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
C••••••••• W••••• M•••••••••
Legal name C••••••••• W••••• M••••••••• I•••
Latest filing Mar 24, 2026
First filing on the tape Mar 28, 2013 · 51 filings
SEC status approved since Apr 19, 2013
RAUM
$987M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$885M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$197M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$987M as of Mar 24, 2026
Jan 29, 2014$125M then
HNW client RAUM$812M as of Mar 24, 2026
Mar 15, 2018$141M then
State-registered IARs (5.B.3)5 as of Mar 24, 2026
Jan 29, 20142 then
Employees (5.A)7 as of Mar 24, 2026
Jan 29, 20142 then
Private funds: no history
RAUM +22% over the last fiscal year+34% a year over threeIARs 5 to 5offices 1 to 2
Practice profile
derived from the filing of Mar 24, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $197MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 76derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $638,262derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $806MreportedItem 5.I
- Custody
- $168M, 465 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
- 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$812M82%
- Individuals$73.3M7.4%
- Pension and profit-sharing plans$71.6M7.3%
- Corporations and businesses$29.1M3.0%
- Charitable organizations$616,7260.1%
- Individual clients
- 202reported
- HNW clients
- 179reported
- Pension plan clients
- 28reported
- Charitable clients
- 2reported
- Accounts
- 1,546reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $168M for 465 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•• C••••••••• F•••Certified Financial Planner | San Jose, Ca | Apr 19, 2013 | 26 y | 4 |
| G•••• D••••• Y••••Certified Financial Planner | San Jose, Ca | Apr 2, 2019 | 28 y | 0 |
| L•••• P•••••Certified Financial Planner | San Jose, Ca | Jan 12, 2021 | 15 y | 0 |
| N••••••• S••••• S•••••••Certified Financial Planner | San Jose, Ca | Sep 13, 2023 | 13 y | 0 |
| J•••••• E••• F•••Certified Financial Planner | San Jose, Ca | May 15, 2024 | 32 y | 4 |
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
- J•••••• E••• F••• from R•••••• J•••• • A••••••••• I•••May 15, 2024 · Affiliated broker-dealer or bank to independent RIA
- J•• C••••••••• F••• from R•••••• J•••• • A••••••••• I•••Apr 19, 2013 · 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•••• J••• C••••••••• · Managing Membercontrolsince 04/2013 · owns 50% to 75%
- F•••• J••••••• E••• · Managing Membercontrolsince 04/2013 · owns 50% to 75%
- K••••••• J•••••••• G• · Chief Compliance Officersince 01/2023 · owns less than 5%
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 |
|---|---|---|---|---|---|
| San Jose, Ca · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Scottsdale, AZ1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 24, 2026HNW share of RAUM moved from 64.0% to 82.0% between the annual amendments of 2025-03-28 and 2026-03-24peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 1,334 to 1,546Mar 28, 2025 to Mar 24, 2026
- Charity clients · 1 to 2Mar 28, 2025 to Mar 24, 2026
- Corporate clients · 7 to 9Mar 28, 2025 to Mar 24, 2026
- HNW clients · 94 to 179Mar 28, 2025 to Mar 24, 2026
- Individual clients · 252 to 202Mar 28, 2025 to Mar 24, 2026
- Pension plan clients · 26 to 28Mar 28, 2025 to Mar 24, 2026
- Assets in custody · $13.8M to $168MMar 28, 2025 to Mar 24, 2026
- Other offices · 1 to 2Mar 28, 2025 to Mar 24, 2026
- Discretionary RAUM · $806M to $983MMar 28, 2025 to Mar 24, 2026
- HNW RAUM · $514M to $812MMar 28, 2025 to Mar 24, 2026
- Individual RAUM · $248M to $73.3MMar 28, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $3.3M to $4.0MMar 28, 2025 to Mar 24, 2026
- Pension RAUM · $32.0M to $71.6MMar 28, 2025 to Mar 24, 2026
- RAUM · $809M to $987MMar 28, 2025 to Mar 24, 2026
- Accounts · 1,732 to 1,334Oct 4, 2024 to Mar 28, 2025
- Advisory employees · 4 to 5Oct 4, 2024 to Mar 28, 2025
- Charity clients · unset to 1.0Oct 4, 2024 to Mar 28, 2025
- Corporate clients · 2 to 7Oct 4, 2024 to Mar 28, 2025
- HNW clients · 82 to 94Oct 4, 2024 to Mar 28, 2025
- Individual clients · 215 to 252Oct 4, 2024 to Mar 28, 2025
- Pension plan clients · 10 to 26Oct 4, 2024 to Mar 28, 2025
- Assets in custody · unset to 13756998.0Oct 4, 2024 to Mar 28, 2025
- Custody of client assets · false to trueOct 4, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Oct 4, 2024 to Mar 28, 2025
- State-registered IARs · 4 to 5Oct 4, 2024 to Mar 28, 2025
- Discretionary RAUM · $609M to $806MOct 4, 2024 to Mar 28, 2025
- HNW RAUM · $459M to $514MOct 4, 2024 to Mar 28, 2025
- Individual RAUM · $127M to $248MOct 4, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $14.9M to $3.3MOct 4, 2024 to Mar 28, 2025
- Pension RAUM · $26.2M to $32.0MOct 4, 2024 to Mar 28, 2025
- RAUM · $624M to $809MOct 4, 2024 to Mar 28, 2025
- Accounts · 1,654 to 1,732Sep 13, 2023 to Mar 26, 2024
- Corporate clients · 1 to 2Sep 13, 2023 to Mar 26, 2024
- HNW clients · 108 to 82Sep 13, 2023 to Mar 26, 2024
- Individual clients · 163 to 215Sep 13, 2023 to Mar 26, 2024
- Pension plan clients · 8 to 10Sep 13, 2023 to Mar 26, 2024
- Financial planning clients · 1-10 to 0Sep 13, 2023 to Mar 26, 2024
- Discretionary RAUM · $410M to $609MSep 13, 2023 to Mar 26, 2024
- HNW RAUM · $337M to $459MSep 13, 2023 to Mar 26, 2024
- Individual RAUM · $54.1M to $127MSep 13, 2023 to Mar 26, 2024
Signals
4 dated events
- C••••••••• W••••• M••••••••• reported RAUM $809.3M, up 30% from $623.5M (2024-10-04 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- C••••••••• W••••• M••••••••• reported RAUM $623.5M, up 51% from $413.5M (2023-09-13 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- C••••••••• W••••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Feb 23, 2023 · Succession (Item 4) · fact
- C••••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Mar 28, 2013 · 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
- 855-306-8390reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 408-840-4030reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 408-840-4031reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- C•••••••••WEALTH.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 408-840-4030reportedpublic record, Form ADV, Mar 24, 2026
- Contact form
- concentrumwealth.com/contactreportedpublished 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
- $197Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026