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.

Former SEC-registered adviser

Cognizant Wealth Advisors

Former SEC-registered adviserPalo Alto, CaliforniaCRD 162374SEC 801-122365IAPD
Legal name Cognizant Wealth Advisors, LLC
Latest filing Aug 1, 2022
First filing on the tape Aug 23, 2021 · 6 filings
RAUM
$97.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$97.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
6 filings and snapshots on the tape
RAUM$97.3M as of Aug 1, 2022
Aug 23, 2021$107M then
HNW client RAUM$93.1M as of Aug 1, 2022
Aug 23, 2021$102M then
State-registered IARs (5.B.3)2 as of Aug 1, 2022
Aug 23, 20212 then
Employees (5.A)2 as of Aug 1, 2022
Aug 23, 20212 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 1, 2022; every figure names its basis
RAUM per advisor
$48.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
20derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.0MderivedHNW RAUM over HNW clients
Average account
$680,094derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$93.1M96%
  • Individuals$4.1M4.2%
Individual clients
8reported
HNW clients
31reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
143reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Shyam Sheetal Bagde · Managing Member/Principalcontrol
      since 08/2018 · owns 50% to 75%
    • Fredric Arthur Green · Managing Member/Principal/Chief Compliance Officercontrol
      since 02/2012 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 144 to 143
      Jan 24, 2022 to Aug 1, 2022
    • Individual clients · 9 to 8
      Jan 24, 2022 to Aug 1, 2022
    • Discretionary RAUM · $110M to $97.3M
      Jan 24, 2022 to Aug 1, 2022
    • HNW RAUM · $105M to $93.1M
      Jan 24, 2022 to Aug 1, 2022
    • Individual RAUM · $5.1M to $4.1M
      Jan 24, 2022 to Aug 1, 2022
    • RAUM · $110M to $97.3M
      Jan 24, 2022 to Aug 1, 2022
    • HNW clients · 30 to 31
      Oct 26, 2021 to Jan 24, 2022
    • Individual clients · 10 to 9
      Oct 26, 2021 to Jan 24, 2022
    • Discretionary RAUM · $66.6M to $110M
      Oct 26, 2021 to Jan 24, 2022
    • HNW RAUM · $102M to $105M
      Oct 26, 2021 to Jan 24, 2022
    • Individual RAUM · $5.3M to $5.1M
      Oct 26, 2021 to Jan 24, 2022
    • Non-discretionary RAUM · $40.3M to $0
      Oct 26, 2021 to Jan 24, 2022
    • RAUM · $107M to $110M
      Oct 26, 2021 to Jan 24, 2022
    Signals
    4 dated events
    • Sheetal Shyam Bagde left Cognizant Wealth Advisors for Perigon Wealth Management, Llc (registered 2023-02-01)
      Mar 3, 2023 · Advisor changed firm · fact
    • Arthur Fredric Green left Cognizant Wealth Advisors for Perigon Wealth Management, Llc (registered 2023-02-01)
      Mar 3, 2023 · Advisor changed firm · fact
    • 2 advisors left Cognizant Wealth Advisors (Palo Alto, CA) for Perigon Wealth Management, LLC on the same day
      Mar 3, 2023 · Team lift-out · derived
    • Cognizant Wealth Advisors filed its initial SEC registration (Form ADV)
      Aug 23, 2021 · 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026