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
F•••• W••••• M••••••••• I•••
Latest filing Mar 25, 2026
First filing on the tape Jun 9, 2014 · 19 filings
SEC status approved since Apr 28, 2021
RAUM
$158M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$158M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$158M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$158M as of Mar 25, 2026
Apr 2, 2015$225,000 then
HNW client RAUM$121M as of Mar 25, 2026
Apr 1, 2021$38.4M then
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Apr 2, 20150 then
Employees (5.A)1 as of Mar 25, 2026
Apr 2, 20152 then
Private funds: no history
RAUM +24% over the last fiscal year+16% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 25, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $158MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 379derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $207,595derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- compensates non-employees for client referrals (8.G.2)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$121M77%
- Individuals$37.0M23%
- Individual clients
- 272reported
- HNW clients
- 107reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 762reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• J•••••• B••••••••• | Roseville, Ca | Sep 17, 2015 | 27 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
- L•••• J•••••• B••••••••• from P••••• S••••• F•••••••• G••••• L••Sep 17, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• L••••• J•••••• · Ceo/Ccocontrolsince 09/2015 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 25, 2026accounts (Item 5.F.2.f) moved from 365.0 to 762.0 (+109.0%) between the annual amendments of 2025-03-30 and 2026-03-25; the peer median change was +5.0% (3687 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 98% percentile
- HNW share shiftChange between filings · filing Mar 25, 2026HNW share of RAUM moved from 54.0% to 77.0% between the annual amendments of 2025-03-30 and 2026-03-25peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 365 to 762Mar 30, 2025 to Mar 25, 2026
- HNW clients · 57 to 107Mar 30, 2025 to Mar 25, 2026
- Individual clients · 308 to 272Mar 30, 2025 to Mar 25, 2026
- Discretionary RAUM · $127M to $158MMar 30, 2025 to Mar 25, 2026
- HNW RAUM · $68.1M to $121MMar 30, 2025 to Mar 25, 2026
- Individual RAUM · $59.0M to $37.0MMar 30, 2025 to Mar 25, 2026
- RAUM · $127M to $158MMar 30, 2025 to Mar 25, 2026
- Accounts · 727 to 365Mar 30, 2024 to Mar 30, 2025
- HNW clients · 40 to 57Mar 30, 2024 to Mar 30, 2025
- Individual clients · 279 to 308Mar 30, 2024 to Mar 30, 2025
- Financial planning clients · 1-10 to 1-10Mar 30, 2024 to Mar 30, 2025
- Discretionary RAUM · $107M to $127MMar 30, 2024 to Mar 30, 2025
- HNW RAUM · $51.8M to $68.1MMar 30, 2024 to Mar 30, 2025
- Individual RAUM · $61.7M to $59.0MMar 30, 2024 to Mar 30, 2025
- Non-discretionary RAUM · $6.4M to $0Mar 30, 2024 to Mar 30, 2025
- RAUM · $113M to $127MMar 30, 2024 to Mar 30, 2025
- Accounts · 297 to 727Mar 28, 2023 to Mar 30, 2024
- Corporate clients · 2.0 to unsetMar 28, 2023 to Mar 30, 2024
- HNW clients · 31 to 40Mar 28, 2023 to Mar 30, 2024
- Individual clients · 264 to 279Mar 28, 2023 to Mar 30, 2024
- Discretionary RAUM · $88.4M to $107MMar 28, 2023 to Mar 30, 2024
- HNW RAUM · $34.5M to $51.8MMar 28, 2023 to Mar 30, 2024
- Individual RAUM · $53.9M to $61.7MMar 28, 2023 to Mar 30, 2024
- Non-discretionary RAUM · $12.0M to $6.4MMar 28, 2023 to Mar 30, 2024
- RAUM · $100M to $113MMar 28, 2023 to Mar 30, 2024
- Accounts · 285 to 297Mar 28, 2022 to Mar 28, 2023
- HNW clients · 37 to 31Mar 28, 2022 to Mar 28, 2023
- Individual clients · 246 to 264Mar 28, 2022 to Mar 28, 2023
- Discretionary RAUM · $98.0M to $88.4MMar 28, 2022 to Mar 28, 2023
- HNW RAUM · $46.5M to $34.5MMar 28, 2022 to Mar 28, 2023
- Individual RAUM · $51.5M to $53.9MMar 28, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $22.1M to $12.0MMar 28, 2022 to Mar 28, 2023
- RAUM · $120M to $100MMar 28, 2022 to Mar 28, 2023
- Accounts · 342 to 285Apr 1, 2021 to Mar 28, 2022
- Business name · F••••• I••• to F•••• W••••• M••••••••• I•••Apr 1, 2021 to Mar 28, 2022
- HNW clients · 36 to 37Apr 1, 2021 to Mar 28, 2022
- Individual clients · 304 to 246Apr 1, 2021 to Mar 28, 2022
- Discretionary RAUM · $85.8M to $98.0MApr 1, 2021 to Mar 28, 2022
- HNW RAUM · $38.4M to $46.5MApr 1, 2021 to Mar 28, 2022
- Individual RAUM · $47.4M to $51.5MApr 1, 2021 to Mar 28, 2022
Signals
1 dated events
- I••• P••• A•••••••• I••• filed its initial SEC registration (Form ADV)Jun 9, 2014 · 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
- 916-379-7980reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- F••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 916-379-7980reportedpublic record, Form ADV, Mar 25, 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
- $158Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026