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
A•••• W••••• M••••••••• A•• P••••••• L••
Latest filing Aug 3, 2026
First filing on the tape May 22, 2012 · 28 filings
SEC status approved since Oct 27, 2016
RAUM
$320M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
94%
$301M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$53.3M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$320M as of Aug 3, 2026
Mar 29, 2017$123M then
HNW client RAUM$217M as of Aug 3, 2026
Mar 15, 2018$22.1M then
State-registered IARs (5.B.3)5 as of Aug 3, 2026
Mar 29, 20170 then
Employees (5.A)8 as of Aug 3, 2026
Mar 29, 20179 then
Private funds: no history
RAUM -10% over the last fiscal year+9.4% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Aug 3, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $53.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 79derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $899,174derivedHNW RAUM over HNW clients
- Average account
- $225,529derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 5.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -43%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $347MreportedItem 5.I
- 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$217M68%
- Individuals$84.1M26%
- Pension and profit-sharing plans$12.4M3.9%
- Charitable organizations$5.9M1.9%
- Corporations and businesses$449,0000.1%
- Individual clients
- 232reported
- HNW clients
- 241reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 1,417reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=6.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• N•••••• J••••••Certified Financial Planner | Novato, Ca | Jun 29, 2012 | 29 y | 1 |
| P•••• C••• B••••••••Certified Financial Planner | Novato, Ca | Mar 6, 2015 | 40 y | 1 |
| R••••• J•••••• A••••• | Santa Rosa, Ca | Apr 29, 2015 | 40 y | 2 |
| W•••••• C••• B•••• | Novato, Ca | Apr 19, 2016 | 20 y | 2 |
| K•••• A• W•••••• | Novato, Ca | Aug 20, 2020 | 38 y | 2 |
| J•••• S•••• C••••• | Novato, Ca | Nov 16, 2023 | 29 y | 5 |
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
- M•••••• J•••• F••••• to A•••••• R••••••• C••••••Jul 17, 2025 · RIA to RIA
- D••••• M•••••• A•••••• to O•••• W•••••• I•••Nov 3, 2022 · RIA to affiliated broker-dealer or bank
- M••••••• M••••••• to W•••• F•••• A•••••••Aug 7, 2019 · RIA to wirehouse
Joined, latest
- J•••• S•••• C••••• from M••••• S••••••Nov 16, 2023 · Wirehouse to independent RIA
- K•••• A• W•••••• from M••••• S••••••Aug 20, 2020 · Wirehouse to independent RIA
- W•••••• C••• B•••• from P•••••••• I•••••••• O• A••••••Apr 19, 2016 · Other
- R••••• J•••••• A••••• from F•••• A••••• A••••••• S•••••••• I•••Apr 29, 2015 · Other
- P•••• C••• B•••••••• from A• G• E•••••• • S•••• I•••Mar 6, 2015 · Other
- M••••••• M••••••• from U••• B•••••• A•••••••• L••Jan 9, 2015 · Other
- D••••• M•••••• A•••••• from A••••••••• F•••••••• S•••••••• L••Jul 31, 2012 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• J•••• F••••• from A••••••••• F•••••••• S•••••••• L••Jul 30, 2012 · Affiliated broker-dealer or bank to a newly registered adviser
- A••••• N•••••• J•••••• from A••••••••• F•••••••• S•••••••• L••Jun 29, 2012 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• M••••••• J•••• · Managing Member/Principalcontrolsince 07/2012 · owns 50% to 75%
- J••••••• A•••••• N•••••• · Managing Member & Chief Compliance Officercontrolsince 06/2012 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Novato, Ca · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Santa Rosa, CA2 employees
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 26, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $355,865,030 to $319,574,000, advisors 5 to 5, private clients 835 to 473, offices 3 to 3 (2025-03-29 to 2026-03-26)peers: independent wealth managers, $100M to $500M (5,676)
