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
C•••••• W••••• A•••••••
Legal name C•••••• W••••• A•••••••• L••
Latest filing Sep 15, 2026
First filing on the tape Dec 19, 2011 · 30 filings
SEC status approved since Feb 24, 2014
RAUM
$733M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$713M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$366M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$733M as of Mar 25, 2026
Mar 28, 2012$35.4M then
HNW client RAUM$678M as of Mar 25, 2026
Mar 10, 2018$200M then
State-registered IARs (5.B.3)2 as of Mar 25, 2026
Mar 28, 20120 then
Employees (5.A)5 as of Mar 25, 2026
Feb 10, 20155 then
Private funds: no history
RAUM +22% over the last fiscal year+22% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Sep 15, 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
- $366MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 168derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $541,722derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $28.9M, 19 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$678M92%
- Individuals$35.0M4.8%
- Pension and profit-sharing plans$19.7M2.7%
- Charitable organizations$654,5330.1%
- Individual clients
- 113reported
- HNW clients
- 223reported
- Pension plan clients
- 4reported
- Charitable clients
- 2reported
- Accounts
- 1,353reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $28.9M for 19 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••••• N•• M•••••••••Certified Financial Planner | San Jose, Ca | May 17, 2012 | 29 y | 4 |
| M••••• P•••• D•••• | San Jose, Ca | Apr 15, 2020 | 32 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
- J••• A••••• B•••••• to G••••••• F•••••••• A•••••••Nov 23, 2015 · Other
- H•••••• Q••••••• to W•••• F•••• A•••••••Oct 16, 2014 · Other
- D•••• D••• to R•••••• I••••••••• S•••••••• L••Aug 13, 2014 · Other
Joined, latest
- M••••• P•••• D•••• from P•••• S••••••••• L••Apr 15, 2020 · Other
- H•••••• Q••••••• from L•• F•••••••• L••Jul 23, 2014 · Other
- J••• A••••• B•••••• from M••••• C•••••• M••••••••• L••Nov 19, 2013 · Other
- P••••• N•• M••••••••• from C•••••••• W••••• M•••••••••May 17, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• P•••••• N•• · Managing Member / Chief Compliance Officercontrolsince 05/2011 · owns 75% or more
- D••••• M•••••• P•••• · Managing Directorsince 10/2013 · owns 10% to 25%
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
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 26-50 to 26-50Mar 25, 2026 to Sep 15, 2026
- Related adviser · false to unsetMar 25, 2026 to Sep 15, 2026
- Related bank · false to unsetMar 25, 2026 to Sep 15, 2026
- Related broker-dealer · false to unsetMar 25, 2026 to Sep 15, 2026
- Related insurance company · false to unsetMar 25, 2026 to Sep 15, 2026
- Succession · false to unsetMar 25, 2026 to Sep 15, 2026
- Accounts · 1,289 to 1,353Mar 25, 2025 to Mar 25, 2026
- Charity clients · 1 to 2Mar 25, 2025 to Mar 25, 2026
- HNW clients · 213 to 223Mar 25, 2025 to Mar 25, 2026
- Individual clients · 127 to 113Mar 25, 2025 to Mar 25, 2026
- Assets in custody · $18.5M to $28.9MMar 25, 2025 to Mar 25, 2026
- Employees · 4 to 5Mar 25, 2025 to Mar 25, 2026
- Discretionary RAUM · $601M to $733MMar 25, 2025 to Mar 25, 2026
- HNW RAUM · $539M to $678MMar 25, 2025 to Mar 25, 2026
- Individual RAUM · $42.8M to $35.0MMar 25, 2025 to Mar 25, 2026
- Pension RAUM · $18.8M to $19.7MMar 25, 2025 to Mar 25, 2026
- RAUM · $601M to $733MMar 25, 2025 to Mar 25, 2026
- Accounts · 1,192 to 1,289Jul 16, 2024 to Mar 25, 2025
- HNW clients · 202 to 213Jul 16, 2024 to Mar 25, 2025
- Individual clients · 123 to 127Jul 16, 2024 to Mar 25, 2025
- Assets in custody · $15.0M to $18.5MJul 16, 2024 to Mar 25, 2025
- Financial planning clients · 251-500 to 26-50Jul 16, 2024 to Mar 25, 2025
- Discretionary RAUM · $479M to $601MJul 16, 2024 to Mar 25, 2025
- HNW RAUM · $427M to $539MJul 16, 2024 to Mar 25, 2025
- Individual RAUM · $35.6M to $42.8MJul 16, 2024 to Mar 25, 2025
- Pension RAUM · $16.0M to $18.8MJul 16, 2024 to Mar 25, 2025
- RAUM · $479M to $601MJul 16, 2024 to Mar 25, 2025
- Accounts · 1,235 to 1,192Feb 26, 2023 to Mar 25, 2024
- BD registered reps · 1 to 0Feb 26, 2023 to Mar 25, 2024
- Charity clients · unset to 1.0Feb 26, 2023 to Mar 25, 2024
- HNW clients · 240 to 202Feb 26, 2023 to Mar 25, 2024
- Individual clients · 58 to 123Feb 26, 2023 to Mar 25, 2024
- Assets in custody · unset to 14989523.0Feb 26, 2023 to Mar 25, 2024
- Custody of client assets · false to trueFeb 26, 2023 to Mar 25, 2024
- Discretionary RAUM · $404M to $479MFeb 26, 2023 to Mar 25, 2024
- HNW RAUM · $365M to $427MFeb 26, 2023 to Mar 25, 2024
- Individual RAUM · $14.9M to $35.6MFeb 26, 2023 to Mar 25, 2024
- Pension RAUM · $23.3M to $16.0MFeb 26, 2023 to Mar 25, 2024
- RAUM · $404M to $479MFeb 26, 2023 to Mar 25, 2024
- Accounts · 1,202 to 1,235Mar 30, 2022 to Feb 26, 2023
Signals
2 dated events
- C•••••• W••••• A••••••• reported RAUM $601.2M, up 26% from $478.9M (2024-07-16 to 2025-03-25)Mar 25, 2025 · RAUM change · derived
- C•••••• I•••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Feb 18, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C•••••• W••••• A••••••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 408-560-3220reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/clarity-wealth-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H••••://WWW.C••••••WA.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 408-560-3220reportedpublic record, Form ADV, Sep 15, 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
- $366Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026