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
I•••••••• W••••• P•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Apr 1, 2013 · 37 filings
SEC status approved since Apr 19, 2013
RAUM
$194M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$193M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$96.9M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$194M as of Mar 27, 2026
Jan 17, 2014$148M then
HNW client RAUM$131M as of Mar 27, 2026
Feb 28, 2018$106M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Jan 17, 20143 then
Employees (5.A)4 as of Mar 27, 2026
Jan 17, 20143 then
Private funds: no history
RAUM +13% over the last fiscal year+7.5% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 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
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $96.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 116derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $354,411derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -57%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $168M, 419 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$131M68%
- Individuals$61.2M32%
- Pension and profit-sharing plans$1.3M0.7%
- Individual clients
- 189reported
- HNW clients
- 42reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 547reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $27.6M managedreported
- Custody of client assets
- $168M for 419 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B• R•••• B•••• | Walnut Creek, Ca | Apr 19, 2013 | 18 y | 1 |
| R•••••• D•••• C••••••Certified Financial Planner | Walnut Creek, Ca | Apr 27, 2021 | 30 y | 3 |
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
- W•••••• P••• B•••• to M•••••• A•••••• N••••••Jul 26, 2018 · RIA to RIA
- A•••••• M•••••• M••••••• to S••••• W••••• M••••••••• L••Feb 5, 2018 · Other
Joined, latest
- R•••••• D•••• C•••••• from A••••••••• F•••••••• S•••••••• L••Apr 27, 2021 · Affiliated broker-dealer or bank to independent RIA
- A•••••• M•••••• M••••••• from E•••••• C•••••• M••••••••• L••Apr 21, 2017 · Other
- B• R•••• B•••• from L•• F•••••••• L••Apr 19, 2013 · Other
- W•••••• P••• B•••• from L•• F•••••••• L••Apr 19, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• B•• R•••• · Chief Compliance Officer/Managing Membercontrolsince 04/2013 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Walnut Creek, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 27, 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 $171,057,868 to $193,862,881, advisors 2 to 2, private clients 536 to 231, offices 0 to 0 (2025-03-18 to 2026-03-27)peers: independent wealth managers, $100M to $500M (5,678)
- client count collapseChange between filings · filing Mar 27, 2026individual and HNW clients (Item 5.D) moved from 536.0 to 231.0 (-57.0%) between the annual amendments of 2025-03-18 and 2026-03-27; the peer median change was +3.0% (3309 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 1.1% percentile
What changed
consecutive filings, newest first
- Accounts · 536 to 547Mar 18, 2025 to Mar 27, 2026
- HNW clients · 49 to 42Mar 18, 2025 to Mar 27, 2026
- Individual clients · 487 to 189Mar 18, 2025 to Mar 27, 2026
- Assets in custody · $48.6M to $168MMar 18, 2025 to Mar 27, 2026
- Employees · 2 to 4Mar 18, 2025 to Mar 27, 2026
- Discretionary RAUM · $171M to $194MMar 18, 2025 to Mar 27, 2026
- HNW RAUM · $93.0M to $131MMar 18, 2025 to Mar 27, 2026
- Individual RAUM · $77.1M to $61.2MMar 18, 2025 to Mar 27, 2026
- Pension RAUM · $989,277 to $1.3MMar 18, 2025 to Mar 27, 2026
- RAUM · $171M to $194MMar 18, 2025 to Mar 27, 2026
- Wrap assets (manager) · $25.3M to $27.6MMar 18, 2025 to Mar 27, 2026
- Accounts · 567 to 536Feb 16, 2024 to Mar 18, 2025
- HNW clients · 537 to 49Feb 16, 2024 to Mar 18, 2025
- Individual clients · 63 to 487Feb 16, 2024 to Mar 18, 2025
- Assets in custody · $97.9M to $48.6MFeb 16, 2024 to Mar 18, 2025
- Financial planning clients · 0 to 0Feb 16, 2024 to Mar 18, 2025
- Discretionary RAUM · $174M to $171MFeb 16, 2024 to Mar 18, 2025
- HNW RAUM · $72.2M to $93.0MFeb 16, 2024 to Mar 18, 2025
- Individual RAUM · $101M to $77.1MFeb 16, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $1.3M to $0Feb 16, 2024 to Mar 18, 2025
- Pension RAUM · $1.8M to $989,277Feb 16, 2024 to Mar 18, 2025
- RAUM · $175M to $171MFeb 16, 2024 to Mar 18, 2025
- Wrap assets (manager) · $25.7M to $25.3MFeb 16, 2024 to Mar 18, 2025
- Accounts · 571 to 567Nov 2, 2023 to Feb 16, 2024
- Advisory employees · 3 to 2Nov 2, 2023 to Feb 16, 2024
- HNW clients · 51 to 537Nov 2, 2023 to Feb 16, 2024
- Individual clients · 519 to 63Nov 2, 2023 to Feb 16, 2024
- Assets in custody · $50.0M to $97.9MNov 2, 2023 to Feb 16, 2024
- Employees · 3 to 2Nov 2, 2023 to Feb 16, 2024
- State-registered IARs · 3 to 2Nov 2, 2023 to Feb 16, 2024
- Other offices · 1 to 0Nov 2, 2023 to Feb 16, 2024
- Discretionary RAUM · $156M to $174MNov 2, 2023 to Feb 16, 2024
- HNW RAUM · $86.0M to $72.2MNov 2, 2023 to Feb 16, 2024
- Individual RAUM · $66.3M to $101MNov 2, 2023 to Feb 16, 2024
- Non-discretionary RAUM · $0 to $1.3MNov 2, 2023 to Feb 16, 2024
- Pension RAUM · $1.5M to $1.8MNov 2, 2023 to Feb 16, 2024
- RAUM · $156M to $175MNov 2, 2023 to Feb 16, 2024
- Wrap assets (manager) · $24.2M to $25.7MNov 2, 2023 to Feb 16, 2024
- Accounts · 540 to 571May 11, 2022 to Feb 13, 2023
- Charity clients · 3.0 to unsetMay 11, 2022 to Feb 13, 2023
Signals
2 dated events
- Yasuo Arthur Mitsutome (Managing Member) no longer on Schedule A of I•••••••• W••••• P•••••••• L•• (listed 2019-03-04, absent 2019-08-02)Aug 2, 2019 · Control person left · inference
- B••••• B•••• • M•••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 1, 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 email
- contact@investwithintegrity.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-299-5388reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 925-300-3211reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 925-300-3222reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- INVESTWITHI••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 925-300-3222reportedpublic record, Form ADV, Mar 27, 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
- $96.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026