- client count collapseChange between filings · filing Mar 26, 2026individual and HNW clients (Item 5.D) moved from 835.0 to 473.0 (-43.0%) between the annual amendments of 2025-03-29 and 2026-03-26; the peer median change was +3.0% (3309 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 2.3% percentile
What changed
consecutive filings, newest first
- Accounts · 1,411 to 1,417Aug 28, 2025 to Mar 26, 2026
- HNW clients · 295 to 241Aug 28, 2025 to Mar 26, 2026
- Individual clients · 540 to 232Aug 28, 2025 to Mar 26, 2026
- Discretionary RAUM · $348M to $310MAug 28, 2025 to Mar 26, 2026
- HNW RAUM · $230M to $217MAug 28, 2025 to Mar 26, 2026
- Individual RAUM · $110M to $84.1MAug 28, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $8.2M to $10.1MAug 28, 2025 to Mar 26, 2026
- Pension RAUM · $10.1M to $12.4MAug 28, 2025 to Mar 26, 2026
- RAUM · $356M to $320MAug 28, 2025 to Mar 26, 2026
- Financial planning clients · 51-100 to 51-100Mar 29, 2025 to Jul 17, 2025
- Accounts · 1,332 to 1,411Nov 14, 2024 to Mar 29, 2025
- HNW clients · 234 to 295Nov 14, 2024 to Mar 29, 2025
- Individual clients · 501 to 540Nov 14, 2024 to Mar 29, 2025
- Discretionary RAUM · $295M to $348MNov 14, 2024 to Mar 29, 2025
- HNW RAUM · $189M to $230MNov 14, 2024 to Mar 29, 2025
- Individual RAUM · $101M to $110MNov 14, 2024 to Mar 29, 2025
- Non-discretionary RAUM · $7.3M to $8.2MNov 14, 2024 to Mar 29, 2025
- Pension RAUM · $8.8M to $10.1MNov 14, 2024 to Mar 29, 2025
- RAUM · $303M to $356MNov 14, 2024 to Mar 29, 2025
- Accounts · 1,253 to 1,332Apr 17, 2023 to Mar 27, 2024
- Charity clients · 0 to 1Apr 17, 2023 to Mar 27, 2024
- Pension plan clients · 5 to 2Apr 17, 2023 to Mar 27, 2024
- Discretionary RAUM · $238M to $295MApr 17, 2023 to Mar 27, 2024
- HNW RAUM · $136M to $189MApr 17, 2023 to Mar 27, 2024
- Individual RAUM · $100M to $101MApr 17, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $6.4M to $7.3MApr 17, 2023 to Mar 27, 2024
- Pension RAUM · $7.7M to $8.8MApr 17, 2023 to Mar 27, 2024
- RAUM · $244M to $303MApr 17, 2023 to Mar 27, 2024
- Accounts · 1,248 to 1,253Mar 28, 2022 to Mar 24, 2023
- Advisory employees · 6 to 5Mar 28, 2022 to Mar 24, 2023
- HNW clients · 233 to 234Mar 28, 2022 to Mar 24, 2023
- Individual clients · 580 to 501Mar 28, 2022 to Mar 24, 2023
- State-registered IARs · 6 to 5Mar 28, 2022 to Mar 24, 2023
- Discretionary RAUM · $264M to $238MMar 28, 2022 to Mar 24, 2023
- HNW RAUM · $156M to $136MMar 28, 2022 to Mar 24, 2023
- Individual RAUM · $107M to $100MMar 28, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $7.0M to $6.4MMar 28, 2022 to Mar 24, 2023
- Pension RAUM · $8.2M to $7.7MMar 28, 2022 to Mar 24, 2023
- RAUM · $271M to $244MMar 28, 2022 to Mar 24, 2023
- Accounts · 1,127 to 1,248Mar 24, 2021 to Mar 28, 2022
Signals
3 dated events
- M•••••• J•••• F••••• left A•••• W••••• M••••••••• A•• P••••••• L•• for A•••••• R••••••• C•••••• (registered 2025-05-22)Jul 17, 2025 · a•••••• firm change · fact
- D••••• M•••••• A•••••• left A•••• W••••• M••••••••• A•• P••••••• L•• for O•••• W•••••• I••• (registered 2022-10-31)Nov 3, 2022 · a•••••• firm change · fact
- A•••• W••••• M••••••••• A•• P••••••• L•• filed its initial SEC registration (Form ADV)Oct 13, 2016 · ria f•••• adv filing · 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@alphawmp.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- jack@alphawmp.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- jodi@alphawmp.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- kristi@alphawmp.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 415-884-0809reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 415-506-4569reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 707-578-4050reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-506-4569reportedpublic record, Form ADV, Aug 3, 2026
- Team page
- alphawmp.com/team.htmreportedpublished by the firm, firm site, Sep 16, 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
- $53.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026