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
U••• A•••••••
Legal name U••• A••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Jun 23, 2014 · 31 filings
SEC status approved since Jul 1, 2014
RAUM
$715M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$715M as of Mar 11, 2026
Mar 5, 2015$4.1M then
HNW client RAUM$0 as of Mar 11, 2026
Feb 23, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 11, 2026
Mar 5, 20150 then
Employees (5.A)14 as of Mar 11, 2026
Mar 5, 201513 then
Private funds: no history
RAUM +72% over the last fiscal year+53% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $47.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +72%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$715M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 15reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=6.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• S••••• · Chief Financial Officer, Secretary, Treasurercontrolsince 05/2015 · owns less than 5%
- F••••••• D••••• · Chief Legal Officercontrolsince 05/2018 · owns less than 5%
- G•••••• N•••••••• D••••• · Director & Vice Presidentcontrolsince 06/2013 · owns less than 5%
- K•••••• K••••••• A••••• · Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- L•••• J•••• P••••• · President, Chief Executive Officer, And Directorcontrolsince 12/2016 · owns less than 5%
- N•••• A•••••• F• · Directorcontrolsince 12/2016 · owns less than 5%
Entity owners
- U••• I••••••••• I••• · Ownerdirect · owns 75% or more
- M••••••• C••••••••• I••• · Shareholderindirect · owns 75% or more of U••• I••••••••• I••• · public reporting company
Related persons
Schedule D 7.A
- M••••••• • C•• A••••••• S•••••••• L••investment advisernRAUM $30,725
- T•••• F•••••••• • A•••• M••••••••• L••••••investment advisern
- U••••• S••••• C•••••••• F•••• L••bankpooled vehicle sponsorn
Advisers that list U••• A••••••• as a related person
- 310439 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 11, 2026RAUM (Item 5.F) moved from $415,986,438 to $714,913,985 (+72.0%) between the annual amendments of 2025-03-24 and 2026-03-11; the peer median change was +8.0% (673 comparable advisers, 92.0th percentile of changes)peers: asset managers, $500M to $1B (673) · 92% percentile
What changed
consecutive filings, newest first
- Accounts · 12 to 15Nov 14, 2025 to Mar 11, 2026
- BD registered reps · 5 to 6Nov 14, 2025 to Mar 11, 2026
- Employees · 13 to 14Nov 14, 2025 to Mar 11, 2026
- Discretionary RAUM · $416M to $715MNov 14, 2025 to Mar 11, 2026
- RAUM · $416M to $715MNov 14, 2025 to Mar 11, 2026
- Accounts · 14 to 12Mar 25, 2024 to Mar 24, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 24, 2025
- Discretionary RAUM · $262M to $416MMar 25, 2024 to Mar 24, 2025
- RAUM · $262M to $416MMar 25, 2024 to Mar 24, 2025
- Accounts · 6 to 14Mar 22, 2023 to Mar 25, 2024
- Advisory employees · 7 to 6Mar 22, 2023 to Mar 25, 2024
- BD registered reps · 6 to 5Mar 22, 2023 to Mar 25, 2024
- Employees · 15 to 13Mar 22, 2023 to Mar 25, 2024
- Discretionary RAUM · $199M to $262MMar 22, 2023 to Mar 25, 2024
- RAUM · $199M to $262MMar 22, 2023 to Mar 25, 2024
- Accounts · 3 to 6Apr 27, 2022 to Mar 22, 2023
- Advisory employees · 6 to 7Apr 27, 2022 to Mar 22, 2023
- BD registered reps · 7 to 6Apr 27, 2022 to Mar 22, 2023
- Discretionary RAUM · $129M to $199MApr 27, 2022 to Mar 22, 2023
- RAUM · $129M to $199MApr 27, 2022 to Mar 22, 2023
- Accounts · 1 to 3Feb 16, 2021 to Feb 3, 2022
- Advisory employees · 4 to 6Feb 16, 2021 to Feb 3, 2022
- Employees · 16 to 15Feb 16, 2021 to Feb 3, 2022
- Discretionary RAUM · $3.2M to $129MFeb 16, 2021 to Feb 3, 2022
- RAUM · $3.2M to $129MFeb 16, 2021 to Feb 3, 2022
- Related adviser · false to trueFeb 16, 2021 to Feb 3, 2022
- Accounts · 3 to 1Apr 9, 2020 to Feb 16, 2021
- Discretionary RAUM · $36.7M to $3.2MApr 9, 2020 to Feb 16, 2021
- RAUM · $36.7M to $3.2MApr 9, 2020 to Feb 16, 2021
- Accounts · 4 to 3Feb 8, 2019 to Feb 25, 2020
- Advisory employees · 3 to 4Feb 8, 2019 to Feb 25, 2020
- BD registered reps · 5 to 7Feb 8, 2019 to Feb 25, 2020
- Other offices · 1 to 0Feb 8, 2019 to Feb 25, 2020
- Discretionary RAUM · $9.9M to $36.7MFeb 8, 2019 to Feb 25, 2020
- RAUM · $9.9M to $36.7MFeb 8, 2019 to Feb 25, 2020
- HQ city · OAKLAND to WALNUT CREEKFeb 23, 2018 to Feb 8, 2019
- Discretionary RAUM · $7.7M to $9.9MFeb 23, 2018 to Feb 8, 2019
- RAUM · $7.7M to $9.9MFeb 23, 2018 to Feb 8, 2019
- HNW RAUM · unset to 0.0Feb 22, 2018 to Feb 23, 2018
- Individual RAUM · unset to 0.0Feb 22, 2018 to Feb 23, 2018
Signals
6 dated events
- U••• A••••••• reported RAUM $714.9M, up 72% from $416.0M (2025-11-14 to 2026-03-11)Mar 11, 2026 · RAUM change · derived
- U••• A••••••• reported RAUM $416.0M, up 59% from $261.6M (2024-03-25 to 2025-03-24)Mar 24, 2025 · RAUM change · derived
- Andrew Kenneth Kalina (Chief Compliance Officer) appeared on Schedule A of U••• A•••••••Apr 12, 2022 · Control person joined · fact
- Marie Carolyn Yu (Chief Compliance Officer) no longer on Schedule A of U••• A••••••• (listed 2022-02-03, absent 2022-04-12)Apr 12, 2022 · Control person left · inference
- D••••• F•••••• (Chief Legal Officer) appeared on Schedule A of U••• A•••••••Feb 8, 2019 · Control person joined · fact
- U••• A••••••• filed its initial SEC registration (Form ADV)Jun 23, 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
- Firm profile
- linkedin.com/company/10577299/admin/feed/postsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- U•••INVESTMENTS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 510-522-9600reportedpublic record, Form ADV, Mar 11, 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
- Asset manager (funds and pooled vehicles)deriveda 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