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
S•••• C•••••• P•••••••• L••
Latest filing Jun 24, 2026
First filing on the tape Jan 30, 2014 · 29 filings
SEC status approved since Feb 10, 2014
RAUM
$1.2B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$1.2B individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$619M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$1.2B as of Jun 24, 2026
Mar 31, 2015$111M then
HNW client RAUM$1.2B as of Jun 24, 2026
Mar 29, 2018$111M then
State-registered IARs (5.B.3)2 as of Jun 24, 2026
Mar 31, 20151 then
Employees (5.A)5 as of Jun 24, 2026
Mar 31, 20154 then
Private funds1 as of Jun 24, 2026
Mar 30, 20261 then
RAUM +93% over the last fiscal year+50% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $619MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $22.9MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +93%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $101M, 26 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$1.2B100%
- Individuals$237,5060.0%
- Individual clients
- 1reported
- HNW clients
- 54reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 521reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $101M for 26 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| C•••• B•••• S•••Certified Financial Planner | Mill Valley, Ca | Mar 14, 2017 | 13 y | 1 |
| C•••••••• M•••• | Mill Valley, Ca | Apr 12, 2021 | 10 y | 2 |
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
- C•••••••• M•••• from U•• F•••••••• S••••••• I•••Apr 12, 2021 · Wirehouse to independent RIA
- C•••• B•••• S••• from U•• F•••••••• S••••••• I•••Mar 14, 2017 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| O•••••• M•• I• M••••• F•••• L• | $192,866 | 1 | Jun 24, 2026 |
Owners and control persons
Schedule A and B, latest filing
- S•••• C••••• B•••• · Managing Member - Ccocontrolsince 06/2020 · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mill Valley, 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
- RAUM up 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $640,807,082 to $1,238,988,439 (+93.0%) between the annual amendments of 2025-03-24 and 2026-03-30; the peer median change was +17.0% (1298 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,298) · 97% percentile
- account count surgeChange between filings · filing Mar 30, 2026accounts (Item 5.F.2.f) moved from 339.0 to 521.0 (+54.0%) between the annual amendments of 2025-03-24 and 2026-03-30; the peer median change was +6.0% (1206 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 93% percentile
What changed
consecutive filings, newest first
- Accounts · 339 to 521Sep 11, 2025 to Mar 30, 2026
- Assets in custody · $93.3M to $101MSep 11, 2025 to Mar 30, 2026
- Employees · 4 to 5Sep 11, 2025 to Mar 30, 2026
- Private funds · unset to 1Sep 11, 2025 to Mar 30, 2026
- Discretionary RAUM · $617M to $1.2BSep 11, 2025 to Mar 30, 2026
- HNW RAUM · $641M to $1.2BSep 11, 2025 to Mar 30, 2026
- Individual RAUM · $201,954 to $237,506Sep 11, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $23.6M to $34.4MSep 11, 2025 to Mar 30, 2026
- RAUM · $641M to $1.2BSep 11, 2025 to Mar 30, 2026
- Assets in custody · $84.6M to $93.3MMar 24, 2025 to Sep 11, 2025
- Accounts · 383 to 339Mar 29, 2024 to Mar 24, 2025
- Charity clients · unset to 0.0Mar 29, 2024 to Mar 24, 2025
- Corporate clients · unset to 0.0Mar 29, 2024 to Mar 24, 2025
- HNW clients · 51 to 54Mar 29, 2024 to Mar 24, 2025
- Individual clients · 5 to 1Mar 29, 2024 to Mar 24, 2025
- Pension plan clients · unset to 0.0Mar 29, 2024 to Mar 24, 2025
- Pooled vehicle clients · unset to 0.0Mar 29, 2024 to Mar 24, 2025
- Assets in custody · $55.5M to $84.6MMar 29, 2024 to Mar 24, 2025
- Employees · 3 to 4Mar 29, 2024 to Mar 24, 2025
- Financial planning clients · 51-100 to 51-100Mar 29, 2024 to Mar 24, 2025
- Discretionary RAUM · $487M to $617MMar 29, 2024 to Mar 24, 2025
- HNW RAUM · $511M to $641MMar 29, 2024 to Mar 24, 2025
- Individual RAUM · $1.5M to $201,954Mar 29, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $25.7M to $23.6MMar 29, 2024 to Mar 24, 2025
- Pension RAUM · unset to 0.0Mar 29, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · unset to 0.0Mar 29, 2024 to Mar 24, 2025
- RAUM · $513M to $641MMar 29, 2024 to Mar 24, 2025
- Accounts · 260 to 383Aug 28, 2023 to Mar 29, 2024
- Individual clients · 3 to 5Aug 28, 2023 to Mar 29, 2024
- Assets in custody · $10.5M to $55.5MAug 28, 2023 to Mar 29, 2024
- Discretionary RAUM · $366M to $487MAug 28, 2023 to Mar 29, 2024
- HNW RAUM · $365M to $511MAug 28, 2023 to Mar 29, 2024
- Individual RAUM · $681,190 to $1.5MAug 28, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $0 to $25.7MAug 28, 2023 to Mar 29, 2024
- RAUM · $366M to $513MAug 28, 2023 to Mar 29, 2024
- Assets in custody · unset to 10504762.0Mar 31, 2023 to Aug 28, 2023
- Custody of client assets · false to trueMar 31, 2023 to Aug 28, 2023
- Accounts · 239 to 260Mar 18, 2022 to Mar 31, 2023
- HNW clients · 43 to 51Mar 18, 2022 to Mar 31, 2023
- Individual clients · 1 to 3Mar 18, 2022 to Mar 31, 2023
Signals
5 dated events
- S•••• C•••••• P•••••••• L•• reported RAUM $1.2B, up 93% from $640.8M (2025-09-11 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- S•••• C•••••• P•••••••• L•• reported RAUM $512.9M, up 40% from $366.1M (2023-08-28 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- S•••• C•••••• P•••••••• L•• reported RAUM $274.0M, up 66% from $165.3M (2020-10-27 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Fereidoon Benjamin Mahdavi (Managing Member) no longer on Schedule A of S•••• C•••••• P•••••••• L•• (listed 2020-03-20, absent 2020-06-30)Jun 30, 2020 · Control person left · inference
- S•••• C•••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jan 30, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- S•••• C•••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- S•••• C•••••• P•••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- partners@siviacapital.comreportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/5118927reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (415) 231-7490reportedpublic record, Form ADV, Jun 24, 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
- $619Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026