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
Svb Investment Services Inc.
Latest filing Jun 30, 2022
First filing on the tape Jun 7, 2013 · 52 filings
RAUM
$1.5B
reported, Item 5.F
Discretionary
65%
of RAUM
Private clients
95%
$1.4B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
80
68 advisory (5.B.1)
Offices
11
beyond the principal office
Private funds
0
reported on Schedule D
History
52 filings and snapshots on the tape
RAUM$1.5B as of Mar 29, 2022
Mar 31, 2014$22.7M then
HNW client RAUM$1.3B as of Mar 29, 2022
Mar 29, 2018$512M then
State-registered IARs (5.B.3)63 as of Mar 29, 2022
Mar 31, 20142 then
Employees (5.A)80 as of Mar 29, 2022
Mar 31, 20147 then
Private funds: no history
RAUM +4.6% over the last fiscal year+26% a year over threeIARs 45 to 63offices 10 to 11
Practice profile
derived from the filing of Jun 30, 2022; every figure names its basis
- RAUM per advisor
- $23.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 7derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.0MderivedHNW RAUM over HNW clients
- Average account
- $806,738derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 65%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 5.3derived12 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +40%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Wrap fee program
- $8.3MreportedItem 5.I
- Custody
- $136M, 362 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- 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$1.3B94%
- Individuals$73.3M5.2%
- Corporations and businesses$6.2M0.4%
- Individual clients
- 242reported
- HNW clients
- 220reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 1,816reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $8.3M sponsored, $0 managedreported
- Custody of client assets
- $136M for 362 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
Left, latest
- Gustavo Arce to First Citizens Investor Services, Inc.Jul 29, 2022 · Affiliated broker-dealer or bank to another
- Craig L Caukin to Pinegrove Venture Partners, LLCJul 29, 2022 · Other
- Federico J Martin to Key Investment Services LLCJul 29, 2022 · Affiliated broker-dealer or bank to another
- Dillon Dutkanych to Sofi Wealth LLCJul 29, 2022 · Affiliated broker-dealer or bank to another
- Isaac Jess Huether to E*Trade Capital Management, LLCApr 18, 2022 · Affiliated broker-dealer or bank to independent RIA
- Joanie Cheung Ojascastro to Advice And Planning ServicesJan 19, 2022 · Affiliated broker-dealer or bank to another
- Jennifer Hollers to Kestra Advisory Services, LLCOct 27, 2021 · Affiliated broker-dealer or bank to another
- Daniel Fox Walker to Capital Consulting & Asset ManagementJan 4, 2021 · RIA to RIA
- Andrew Mo to Iconiq Capital, LLCSep 14, 2020 · RIA to RIA
- Ann Marie Lucchesi to Parallel Advisors, LLCSep 8, 2020 · RIA to RIA
- Robert S. Holman to Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 4, 2019 · RIA to wirehouse
- Sirma M Tzoutzova to Strategic Advisers LLCMay 30, 2017 · Other
- Thomas Michael Mcguire to Citigroup Global Markets Inc.Apr 21, 2017 · Other
Joined, latest
- Sandra Lee Healey from Morgan StanleyApr 13, 2022 · Wirehouse to affiliated broker-dealer or bank
- Amy Stacy Born from Hightower Advisors, LLCJan 14, 2022 · Affiliated broker-dealer or bank to another
- Skyler R Hardman from Key Investment Services LLCJan 7, 2022 · Affiliated broker-dealer or bank to another
- Marcelo Ricardo Marinho-Gomes from Wells Fargo AdvisorsDec 6, 2021 · Wirehouse to affiliated broker-dealer or bank
- Eric Anthony Hallman from Fidelity Personal And Workplace AdvisorsOct 12, 2021 · Affiliated broker-dealer or bank to another
