 17, 2022 to Mar 29, 2023
- Pension RAUM · $28.8M to $26.8MMar 17, 2022 to Mar 29, 2023
Signals
No event on the tape.
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
- jon@rfasset.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 650-988-1080reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 650-988-1088reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 650-988-1088reportedpublic record, Form ADV, Mar 23, 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
- $292Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026