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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
A•••• S•••••••• I••••••••• A•••••••
Legal name A•••• S•••••••• I••••••••• A•••••••• L••
Latest filing Aug 4, 2026
First filing on the tape Mar 31, 2022 · 10 filings
SEC status approved since Apr 29, 2022
RAUM
$466M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$427M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$117M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$466M as of Aug 4, 2026
Mar 30, 2023$110M then
HNW client RAUM$391M as of Aug 4, 2026
Mar 30, 2023$96.5M then
State-registered IARs (5.B.3)4 as of Aug 4, 2026
Mar 30, 20233 then
Employees (5.A)6 as of Aug 4, 2026
Mar 30, 20234 then
Private funds: no history
RAUM +78% over the last fiscal year+62% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Aug 4, 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
- $117MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 110derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $620,898derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +52%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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$391M85%
- Individuals$35.8M7.7%
- Corporations and businesses$28.6M6.2%
- Pension and profit-sharing plans$4.1M0.9%
- Charitable organizations$2.2M0.5%
- Pooled investment vehicles$952,8620.2%
- Individual clients
- 175reported
- HNW clients
- 266reported
- Pension plan clients
- 12reported
- Charitable clients
- 2reported
- Accounts
- 751reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••• T• S•• | South San Francisco, Ca | May 30, 2013 | 26 y | 0 |
| R••••• N••••• M••••Chartered Financial Analyst | South San Francisco, Ca | May 30, 2013 | 13 y | 1 |
| N••••••• B••••• L•• | South San Francisco, Ca | Feb 12, 2025 | 12 y | 0 |
| J••••• B•••• S•• | South San Francisco, Ca | May 7, 2025 | 11 y | 0 |
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 headcount1 left over 36 months
Left, latest
- J••• L•• to C•••••• W••••• M•••••••••Jan 15, 2025 · RIA to RIA
Joined, latest
- J••• L•• from C•••••• W••••• M••••••••• L••Apr 28, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••• J••• · Cio, Membercontrolsince 03/2011 · owns 50% to 75%
- S••• A••••••• T• · Ceo, Cco, Manager, Membercontrolsince 03/2011 · owns 50% to 75%
- M••••• R•••••• N••••• · Director Of Researchsince 01/2013 · owns less than 5%
Related persons
Schedule D 7.A
- C•••••• W••••• M•••••••••investment advisernRAUM $643M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| South San Francisco, Ca · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 24, 2026RAUM (Item 5.F) moved from $261,468,246 to $397,127,864 (+52.0%) between the annual amendments of 2025-03-27 and 2026-03-24; the peer median change was +15.0% (4550 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 633 to 751Mar 24, 2026 to Aug 4, 2026
- Corporate clients · 23 to 21Mar 24, 2026 to Aug 4, 2026
- HNW clients · 235 to 266Mar 24, 2026 to Aug 4, 2026
- Individual clients · 160 to 175Mar 24, 2026 to Aug 4, 2026
- Discretionary RAUM · $397M to $466MMar 24, 2026 to Aug 4, 2026
- HNW RAUM · $303M to $391MMar 24, 2026 to Aug 4, 2026
- Individual RAUM · $57.2M to $35.8MMar 24, 2026 to Aug 4, 2026
- Pension RAUM · $3.6M to $4.1MMar 24, 2026 to Aug 4, 2026
- Pooled vehicle RAUM · $866,085 to $952,862Mar 24, 2026 to Aug 4, 2026
- RAUM · $397M to $466MMar 24, 2026 to Aug 4, 2026
- Accounts · 600 to 633Sep 16, 2025 to Mar 24, 2026
- Advisory employees · 3 to 4Sep 16, 2025 to Mar 24, 2026
- Charity clients · 1 to 2Sep 16, 2025 to Mar 24, 2026
- Corporate clients · 27 to 23Sep 16, 2025 to Mar 24, 2026
- HNW clients · 215 to 235Sep 16, 2025 to Mar 24, 2026
- Individual clients · 140 to 160Sep 16, 2025 to Mar 24, 2026
- Pension plan clients · 4 to 12Sep 16, 2025 to Mar 24, 2026
- Employees · 5 to 6Sep 16, 2025 to Mar 24, 2026
- Financial planning clients · 0 to 1-10Sep 16, 2025 to Mar 24, 2026
- State-registered IARs · 3 to 4Sep 16, 2025 to Mar 24, 2026
- Discretionary RAUM · $364M to $397MSep 16, 2025 to Mar 24, 2026
- HNW RAUM · $278M to $303MSep 16, 2025 to Mar 24, 2026
- Individual RAUM · $51.3M to $57.2MSep 16, 2025 to Mar 24, 2026
- Pension RAUM · $3.0M to $3.6MSep 16, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $852,571 to $866,085Sep 16, 2025 to Mar 24, 2026
- RAUM · $364M to $397MSep 16, 2025 to Mar 24, 2026
- Accounts · 564 to 600Mar 27, 2025 to Sep 16, 2025
- Corporate clients · 18 to 27Mar 27, 2025 to Sep 16, 2025
- HNW clients · 204 to 215Mar 27, 2025 to Sep 16, 2025
- Individual clients · 137 to 140Mar 27, 2025 to Sep 16, 2025
- Pension plan clients · 0 to 4Mar 27, 2025 to Sep 16, 2025
- Financial planning clients · 0 to 0Mar 27, 2025 to Sep 16, 2025
- Discretionary RAUM · $261M to $364MMar 27, 2025 to Sep 16, 2025
- HNW RAUM · $195M to $278MMar 27, 2025 to Sep 16, 2025
- Individual RAUM · $46.0M to $51.3MMar 27, 2025 to Sep 16, 2025
- Pension RAUM · unset to 3038384.0Mar 27, 2025 to Sep 16, 2025
- Pooled vehicle RAUM · $656,378 to $852,571Mar 27, 2025 to Sep 16, 2025
- RAUM · $261M to $364MMar 27, 2025 to Sep 16, 2025
- Accounts · 417 to 564Jan 28, 2025 to Mar 27, 2025
- Advisory employees · 2 to 3Jan 28, 2025 to Mar 27, 2025
Signals
3 dated events
- A•••• S•••••••• I••••••••• A••••••• reported RAUM $363.9M, up 39% from $261.5M (2025-03-27 to 2025-09-16)Sep 16, 2025 · RAUM change · derived
- J••• L•• left A•••• S•••••••• I••••••••• A••••••• for C•••••• W••••• M••••••••• (registered 2025-11-11)Jan 15, 2025 · Advisor changed firm · fact
- A•••• S•••••••• I••••••••• A••••••• filed its initial SEC registration (Form ADV)Mar 31, 2022 · First SEC registration · 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
- Business email
- info@asiadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 415-882-7088reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ASIADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-882-7088reportedpublic record, Form ADV, Aug 4, 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
- $117Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026