- Kiera Nicole Blinzinger from Wells Fargo AdvisorsSep 27, 2021 · Wirehouse to affiliated broker-dealer or bank
- Craig L Caukin from Westriver Management, LLCSep 14, 2021 · Other
- Casey Daniel Paton from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 13, 2021 · Wirehouse to affiliated broker-dealer or bank
- Arend Johannes Warmerdam from Fisher InvestmentsSep 13, 2021 · RIA to affiliated broker-dealer or bank
- Gustavo Arce from Svb WealthAug 31, 2021 · RIA to affiliated broker-dealer or bank
- Maximilian Ortiz from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 30, 2021 · Wirehouse to affiliated broker-dealer or bank
- Lana Xiao from Summitry, LLCJun 25, 2021 · RIA to affiliated broker-dealer or bank
- Mark T Childs from Hsbc Securities (USA) Inc.May 18, 2021 · Affiliated broker-dealer or bank to another
- Myles Illion from J.P. Morgan Securities LLCMay 17, 2021 · Wirehouse to affiliated broker-dealer or bank
- Federico J Martin from Zions Capital Advisors, Inc.May 5, 2021 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Svb Asset ManagementJan 17, 2017 · San Francisco, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Maura S Almy · Directorcontrolsince 02/2022 · owns less than 5%
- Anthony Nmn Dechellis · Director, President/Ceocontrolsince 02/2022 · owns less than 5%
- Colleen Ann Graham · Directorcontrolsince 02/2022 · owns less than 5%
- Shirley Jane Leung · Director, Ciocontrolsince 09/2020 · owns less than 5%
- James Dennis Mccarron · Cco, Broker-Dealer/Ria And Pfo And Poocontrolsince 07/2019 · owns less than 5%
- Paul Michael Simons · Directorcontrolsince 02/2022 · owns less than 5%
- Richard Joseph Mattera · Finop, Broker-Dealersince 07/2019 · owns less than 5%
Entity owners
- Silicon Valley Bank · Parentdirect · owns 75% or more
- Svb Financial Group · Parentindirect · owns 75% or more of Silicon Valley Bank · public reporting company
Related persons
Schedule D 7.A
- Innovation Debt Funding Vi, LLCpooled vehicle sponsorn
- Latin America Growth Lending, LLCpooled vehicle sponsorn
- Silicon Valley Bancventures, Inc.pooled vehicle sponsorn
- Silicon Valley Banky
- Spd Silicon Valley Bank Co., Ltdn
- Sprout Endurance Partners, LLCpooled vehicle sponsorn
- Svb Asset Managementinvestment advisernRAUM $32B
- Svb Capital Master Servicer, LLCpooled vehicle sponsorn
- Svb Capital Partners II, LLCpooled vehicle sponsorn
- Svb Capital Partners IIIpooled vehicle sponsorn
- Svb Capital Partners IV LLCpooled vehicle sponsorn
- Svb Capital Partners V, LLCpooled vehicle sponsorn
- Svb Capital Venture Overagepooled vehicle sponsorn
- Svb Financial Grouppooled vehicle sponsory
- Svb Growth Investors, LLCpooled vehicle sponsorn
- Svb Innovation Credit Growth Partners Ix, LLCpooled vehicle sponsorn
- Svb Innovation Credit Income Partners II, LLCpooled vehicle sponsorn
- Svb Innovation Credit Partners Sma I, LLCpooled vehicle sponsorn
- Svb Innovation Credit Partners Viii-A, LLCpooled vehicle sponsorn
- Svb Innovation Credit Partners Viii, LLCpooled vehicle sponsorn
- Svb Redwood Evergreen, LLCpooled vehicle sponsorn
- Leerink Swann LLCbroker-dealernRAUM $50.5M
- Svb Sif- Ascension Gp I, LLCpooled vehicle sponsorn
- Svb Strategic Investors II, LLCpooled vehicle sponsorn
- Svb Strategic Investors III, LLCpooled vehicle sponsorn
- Svb Strategic Investors IV, LLCpooled vehicle sponsorn
- Svb Strategic Investors Ix, LLCpooled vehicle sponsorn
- Svb Strategic Investors V, LLCpooled vehicle sponsorn
- Svb Strategic Investors Vi, LLCpooled vehicle sponsorn
- Svb Strategic Investors Vii, LLCpooled vehicle sponsorn
Advisers that list Svb Investment Services Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
