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
Rebalance LLC
Latest filing Jul 30, 2026
First filing on the tape Nov 29, 2011 · 96 filings
SEC status approved since Sep 28, 2011
RAUM
$1.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$1.8B individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$214M
derived; firm RAUM over IAPD count
Employees
18
7 advisory (5.B.1)
Offices
10
beyond the principal office
Private funds
0
reported on Schedule D
History
96 filings and snapshots on the tape
RAUM$1.9B as of Jul 30, 2026
Mar 14, 2012$67.6M then
HNW client RAUM$1.4B as of Jul 30, 2026
Mar 14, 2018$391M then
State-registered IARs (5.B.3)9 as of Jul 30, 2026
Mar 14, 20120 then
Employees (5.A)18 as of Jul 30, 2026
Mar 26, 20133 then
Private funds: no history
RAUM +24% over the last fiscal year+18% a year over threeIARs 7 to 9
Practice profile
derived from the filing of Jul 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $214MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.0MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.8derived11 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%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, pension consultingreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.4B72%
- Individuals$404M21%
- Charitable organizations$130M6.8%
- Pension and profit-sharing plans$14.4M0.7%
- Individual clients
- 439reported
- HNW clients
- 197reported
- Pension plan clients
- 17reported
- Charitable clients
- 3reported
- Accounts
- 1,727reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Mitchell Jay Tuchman | Menlo Park, Ca | Sep 28, 2011 | 26 y | 2 |
| Sarah Swift Brandon | Santa Barbara, Ca | Sep 28, 2011 | 17 y | 1 |
| Christie Marie WhitneyCertified Financial Planner | Palo Alto, Ca | Jul 28, 2016 | 27 y | 5 |
| Sonja Grace BreedingCertified Financial Planner | Palo Alto, Ca | Sep 6, 2022 | 22 y | 3 |
| Matthew Peter JudeCertified Financial Planner | Palo Alto, Ca | Jul 20, 2023 | 13 y | 1 |
| Svetlana A Kot | Palo Alto, Ca | Feb 5, 2024 | 10 y | 0 |
| Daniel James Mavraides | Los Angeles, Ca | Sep 3, 2024 | 12 y | 2 |
| Scott David Puritz | Palo Alto, Ca | Jan 3, 2025 | 14 y | 0 |
| Heidi Bao PhanCertified Financial Planner | Palo Alto, Ca | Apr 29, 2026 | 13 y | 2 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 11% of current headcount2 left over 36 months
Left, latest
- Jill Carothers to Clarity Wealth PartnersJan 27, 2026 · RIA to a state-registered adviser
- David William Ranney to Strategic Advisers LLCMar 25, 2025 · RIA to affiliated broker-dealer or bank
- Alison Maile Cornwell to Silicon Valley Capital Partners, L.P.Mar 29, 2022 · RIA to RIA
Joined, latest
- Heidi Bao Phan from Illumination Wealth ManagementApr 29, 2026 · RIA to RIA
- Jill Carothers from Waypoint Wealth PartnersSep 30, 2024 · RIA to RIA
- Daniel James Mavraides from Inbalance Advisors, LLCSep 3, 2024 · RIA to RIA
- Matthew Peter Jude from True Wave Financial PlannersJul 20, 2023 · RIA to RIA
- Sonja Grace Breeding from Homewood Capital Management, Inc.Sep 6, 2022 · Other
- Christie Marie Whitney from Integrated Wealth Counsel, LLCJul 28, 2016 · Other
- Mitchell Jay Tuchman from MarketridersSep 28, 2011 · Other
- Sarah Swift Brandon from MarketridersSep 28, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from MarketridersAug 9, 2016 · Chesterfield, Mo
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A Svetlana Kot · Chief Compliance Officercontrolsince 01/2026 · owns less than 5%
- David Scott Puritz · Managing Directorcontrolsince 08/2019 · owns less than 5%
- Jay Mitchell Tuchman · Managing Director/Chief Investment Officercontrolsince 06/2011 · owns less than 5%
- David Scott Puritz · Ownercontrolsince 02/2017 · owns 75% or more of Somerset Group Enterprise,Inc.
