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••••••• I••••••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jan 22, 2018 · 10 filings
SEC status approved since Feb 21, 2018
RAUM
$403M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$403M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$201M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$403M as of Mar 31, 2026
Mar 28, 2019$179M then
HNW client RAUM$398M as of Mar 31, 2026
Mar 28, 2019$171M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20190 then
Employees (5.A)2 as of Mar 31, 2026
Mar 28, 20192 then
Private funds: no history
RAUM +15% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $201MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $984,323derivedRAUM 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
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, 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$398M99%
- Individuals$4.9M1.2%
- Individual clients
- 8reported
- HNW clients
- 85reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 409reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| B•••• C•••••• P•••••Certified Financial Planner | Mill Valley, Ca | Oct 29, 2025 | 24 y | 0 |
| D••••• S••••• S••••• | Mill Valley, Ca | Dec 4, 2025 | 28 y | 1 |
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
- D••••• S••••• S••••• from F••••• I•••••••••Dec 4, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• B••••• C•••••• · Partnercontrolsince 08/2014 · owns 25% to 50%
- S•••••• D•••••• S••••• · Managing Member/Chief Compliance Officercontrolsince 03/2012 · owns 75% or more
Related persons
Schedule D 7.A
- B•••• C• P•••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mill Valley, Ca | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 376 to 409Mar 27, 2025 to Mar 31, 2026
- Individual clients · 9 to 8Mar 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $351M to $403MMar 27, 2025 to Mar 31, 2026
- HNW RAUM · $347M to $398MMar 27, 2025 to Mar 31, 2026
- Individual RAUM · $4.4M to $4.9MMar 27, 2025 to Mar 31, 2026
- RAUM · $351M to $403MMar 27, 2025 to Mar 31, 2026
- Accounts · 363 to 376Apr 2, 2024 to Mar 27, 2025
- HNW clients · 77 to 85Apr 2, 2024 to Mar 27, 2025
- Financial planning clients · 51-100 to 51-100Apr 2, 2024 to Mar 27, 2025
- HQ city · unset to Apr 2, 2024 to Mar 27, 2025
- HQ state · unset to Apr 2, 2024 to Mar 27, 2025
- Discretionary RAUM · $326M to $351MApr 2, 2024 to Mar 27, 2025
- HNW RAUM · $322M to $347MApr 2, 2024 to Mar 27, 2025
- Individual RAUM · $4.0M to $4.4MApr 2, 2024 to Mar 27, 2025
- RAUM · $326M to $351MApr 2, 2024 to Mar 27, 2025
- Accounts · 359 to 363Mar 6, 2023 to Apr 2, 2024
- HNW clients · 81 to 77Mar 6, 2023 to Apr 2, 2024
- Discretionary RAUM · $293M to $326MMar 6, 2023 to Apr 2, 2024
- HNW RAUM · $289M to $322MMar 6, 2023 to Apr 2, 2024
- Individual RAUM · $3.6M to $4.0MMar 6, 2023 to Apr 2, 2024
- RAUM · $293M to $326MMar 6, 2023 to Apr 2, 2024
- Accounts · 327 to 359Apr 4, 2022 to Mar 6, 2023
- HNW clients · 71 to 81Apr 4, 2022 to Mar 6, 2023
- Discretionary RAUM · $304M to $293MApr 4, 2022 to Mar 6, 2023
- HNW RAUM · $300M to $289MApr 4, 2022 to Mar 6, 2023
- Individual RAUM · $4.6M to $3.6MApr 4, 2022 to Mar 6, 2023
- RAUM · $304M to $293MApr 4, 2022 to Mar 6, 2023
- Accounts · 297 to 327Apr 1, 2021 to Apr 4, 2022
- HNW clients · 52 to 71Apr 1, 2021 to Apr 4, 2022
- Individual clients · 22 to 9Apr 1, 2021 to Apr 4, 2022
- Discretionary RAUM · $247M to $304MApr 1, 2021 to Apr 4, 2022
- HNW RAUM · $238M to $300MApr 1, 2021 to Apr 4, 2022
- Individual RAUM · $9.2M to $4.6MApr 1, 2021 to Apr 4, 2022
- RAUM · $247M to $304MApr 1, 2021 to Apr 4, 2022
- Accounts · 266 to 297Jun 30, 2020 to Apr 1, 2021
- Advisory activities · 1 to 2Jun 30, 2020 to Apr 1, 2021
- HNW clients · 50 to 52Jun 30, 2020 to Apr 1, 2021
- Financial planning clients · 0 to 51-100Jun 30, 2020 to Apr 1, 2021
- HQ city · SAN FRANCISCO to unsetJun 30, 2020 to Apr 1, 2021
- HQ state · CA to unsetJun 30, 2020 to Apr 1, 2021
Signals
1 dated events
- R••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 22, 2018 · 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
- d••@r•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 415-379-0749reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 415-776-1856reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- R•••••••IM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-379-0749reportedpublic record, Form ADV, Mar 31, 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
- $201Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026