- Cottonwood Heights, UT18 employees
- Newton, MA12 employees
- Menlo Park, CA11 employees
- New York, NY5 employees
- Santa Clara, CA4 employees
- Santa Monica, CA4 employees
- West Conshohocken, PA3 employees
- Atlanta, GA1 employees
- Miami, FL1 employees
- Denver, CO1 employees
- Richardson, TX1 employees
What changed
consecutive filings, newest first
- Business name · SVB WEALTH ADVISORY, INC. to SVB INVESTMENT SERVICES INC.Apr 22, 2022 to Apr 22, 2022
- Legal name · SVB WEALTH ADVISORY, INC. to SVB INVESTMENT SERVICES INC.Apr 22, 2022 to Apr 22, 2022
- Accounts · 1,714 to 1,816Feb 24, 2022 to Mar 29, 2022
- Advisory employees · 60 to 68Feb 24, 2022 to Mar 29, 2022
- BD registered reps · 54 to 64Feb 24, 2022 to Mar 29, 2022
- Corporate clients · 8 to 2Feb 24, 2022 to Mar 29, 2022
- HNW clients · 210 to 220Feb 24, 2022 to Mar 29, 2022
- Individual clients · 252 to 242Feb 24, 2022 to Mar 29, 2022
- Assets in custody · $1.4B to $136MFeb 24, 2022 to Mar 29, 2022
- Employees · 60 to 80Feb 24, 2022 to Mar 29, 2022
- Insurance-licensed employees · 0 to 24Feb 24, 2022 to Mar 29, 2022
- State-registered IARs · 45 to 63Feb 24, 2022 to Mar 29, 2022
- Other offices · 9 to 11Feb 24, 2022 to Mar 29, 2022
- Discretionary RAUM · $643M to $946MFeb 24, 2022 to Mar 29, 2022
- HNW RAUM · $1.3B to $1.3BFeb 24, 2022 to Mar 29, 2022
- Individual RAUM · $73.9M to $73.3MFeb 24, 2022 to Mar 29, 2022
- Non-discretionary RAUM · $757M to $519MFeb 24, 2022 to Mar 29, 2022
- RAUM · $1.4B to $1.5BFeb 24, 2022 to Mar 29, 2022
- Wrap assets (sponsor) · $5.4M to $8.3MFeb 24, 2022 to Mar 29, 2022
- Other offices · 10 to 9May 26, 2021 to Jul 30, 2021
- Accounts · 1,524 to 1,714Sep 11, 2020 to Mar 30, 2021
- Advisory employees · 55 to 60Sep 11, 2020 to Mar 30, 2021
- BD registered reps · 0 to 54Sep 11, 2020 to Mar 30, 2021
- Charity clients · unset to 0.0Sep 11, 2020 to Mar 30, 2021
- Corporate clients · 6 to 8Sep 11, 2020 to Mar 30, 2021
- HNW clients · 186 to 210Sep 11, 2020 to Mar 30, 2021
- Individual clients · 211 to 252Sep 11, 2020 to Mar 30, 2021
- Assets in custody · $948M to $1.4BSep 11, 2020 to Mar 30, 2021
- Employees · 55 to 60Sep 11, 2020 to Mar 30, 2021
- State-registered IARs · 37 to 45Sep 11, 2020 to Mar 30, 2021
- Discretionary RAUM · $506M to $643MSep 11, 2020 to Mar 30, 2021
- HNW RAUM · $767M to $1.3BSep 11, 2020 to Mar 30, 2021
- Individual RAUM · $65.0M to $73.9MSep 11, 2020 to Mar 30, 2021
- Non-discretionary RAUM · $445M to $757MSep 11, 2020 to Mar 30, 2021
- RAUM · $951M to $1.4BSep 11, 2020 to Mar 30, 2021
- Wrap assets (sponsor) · $2.8M to $5.4MSep 11, 2020 to Mar 30, 2021
- Accounts · 1,181 to 1,524Jan 9, 2020 to Mar 30, 2020
- Advisory employees · 52 to 55Jan 9, 2020 to Mar 30, 2020
- BD registered reps · 2 to 0Jan 9, 2020 to Mar 30, 2020
- HNW clients · 124 to 186Jan 9, 2020 to Mar 30, 2020
Signals
29 dated events
- Gustavo Arce left Svb Investment Services Inc. for First Citizens Investor Services, Inc. (registered 2025-05-29)Jul 29, 2022 · Advisor changed firm · fact
- Federico J Martin left Svb Investment Services Inc. for Key Investment Services Llc (registered 2024-01-03)Jul 29, 2022 · Advisor changed firm · fact
- Craig L Caukin left Svb Investment Services Inc. for Pinegrove Venture Partners, Llc (registered 2026-01-01)Jul 29, 2022 · Advisor changed firm · fact
- Dillon Dutkanych left Svb Investment Services Inc. for Sofi Wealth Llc (registered 2025-11-24)Jul 29, 2022 · Advisor changed firm · fact
- Pamela Gail Landes (Chief Compliance Officer, Investment Advisor) no longer on Schedule A of Svb Investment Services Inc. (listed 2022-04-22, absent 2022-06-30)Jun 30, 2022 · Control person left · inference
