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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Former SEC-registered adviser

C•••••• P••••••• A••••••• L••

Former SEC-registered adviserRoseville, CaliforniaCRD 170266SEC 801-79170websiteIAPD
Latest filing Mar 31, 2026
First filing on the tape Jan 30, 2014 · 57 filings
SEC status approved since Feb 28, 2014
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
73%
$1.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
57 filings and snapshots on the tape
RAUM$1.5B as of Mar 31, 2026
Mar 12, 2015$295M then
HNW client RAUM$925M as of Mar 31, 2026
Mar 29, 2018$297M then
State-registered IARs (5.B.3)8 as of Mar 31, 2026
Mar 12, 20155 then
Employees (5.A)10 as of Mar 31, 2026
Mar 12, 201511 then
Private funds: no history
RAUM +9.0% over the last fiscal year+15% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
RAUM per advisor
$188MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
46derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.6MderivedHNW RAUM over HNW clients
Average account
$1.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+9.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.9%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
Custody
$722M, 233 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
Firms absorbed, 24 months
1derivedhalf or more of a firm's advisors moved here within 14 days
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$925M62%
  • Pension and profit-sharing plans$255M17%
  • Individuals$164M11%
  • Banks and thrifts$72.8M4.8%
  • Corporations and businesses$53.7M3.6%
  • Charitable organizations$31.2M2.1%
Individual clients
172reported
HNW clients
199reported
Pension plan clients
45reported
Charitable clients
5reported
Accounts
1,213reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$722M for 233 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
16 left, 8 joined in 12 months
net -8 in 12 months0 left in 90 days0 joined in 90 days16 left over 36 months
Left, latest
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
  • B•••• J••••• T••••• · Chief Investment Officercontrol
    since 10/2022 · owns less than 5%
  • H•••••• L•••••••• A••••• · Chief Compliance Officercontrol
    since 02/2014 · owns less than 5%
  • S••••••••• G••••• · Vice Presidentcontrol
    since 10/2022 · owns less than 5%
  • W•••••• J••••• B••• · Chief Executive Officercontrol
    since 10/2022 · owns less than 5%
Entity owners
  • B••••••••• W••••• P•••••••• L•• · Owner
    direct · owns 75% or more
  • K••••• A•••••• S••••••• H••••••• A• I•• · Owner
    indirect · owns 75% or more of K••••• A•••••• S••••••• H••••••• B• I••
  • K••••• A•••••• S••••••• H••••••• B• I•• · Owner
    indirect · owns 75% or more of K••••• A•••••• S••••••• H••••••• C• I•••
  • K••••• A•••••• S••••••• H••••••• C• I••• · Owner
    indirect · owns 75% or more of K••••• F••••••••• I••
  • K••••• F••••••••• I•• · Owner
    indirect · owns 75% or more of B••••••••• W••••• P•••••••• L••
  • K••••••••• H•••••• A• I••• · Owner
    indirect · owns 75% or more of K••••••••• H•••••• B• I•••
  • K••••••••• H•••••• B• I••• · Owner
    indirect · owns 75% or more of K••••• A•••••• S••••••• H••••••• A• I••
  • K••••••••• H••••••• G•• L•• · General Partner
    indirect · owns F of K••••••••• H••••••• L•
  • K••••••••• H••••••• L• · Owner
    indirect · owns 75% or more of K••••••••• H•••••• A• I•••
  • W•••••• P••••• F•••••••• S•••••• L••• · Limited Partner
    indirect · owns 25% to 50% of K••••••••• H••••••• L•
Related persons
Schedule D 7.A
Advisers that list C•••••• P••••••• A••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Walnut Creek, Ca002
Roseville, Ca · principal00141
Offices
Schedule D 1.F, the 25 largest
  • Walnut Creek, CA1 employees
What changed
consecutive filings, newest first
  • Accounts · 1,144 to 1,213
