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
E•••••• W••••• M•••••••••
Legal name E•••••• W••••• M••••••••• I•••
Latest filing May 14, 2026
First filing on the tape Jun 8, 2017 · 26 filings
SEC status approved since Jul 10, 2017
RAUM
$478M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
97%
$462M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$119M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$478M as of May 14, 2026
Mar 29, 2018$145M then
HNW client RAUM$433M as of May 14, 2026
Mar 29, 2018$10.5M then
State-registered IARs (5.B.3)4 as of May 14, 2026
Mar 29, 20182 then
Employees (5.A)6 as of May 14, 2026
Mar 29, 20183 then
Private funds: no history
RAUM +44% over the last fiscal year+26% a year over threeIARs 3 to 4
Practice profile
derived from the filing of May 14, 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
- RAUM per advisor
- $119MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $706,992derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +44%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +25%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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$433M93%
- Individuals$29.2M6.3%
- Banks and thrifts$3.4M0.7%
- Individual clients
- 77reported
- HNW clients
- 127reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 676reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• S•••• L••••Certified Financial Planner | Berkeley, Ca | Nov 7, 2012 | 13 y | 0 |
| R••••• C••••••••• G•••••••Chartered Financial Analyst | Berkeley, Ca | Nov 7, 2012 | 13 y | 0 |
| J•••••• M•••••Certified Financial Planner | Berkeley, Ca | Feb 23, 2023 | 11 y | 0 |
| M••• A•••• R••• | Berkeley, Ca | Jan 28, 2026 | 32 y | 2 |
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
- S•••• S•••••••• C••••••••• to M•••••• W••••• M••••••••• L•Nov 5, 2013 · Other
Joined, latest
- M••• A•••• R••• from A•••• C•••••• A••••••• I•••Jan 28, 2026 · RIA to RIA
- S•••• S•••••••• C••••••••• from O•••••• P•••••••Dec 5, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••••• R•••••• C••••••••• · Ceocontrolsince 09/2012 · owns 50% to 75%
- L••••• S••••••• S•••• · Coo/Ccocontrolsince 09/2012 · 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 |
|---|---|---|---|---|---|
| Berkeley, Ca · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 13, 2026RAUM (Item 5.F) moved from $332,630,737 to $477,926,836 (+44.0%) between the annual amendments of 2025-03-19 and 2026-03-13; the peer median change was +15.0% (4550 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 566 to 676Dec 12, 2025 to Mar 13, 2026
- HNW clients · 94 to 127Dec 12, 2025 to Mar 13, 2026
- Individual clients · 69 to 77Dec 12, 2025 to Mar 13, 2026
- Employees · 4 to 6Dec 12, 2025 to Mar 13, 2026
- State-registered IARs · 3 to 4Dec 12, 2025 to Mar 13, 2026
- Discretionary RAUM · $333M to $465MDec 12, 2025 to Mar 13, 2026
- HNW RAUM · $302M to $433MDec 12, 2025 to Mar 13, 2026
- Individual RAUM · $30.2M to $29.2MDec 12, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $0 to $12.7MDec 12, 2025 to Mar 13, 2026
- RAUM · $333M to $478MDec 12, 2025 to Mar 13, 2026
- Accounts · 638 to 566Nov 8, 2024 to Mar 19, 2025
- HNW clients · 118 to 94Nov 8, 2024 to Mar 19, 2025
- Individual clients · 49 to 69Nov 8, 2024 to Mar 19, 2025
- Financial planning clients · 11-25 to 51-100Nov 8, 2024 to Mar 19, 2025
- Discretionary RAUM · $267M to $333MNov 8, 2024 to Mar 19, 2025
- HNW RAUM · $260M to $302MNov 8, 2024 to Mar 19, 2025
- Individual RAUM · $17.0M to $30.2MNov 8, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $10.0M to $0Nov 8, 2024 to Mar 19, 2025
- RAUM · $277M to $333MNov 8, 2024 to Mar 19, 2025
- Employees · 5 to 4Mar 8, 2024 to Aug 22, 2024
- Accounts · 596 to 638Nov 9, 2023 to Mar 8, 2024
- Advisory employees · 3 to 4Nov 9, 2023 to Mar 8, 2024
- HNW clients · 114 to 118Nov 9, 2023 to Mar 8, 2024
- Individual clients · 43 to 49Nov 9, 2023 to Mar 8, 2024
- Employees · 4 to 5Nov 9, 2023 to Mar 8, 2024
- Financial planning clients · 1-10 to 11-25Nov 9, 2023 to Mar 8, 2024
- Discretionary RAUM · $230M to $267MNov 9, 2023 to Mar 8, 2024
- HNW RAUM · $229M to $260MNov 9, 2023 to Mar 8, 2024
- Individual RAUM · $12.0M to $17.0MNov 9, 2023 to Mar 8, 2024
- Non-discretionary RAUM · $11.4M to $10.0MNov 9, 2023 to Mar 8, 2024
- RAUM · $241M to $277MNov 9, 2023 to Mar 8, 2024
- Accounts · 566 to 596Aug 9, 2022 to Mar 28, 2023
- Advisory employees · 2 to 3Aug 9, 2022 to Mar 28, 2023
- Advisory activities · 2 to 3Aug 9, 2022 to Mar 28, 2023
- HNW clients · 110 to 114Aug 9, 2022 to Mar 28, 2023
- Individual clients · 40 to 43Aug 9, 2022 to Mar 28, 2023
- Employees · 3 to 4Aug 9, 2022 to Mar 28, 2023
- Financial planning clients · 26-50 to 1-10Aug 9, 2022 to Mar 28, 2023
- State-registered IARs · 2 to 3Aug 9, 2022 to Mar 28, 2023
- Discretionary RAUM · $254M to $230MAug 9, 2022 to Mar 28, 2023
Signals
2 dated events
- E•••••• W••••• M••••••••• reported RAUM $477.9M, up 44% from $332.6M (2025-12-12 to 2026-03-13)Mar 13, 2026 · RAUM change · derived
- E•••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Jun 8, 2017 · 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
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/E••••••-WEALTH-MANAGEMENT-Ireportedpublic record, Form ADV, Sep 18, 2026
- Website
- E••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 510-858-2722reportedpublic record, Form ADV, May 14, 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
- $119Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026