- Isaac Jess Huether left Svb Investment Services Inc. for E*Trade Capital Management, Llc (registered 2022-04-20)Apr 18, 2022 · Advisor changed firm · fact
- Svb Investment Services Inc. reported 63 state-registered advisory representatives, up from 45 (2022-02-24 to 2022-03-29)Mar 29, 2022 · Advisor headcount change · derived
- Anthony Nmn Dechellis (Director, President/Ceo) appeared on Schedule A of Svb Investment Services Inc.Feb 24, 2022 · Control person joined · fact
- Yvette Sadler Butler (Director/President & Ceo (1/2019)) no longer on Schedule A of Svb Investment Services Inc. (listed 2022-01-11, absent 2022-02-24)Feb 24, 2022 · Control person left · inference
- William Scoggins (Director) no longer on Schedule A of Svb Investment Services Inc. (listed 2022-01-11, absent 2022-02-24)Feb 24, 2022 · Control person left · inference
- Paul Michael Simons (Director) appeared on Schedule A of Svb Investment Services Inc.Feb 24, 2022 · Control person joined · fact
- Maura S Almy (Director) appeared on Schedule A of Svb Investment Services Inc.Feb 24, 2022 · Control person joined · fact
- Colleen Ann Graham (Director) appeared on Schedule A of Svb Investment Services Inc.Feb 24, 2022 · Control person joined · fact
- Joanie Cheung Ojascastro left Svb Investment Services Inc. for Advice And Planning Services (registered 2022-02-17)Jan 19, 2022 · Advisor changed firm · fact
- Amy Lai Mui Cheong (Cfo) no longer on Schedule A of Svb Investment Services Inc. (listed 2020-09-11, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Svb Investment Services Inc. reported RAUM $1.4B, up 47% from $950.7M (2020-09-11 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- Amena Piracha (Secretary) no longer on Schedule A of Svb Investment Services Inc. (listed 2020-09-11, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Karen Ms. Hon (Director) no longer on Schedule A of Svb Investment Services Inc. (listed 2020-09-11, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- William Scoggins (Director) appeared on Schedule A of Svb Investment Services Inc.Mar 30, 2021 · Control person joined · fact
- Jeffrey Naylor Schnitz (Director) no longer on Schedule A of Svb Investment Services Inc. (listed 2020-06-30, absent 2020-09-03)Sep 3, 2020 · Control person left · inference
- Shirley Jane Leung (Director, Cio) appeared on Schedule A of Svb Investment Services Inc.Sep 3, 2020 · Control person joined · fact
- Svb Investment Services Inc. reported RAUM $950.7M, up 31% from $724.3M (2020-01-09 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Kamran Fouad Husain (Director, Cfo) no longer on Schedule A of Svb Investment Services Inc. (listed 2019-04-01, absent 2019-10-25)Oct 25, 2019 · Control person left · inference
- James Dennis Mccarron (Chief Compliance Officer, Broker-Dealer) appeared on Schedule A of Svb Investment Services Inc.Oct 25, 2019 · Control person joined · fact
- Amy Lai Mui Cheong (Cfo) appeared on Schedule A of Svb Investment Services Inc.Oct 25, 2019 · Control person joined · fact
- Richard Joseph Mattera (Finop, Broker-Dealer) appeared on Schedule A of Svb Investment Services Inc.Oct 25, 2019 · Control person joined · fact
- Karen Ms. Hon (Director) appeared on Schedule A of Svb Investment Services Inc.Oct 25, 2019 · Control person joined · fact
- Svb Investment Services Inc. reported 38 state-registered advisory representatives, up from 21 (2019-03-07 to 2019-03-29)Mar 29, 2019 · Advisor headcount change · derived
- Svb Wealth Advisory, Inc. filed its initial SEC registration (Form ADV)Jun 7, 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.
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