    Jul 28, 2025 to Mar 31, 2026
  • Corporate clients · 6 to 7
    Jul 28, 2025 to Mar 31, 2026
  • HNW clients · 196 to 199
    Jul 28, 2025 to Mar 31, 2026
  • Individual clients · 161 to 172
    Jul 28, 2025 to Mar 31, 2026
  • Pension plan clients · 46 to 45
    Jul 28, 2025 to Mar 31, 2026
  • Assets in custody · $711M to $722M
    Jul 28, 2025 to Mar 31, 2026
  • Financial planning clients · 0 to 1-10
    Jul 28, 2025 to Mar 31, 2026
  • Discretionary RAUM · $1.4B to $1.5B
    Jul 28, 2025 to Mar 31, 2026
  • HNW RAUM · $862M to $925M
    Jul 28, 2025 to Mar 31, 2026
  • Individual RAUM · $155M to $164M
    Jul 28, 2025 to Mar 31, 2026
  • Pension RAUM · $222M to $255M
    Jul 28, 2025 to Mar 31, 2026
  • RAUM · $1.4B to $1.5B
    Jul 28, 2025 to Mar 31, 2026
  • Financial planning clients · 0 to 0
    May 6, 2025 to Jul 28, 2025
  • Accounts · 1,057 to 1,144
    Apr 29, 2024 to Feb 25, 2025
  • Advisory employees · 7 to 8
    Apr 29, 2024 to Feb 25, 2025
  • Corporate clients · 11 to 6
    Apr 29, 2024 to Feb 25, 2025
  • HNW clients · 185 to 196
    Apr 29, 2024 to Feb 25, 2025
  • Individual clients · 148 to 161
    Apr 29, 2024 to Feb 25, 2025
  • Pension plan clients · 45 to 46
    Apr 29, 2024 to Feb 25, 2025
  • Assets in custody · $642M to $711M
    Apr 29, 2024 to Feb 25, 2025
  • Employees · 9 to 10
    Apr 29, 2024 to Feb 25, 2025
  • State-registered IARs · 7 to 8
    Apr 29, 2024 to Feb 25, 2025
  • Discretionary RAUM · $1.1B to $1.4B
    Apr 29, 2024 to Feb 25, 2025
  • HNW RAUM · $695M to $862M
    Apr 29, 2024 to Feb 25, 2025
  • Individual RAUM · $81.4M to $155M
    Apr 29, 2024 to Feb 25, 2025
  • Non-discretionary RAUM · $4.3M to $0
    Apr 29, 2024 to Feb 25, 2025
  • Pension RAUM · $207M to $222M
    Apr 29, 2024 to Feb 25, 2025
  • RAUM · $1.1B to $1.4B
    Apr 29, 2024 to Feb 25, 2025
  • Accounts · 996 to 1,057
    Mar 15, 2023 to Mar 21, 2024
  • Corporate clients · 9 to 11
    Mar 15, 2023 to Mar 21, 2024
  • HNW clients · 177 to 185
    Mar 15, 2023 to Mar 21, 2024
  • Individual clients · 138 to 148
    Mar 15, 2023 to Mar 21, 2024
  • Pension plan clients · 49 to 45
    Mar 15, 2023 to Mar 21, 2024
  • Assets in custody · $782M to $642M
    Mar 15, 2023 to Mar 21, 2024
  • Employees · 12 to 9
    Mar 15, 2023 to Mar 21, 2024
  • Financial planning clients · 1-10 to 0
    Mar 15, 2023 to Mar 21, 2024
  • Discretionary RAUM · $982M to $1.1B
    Mar 15, 2023 to Mar 21, 2024
  • HNW RAUM · $595M to $695M
    Mar 15, 2023 to Mar 21, 2024
  • Individual RAUM · $61.6M to $81.4M
    Mar 15, 2023 to Mar 21, 2024
  • Non-discretionary RAUM · $3.8M to $4.3M
    Mar 15, 2023 to Mar 21, 2024
Signals
30 dated events
  • C•••••• P••••••• A••••••• L•• no longer on the SEC adviser roster (last listed 2026-06-01, RAUM $1.5B)
    Jul 1, 2026 · Left the SEC roster · derived
  • M•••••• A•••••• S••••••• left C•••••• P••••••• A••••••• L•• for B••••••••• W••••• M••••••••• L•• (registered 2026-05-22)
    Jun 9, 2026 · a•••••• firm change · fact
  • M••••••• M••••• R•••• left C•••••• P••••••• A••••••• L•• for B••••••••• W••••• M••••••••• L•• (registered 2026-05-20)
    Jun 8, 2026 · a•••••• firm change · fact
  • J••••• A••• left C•••••• P••••••• A••••••• L•• for B••••••••• W••••• M••••••••• L•• (registered 2026-05-20)
    Jun 8, 2026 · a•••••• firm change · fact
  • M•••••• A••• H••••• left C•••••• P••••••• A••••••• L•• for B••••••••• W••••• M••••••••• L•• (registered 2026-05-26)
    Jun 8, 2026 · a•••••• firm change · fact
  • J••• T••••• M••••• left C•••••• P••••••• A••••••• L•• for B••••••••• W••••• M••••••••• L•• (registered 2026-05-20)
    Jun 8, 2026 · a•••••• firm change · fact
  • C•••••• A•••• J•••••• left C•••••• P••••••• A••••••• L•• for B••••••••• W••••• M••••••••• L•• (registered 2026-05-20)
    Jun 8, 2026 · a•••••• firm change · fact
