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

Robertson Stephens Advisors

Former SEC-registered adviserSan Francisco, CaliforniaCRD 166736SEC 801-77828IAPD
Legal name Robertson Stephens Advisors LLC
Latest filing Jan 12, 2018
First filing on the tape Mar 21, 2013 · 56 filings
RAUM
$469M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$469M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
$26.1M gross assets
History
56 filings and snapshots on the tape
RAUM$488M as of Mar 29, 2017
Jan 30, 2014$185M then
HNW client RAUM: no history
State-registered IARs (5.B.3)13 as of Mar 29, 2017
Jan 30, 20147 then
Employees (5.A)20 as of Mar 29, 2017
Jan 30, 201411 then
Private funds7 as of Mar 29, 2017
Mar 30, 20167 then
RAUM -45% over the last fiscal year+36% a year over threeIARs 13 to 7
Practice profile
derived from the filing of Jan 12, 2018; every figure names its basis
RAUM per advisor
$67.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
9derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$9.6MderivedHNW RAUM over HNW clients
Average account
$1.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.9derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-43%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 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, portfolio management for pooled vehicles, selection of other advisers, publicationsreportedItem 5.G
Custody
$26.1M, 6 clientsreportedItem 9.A
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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$463M99%
  • Individuals$6.6M1.4%
Individual clients
16reported
HNW clients
48reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
269reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$26.1M for 6 clientsreported
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
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
    • Jayne Harriet Britt · Chief Compliance Officercontrol
      since 12/2017 · owns less than 5%
    • Michael Jeffrey Coddington · Cfocontrol
      since 08/2017 · owns less than 5%
    • Michael James Tierney · Presidentcontrol
      since 08/2017 · owns less than 5%
    • Rosemarie Molly Wallace · Vice President
      since 08/2017 · owns less than 5%
    Entity owners
    • Robertson Stephens LLC · Owner
      direct · owns 75% or more
    • Bttf LLC · Owner
      direct · owns less than 5%
    • Bttf LLC · Unit Holder
      indirect · owns 25% to 50% of Robertson Stephens LLC
    Related persons
    Schedule D 7.A
    Advisers that list Robertson Stephens Advisors as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 365 to 269
      Aug 17, 2017 to Nov 21, 2017
    • Advisory employees · 17 to 8
      Aug 17, 2017 to Nov 21, 2017
    • BD registered reps · 12 to 1
      Aug 17, 2017 to Nov 21, 2017
    • HNW clients · unset to 48.0
      Aug 17, 2017 to Nov 21, 2017
    • Individual clients · unset to 16.0
      Aug 17, 2017 to Nov 21, 2017
    • Employees · 20 to 13
      Aug 17, 2017 to Nov 21, 2017
    • State-registered IARs · 13 to 7
      Aug 17, 2017 to Nov 21, 2017
    • Other offices · unset to 0.0
      Aug 17, 2017 to Nov 21, 2017
    • Discretionary RAUM · $462M to $469M
      Aug 17, 2017 to Nov 21, 2017
    • HNW RAUM · unset to 462528000.0
      Aug 17, 2017 to Nov 21, 2017
    • Individual RAUM · unset to 6561000.0
      Aug 17, 2017 to Nov 21, 2017
    • Non-discretionary RAUM · $26.0M to $0
      Aug 17, 2017 to Nov 21, 2017
    • RAUM · $488M to $469M
      Aug 17, 2017 to Nov 21, 2017
    • Accounts · 432 to 365
      Nov 4, 2016 to Mar 29, 2017
    • Discretionary RAUM · $792M to $462M
      Nov 4, 2016 to Mar 29, 2017
    • Non-discretionary RAUM · $219M to $26.0M
      Nov 4, 2016 to Mar 29, 2017
    • RAUM · $1.0B to $488M
      Nov 4, 2016 to Mar 29, 2017
    • Related adviser · false to true
      Sep 22, 2016 to Nov 4, 2016
    • Accounts · 420 to 432
      Jun 23, 2016 to Aug 1, 2016
    • Discretionary RAUM · $772M to $792M
      Jun 23, 2016 to Aug 1, 2016
    • Non-discretionary RAUM · $188M to $219M
      Jun 23, 2016 to Aug 1, 2016
    • RAUM · $960M to $1.0B
      Jun 23, 2016 to Aug 1, 2016
    • Discretionary RAUM · $742M to $772M
      Jun 10, 2016 to Jun 23, 2016
    • Non-discretionary RAUM · $194M to $188M
      Jun 10, 2016 to Jun 23, 2016
    • RAUM · $936M to $960M
      Jun 10, 2016 to Jun 23, 2016
    • Discretionary RAUM · $608M to $742M
      Mar 30, 2016 to Apr 15, 2016
    • Non-discretionary RAUM · $248M to $194M
      Mar 30, 2016 to Apr 15, 2016
    • RAUM · $856M to $936M
      Mar 30, 2016 to Apr 15, 2016
    • Accounts · 513 to 420
      Dec 9, 2015 to Mar 30, 2016
    • Advisory activities · 4 to 5
      Dec 9, 2015 to Mar 30, 2016
    • Assets in custody · unset to 26101651.0
      Dec 9, 2015 to Mar 30, 2016
    • Custody of client assets · false to true
      Dec 9, 2015 to Mar 30, 2016
    • Financial planning clients · 0 to 1-10
      Dec 9, 2015 to Mar 30, 2016
    • Private funds · unset to 7
      Dec 9, 2015 to Mar 30, 2016
    • Discretionary RAUM · $482M to $608M
      Dec 9, 2015 to Mar 30, 2016
    • Non-discretionary RAUM · $207M to $248M
      Dec 9, 2015 to Mar 30, 2016
    • RAUM · $689M to $856M
      Dec 9, 2015 to Mar 30, 2016
    • Accounts · 300 to 513
      Jul 24, 2015 to Nov 6, 2015
    • BD registered reps · 13 to 12
      Jul 24, 2015 to Nov 6, 2015
    • State-registered IARs · 19 to 13
      Jul 24, 2015 to Nov 6, 2015
    Signals
    1 dated events
    • Robertson Stephens Asset Management Llc filed its initial SEC registration (Form ADV)
      Mar 21, 2013 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    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