- Jay Mitchell Tuchman · Ownercontrolsince 02/2017 · owns 75% or more of Penny Investor, Inc
Entity owners
- Penny Investor, Inc · Ownerdirect · owns 25% to 50%
- Somerset Group Enterprise,Inc. · Ownerdirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Palo Alto, Ca · principal | 9 | 1 | 0 | ||
| Mt Pleasant, Sc | 0 | 0 | 0 | ||
| San Rafael, Ca | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Bethesda, MD1 employees
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high office count relative to headcountStatic outlier · filing Jul 30, 2026offices per registered advisor of 1.2 against a peer median of 0.3 (529 comparable advisers, 98.0th percentile, 3.8 robust deviations)peers: independent wealth managers, $1B to $5B (529) · 98% percentile
- control person changedChange between filings · filing Jul 30, 2026Kot, Svetlana, A (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2018-05-25 and 2026-07-30peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Advisory employees · 6 to 7Mar 31, 2026 to May 15, 2026
- Employees · 17 to 18Mar 31, 2026 to May 15, 2026
- State-registered IARs · 8 to 9Mar 31, 2026 to May 15, 2026
- Accounts · 1,607 to 1,727Jan 27, 2026 to Mar 31, 2026
- Advisory employees · 5 to 6Jan 27, 2026 to Mar 31, 2026
- HNW clients · 239 to 197Jan 27, 2026 to Mar 31, 2026
- Individual clients · 405 to 439Jan 27, 2026 to Mar 31, 2026
- Pension plan clients · 5 to 17Jan 27, 2026 to Mar 31, 2026
- Financial planning clients · 26-50 to 251-500Jan 27, 2026 to Mar 31, 2026
- State-registered IARs · 6 to 8Jan 27, 2026 to Mar 31, 2026
- Discretionary RAUM · $1.6B to $1.9BJan 27, 2026 to Mar 31, 2026
- HNW RAUM · $1.2B to $1.4BJan 27, 2026 to Mar 31, 2026
- Individual RAUM · $270M to $404MJan 27, 2026 to Mar 31, 2026
- Pension RAUM · $7.5M to $14.4MJan 27, 2026 to Mar 31, 2026
- RAUM · $1.6B to $1.9BJan 27, 2026 to Mar 31, 2026
- Advisory employees · 6 to 5Aug 12, 2025 to Jan 27, 2026
- Employees · 18 to 17Aug 12, 2025 to Jan 27, 2026
- State-registered IARs · 7 to 6Aug 12, 2025 to Jan 27, 2026
- Other offices · 11 to 10Aug 12, 2025 to Jan 27, 2026
- Other offices · 10 to 11Mar 26, 2025 to Aug 12, 2025
- Accounts · 1,609 to 1,607Oct 7, 2024 to Mar 26, 2025
- Advisory employees · 8 to 6Oct 7, 2024 to Mar 26, 2025
- HNW clients · 214 to 239Oct 7, 2024 to Mar 26, 2025
- Individual clients · 443 to 405Oct 7, 2024 to Mar 26, 2025
- Pension plan clients · 13 to 5Oct 7, 2024 to Mar 26, 2025
- Employees · 21 to 18Oct 7, 2024 to Mar 26, 2025
- Financial planning clients · 101-250 to 26-50Oct 7, 2024 to Mar 26, 2025
- State-registered IARs · 9 to 7Oct 7, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.3B to $1.6BOct 7, 2024 to Mar 26, 2025
- HNW RAUM · $965M to $1.2BOct 7, 2024 to Mar 26, 2025
- Individual RAUM · $295M to $270MOct 7, 2024 to Mar 26, 2025
- Pension RAUM · $23.0M to $7.5MOct 7, 2024 to Mar 26, 2025
- RAUM · $1.3B to $1.6BOct 7, 2024 to Mar 26, 2025
- Advisory employees · 7 to 8Sep 20, 2024 to Oct 7, 2024
- Employees · 20 to 21Sep 20, 2024 to Oct 7, 2024
- State-registered IARs · 8 to 9Sep 20, 2024 to Oct 7, 2024
- Other offices · 11 to 10Mar 28, 2024 to Sep 6, 2024
- Accounts · 1,642 to 1,609Nov 8, 2023 to Mar 25, 2024
- Advisory employees · 6 to 7Nov 8, 2023 to Mar 25, 2024
- Charity clients · 2 to 3Nov 8, 2023 to Mar 25, 2024
Signals
6 dated events
- Jill Carothers left Rebalance Llc for Clarity Wealth Partners (registered 2026-01-22)Jan 27, 2026 · Advisor changed firm · fact
- David William Ranney left Rebalance Llc for Strategic Advisers Llc (registered 2026-04-08)Mar 25, 2025 · Advisor changed firm · fact
- Rebalance Llc reported 9 offices beyond its principal office, up from 0 (2022-11-29 to 2022-12-14)Dec 14, 2022 · Office count change · derived
- Alison Maile Cornwell left Rebalance Llc for Silicon Valley Capital Partners, L.P. (registered 2025-04-04)Mar 29, 2022 · Advisor changed firm · fact
- Rebalance Llc reported RAUM $1.3B, up 27% from $984.3M (2021-07-02 to 2021-09-07)Sep 7, 2021 · RAUM change · derived
- Rebalance Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 31, 2017 · Succession (Item 4) · 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@rebalance360.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 650-396-3900reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/rebalance360reportedpublic record, Form ADV, Sep 17, 2026
- Website
- REBALANCE360.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 650-396-3900reportedpublic record, Form ADV, Jul 30, 2026
- Contact form
- rebalance360.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- rebalance360.com/about-us/our-teamreportedpublished by the firm, firm site, 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
- $214Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026