  • J••• C•••• left C•••••• P••••••• A••••••• L•• for B••••••••• W••••• M••••••••• L•• (registered 2026-05-20)
    Jun 8, 2026 · a•••••• firm change · fact
  • A•••••• B•••••• O••• left C•••••• P••••••• A••••••• L•• for B••••• F•••••• I••••••••• C••••••••• L••• (registered 2026-03-04)
    Jun 8, 2026 · a•••••• firm change · fact
  • T•••• K•• C••• left C•••••• P••••••• A••••••• L•• for B••••• F•••••• I••••••••• C••••••••• L••• (registered 2026-03-04)
    Jun 8, 2026 · a•••••• firm change · fact
  • 6 advisors left C•••••• P••••••• A••••••• L•• (Roseville, CA) for B••••• F•••••• I••••••••• C••••••••• L••• on the same day
    Jun 8, 2026 · Team lift-out · derived
  • B••••• F•••••• I••••••••• C••••••••• L•••'s advisors moved to C•••••• P••••••• A••••••• L•• (Walnut Creek, CA): 8 of 16 registered, on the same day
    Jun 8, 2026 · Firm absorbed (people side) · derived
  • L••••••• A••••• H••••• left C•••••• P••••••• A••••••• L•• for B••••• F•••••• I••••••••• C••••••••• L••• (registered 2026-03-04)
    Jun 8, 2026 · a•••••• firm change · fact
  • J•••• W•••••• M••••• left C•••••• P••••••• A••••••• L•• for B••••• F•••••• I••••••••• C••••••••• L••• (registered 2026-03-04)
    Jun 8, 2026 · a•••••• firm change · fact
  • M•••••• G••• F•••••• left C•••••• P••••••• A••••••• L•• for B••••••••• W••••• M••••••••• L•• (registered 2026-05-20)
    Jun 8, 2026 · a•••••• firm change · fact
  • J••• J••••• E••••• left C•••••• P••••••• A••••••• L•• for B••••••••• W••••• M••••••••• L•• (registered 2026-05-20)
    Jun 8, 2026 · a•••••• firm change · fact
  • A•••••• G••••• left C•••••• P••••••• A••••••• L•• for B••••• F•••••• I••••••••• C••••••••• L••• (registered 2026-03-04)
    Jun 8, 2026 · a•••••• firm change · fact
  • J•••• F•••••• M••••••• left C•••••• P••••••• A••••••• L•• for B••••• F•••••• I••••••••• C••••••••• L••• (registered 2026-03-04)
    Jun 8, 2026 · a•••••• firm change · fact
  • C•••••• P••••••• A••••••• L••'s advisors moved to B••••••••• W••••• M••••••••• L•• (Roseville, CA): 9 of 15 registered, a day apart
    Jun 8, 2026 · Firm absorbed (people side) · derived
  • K•••• T••• L• left C•••••• P••••••• A••••••• L•• for B••••• F•••••• I••••••••• C••••••••• L••• (registered 2026-03-04)
    Apr 6, 2026 · a•••••• firm change · fact
  • T••••• Jason Bell (Chief Investment Officer) appeared on Schedule A of C•••••• P••••••• A••••••• L••
    Oct 3, 2022 · Control person joined · fact
  • Boyd James Wilson (Chief Executive Officer) appeared on Schedule A of C•••••• P••••••• A••••••• L••
    Oct 3, 2022 · Control person joined · fact
  • G••••• S•••••••• (Vice President) appeared on Schedule A of C•••••• P••••••• A••••••• L••
    Oct 3, 2022 · Control person joined · fact
  • C•••••• P••••••• A••••••• L•• reported RAUM $1.2B, up 27% from $933.2M (2021-12-20 to 2022-01-27)
    Jan 27, 2022 · RAUM change · derived
  • T••••• Jason Bell (Trustee) no longer on Schedule A of C•••••• P••••••• A••••••• L•• (listed 2021-05-26, absent 2021-12-20)
    Dec 20, 2021 · Control person left · inference
  • Boyd James Wilson (Trustee) no longer on Schedule A of C•••••• P••••••• A••••••• L•• (listed 2021-05-26, absent 2021-12-20)
    Dec 20, 2021 · Control person left · inference
  • A•••••• Michael Sollazzo (Trustee) no longer on Schedule A of C•••••• P••••••• A••••••• L•• (listed 2021-05-26, absent 2021-12-20)
    Dec 20, 2021 · Control person left · inference
  • James Brian Pretti (Trustee) no longer on Schedule A of C•••••• P••••••• A••••••• L•• (listed 2019-11-27, absent 2019-12-09)
    Dec 9, 2019 · Control person left · inference
  • C•••••• P••••••• A••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Aug 19, 2016 · Succession (Item 4) · fact
  • C•••••• P••••••• A••••••• L•• filed its initial SEC registration (Form ADV)
    Jan 30, 2014 · 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