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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C•••••• I••••••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 12, 2018 · 16 filings
SEC status approved since Apr 13, 2018
RAUM
$200M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
60%
$120M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$200M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$200M as of Mar 31, 2026
Mar 29, 2018$101M then
HNW client RAUM$107M as of Mar 31, 2026
Mar 29, 2018$46.4M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 29, 20181 then
Employees (5.A)1 as of Mar 31, 2026
Mar 29, 20181 then
Private funds: no history
RAUM +4.9% over the last fiscal year+6.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $200MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $3.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 40%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$107M53%
- Pension and profit-sharing plans$79.9M40%
- Individuals$13.2M6.6%
- Individual clients
- 38reported
- HNW clients
- 24reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 63reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.6 fund_share=0.0 institutional_share=0.4 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• A••••• C••••••Chartered Financial Analyst | San Anselmo, Ca | Nov 18, 2022 | 29 y | 1 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- S•••• A••••• C•••••• from T••• C•••••• M••••••••• L•••Nov 18, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• S••••• A••••• · Chief Executive Officer And Chief Compliance Officercontrolsince 01/2013 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 31, 2026institutional share of RAUM of 40% against a peer median of 0% (5676 comparable advisers, 98.0th percentile, 13.4 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 147 to 63Mar 13, 2025 to Mar 31, 2026
- HNW clients · 34 to 24Mar 13, 2025 to Mar 31, 2026
- Individual clients · 29 to 38Mar 13, 2025 to Mar 31, 2026
- Discretionary RAUM · $191M to $200MMar 13, 2025 to Mar 31, 2026
- HNW RAUM · $111M to $107MMar 13, 2025 to Mar 31, 2026
- Individual RAUM · $4.1M to $13.2MMar 13, 2025 to Mar 31, 2026
- Pension RAUM · $75.8M to $79.9MMar 13, 2025 to Mar 31, 2026
- RAUM · $191M to $200MMar 13, 2025 to Mar 31, 2026
- Accounts · 148 to 147Mar 29, 2024 to Mar 13, 2025
- HNW clients · 31 to 34Mar 29, 2024 to Mar 13, 2025
- Individual clients · 36 to 29Mar 29, 2024 to Mar 13, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 13, 2025
- HQ city · unset to Mar 29, 2024 to Mar 13, 2025
- HQ state · unset to Mar 29, 2024 to Mar 13, 2025
- Discretionary RAUM · $175M to $191MMar 29, 2024 to Mar 13, 2025
- HNW RAUM · $99.0M to $111MMar 29, 2024 to Mar 13, 2025
- Individual RAUM · $8.3M to $4.1MMar 29, 2024 to Mar 13, 2025
- Pension RAUM · $67.7M to $75.8MMar 29, 2024 to Mar 13, 2025
- RAUM · $175M to $191MMar 29, 2024 to Mar 13, 2025
- Accounts · 150 to 148Mar 30, 2023 to Mar 29, 2024
- HNW clients · 36 to 31Mar 30, 2023 to Mar 29, 2024
- Individual clients · 32 to 36Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $164M to $175MMar 30, 2023 to Mar 29, 2024
- HNW RAUM · $97.5M to $99.0MMar 30, 2023 to Mar 29, 2024
- Individual RAUM · $6.7M to $8.3MMar 30, 2023 to Mar 29, 2024
- Pension RAUM · $59.4M to $67.7MMar 30, 2023 to Mar 29, 2024
- RAUM · $164M to $175MMar 30, 2023 to Mar 29, 2024
- Accounts · 136 to 150Nov 18, 2022 to Mar 30, 2023
- HNW clients · 43 to 36Nov 18, 2022 to Mar 30, 2023
- Individual clients · 36 to 32Nov 18, 2022 to Mar 30, 2023
- Discretionary RAUM · $233M to $164MNov 18, 2022 to Mar 30, 2023
- HNW RAUM · $135M to $97.5MNov 18, 2022 to Mar 30, 2023
- Individual RAUM · $8.9M to $6.7MNov 18, 2022 to Mar 30, 2023
- Pension RAUM · $89.0M to $59.4MNov 18, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · unset to 0.0Nov 18, 2022 to Mar 30, 2023
- RAUM · $233M to $164MNov 18, 2022 to Mar 30, 2023
- Accounts · 48 to 136Dec 7, 2021 to Mar 25, 2022
- HNW clients · 23 to 43Dec 7, 2021 to Mar 25, 2022
- Individual clients · 24 to 36Dec 7, 2021 to Mar 25, 2022
- Discretionary RAUM · $180M to $233MDec 7, 2021 to Mar 25, 2022
Signals
1 dated events
- C•••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 12, 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 phone
- 415-497-3885reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- chapmaninvestment.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-497-3885reportedpublic 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
- $200Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026