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
A••••••• W••••• A•••••••• I•••
Latest filing Mar 19, 2026
First filing on the tape Jul 2, 2014 · 25 filings
SEC status approved since Apr 10, 2020
RAUM
$387M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
94%
$362M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$77.4M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$387M as of Mar 19, 2026
Mar 18, 2021$128M then
HNW client RAUM$334M as of Mar 19, 2026
Mar 18, 2021$103M then
State-registered IARs (5.B.3)7 as of Mar 19, 2026
Mar 18, 20215 then
Employees (5.A)7 as of Mar 19, 2026
Mar 18, 20216 then
Private funds1 as of Mar 19, 2026
Mar 19, 20241 then
RAUM +17% over the last fiscal year+18% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 19, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $77.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 5.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.6%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, otherreportedItem 5.G
- Custody
- $131M, 270 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)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$334M86%
- Individuals$28.4M7.3%
- Pension and profit-sharing plans$17.2M4.4%
- Charitable organizations$5.6M1.4%
- Pooled investment vehicles$2.1M0.5%
- Individual clients
- 135reported
- HNW clients
- 173reported
- Pension plan clients
- 30reported
- Charitable clients
- n/areported
- Accounts
- 316reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $131M for 270 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.94 fund_share=0.01 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• T••••••• L••Certified Financial Planner | Concord, Ca | Aug 21, 2014 | 22 y | 2 |
| J••• R••••• W•••••Certified Financial Planner | Concord, Ca | Aug 21, 2014 | 18 y | 2 |
| J••• E•••••••• S••••••Certified Financial Planner | Concord, Ca | Apr 10, 2018 | 12 y | 0 |
| B•••• P•••••• K•••••••• | Concord, Ca | Dec 12, 2021 | 19 y | 1 |
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
- K••••••• S•• T•••• to F•••• A••••••••• F•••••••• N•••••• L••Jan 3, 2017 · Other
Joined, latest
- B•••• P•••••• K•••••••• from A••••••• P•••••••• L••Dec 12, 2021 · Other
- E••• T••••••• L•• from W•••••••• A•••• M••••••••• I•••Aug 21, 2014 · Other
- J••• R••••• W••••• from W•••••••• A•••• M••••••••• I•••Aug 21, 2014 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••• P•••••• F••• I• L• | Private Equity Fund | $1.5M | 30 | Jun 29, 2023 |
Owners and control persons
Schedule A and B, latest filing
- L••• E•••• T••••••• · Chief Compliance Officer And Chief Executive Officercontrolsince 08/2014 · owns 25% to 50%
- W•••••• J•••• R••••• · Chief Financial Officercontrolsince 08/2014 · owns 25% to 50%
- S••••••• J•••• E•••••••• · Financial Advisorsince 07/2020 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Concord, Ca · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 315 to 316Jul 11, 2025 to Mar 19, 2026
- HNW clients · 196 to 173Jul 11, 2025 to Mar 19, 2026
- Individual clients · 114 to 135Jul 11, 2025 to Mar 19, 2026
- Pension plan clients · 20 to 30Jul 11, 2025 to Mar 19, 2026
- Assets in custody · $193 to $131MJul 11, 2025 to Mar 19, 2026
- Employees · 8 to 7Jul 11, 2025 to Mar 19, 2026
- Discretionary RAUM · $325M to $381MJul 11, 2025 to Mar 19, 2026
- HNW RAUM · $276M to $334MJul 11, 2025 to Mar 19, 2026
- Individual RAUM · $31.0M to $28.4MJul 11, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $5.3M to $5.9MJul 11, 2025 to Mar 19, 2026
- Pension RAUM · $16.3M to $17.2MJul 11, 2025 to Mar 19, 2026
- RAUM · $330M to $387MJul 11, 2025 to Mar 19, 2026
- Financial planning clients · 251-500 to 251-500May 29, 2025 to Jul 11, 2025
- Accounts · 293 to 315Apr 26, 2024 to Apr 11, 2025
- Advisory activities · 4 to 5Apr 26, 2024 to Apr 11, 2025
- HNW clients · 158 to 196Apr 26, 2024 to Apr 11, 2025
- Individual clients · 131 to 114Apr 26, 2024 to Apr 11, 2025
- Pension plan clients · 19 to 20Apr 26, 2024 to Apr 11, 2025
- Employees · 7 to 8Apr 26, 2024 to Apr 11, 2025
- State-registered IARs · 5 to 7Apr 26, 2024 to Apr 11, 2025
- Discretionary RAUM · $275M to $325MApr 26, 2024 to Apr 11, 2025
- HNW RAUM · $214M to $276MApr 26, 2024 to Apr 11, 2025
- Individual RAUM · $39.4M to $31.0MApr 26, 2024 to Apr 11, 2025
- Non-discretionary RAUM · $6.4M to $5.3MApr 26, 2024 to Apr 11, 2025
- Pension RAUM · $19.6M to $16.3MApr 26, 2024 to Apr 11, 2025
- Pooled vehicle RAUM · $1.5M to $2.1MApr 26, 2024 to Apr 11, 2025
- RAUM · $282M to $330MApr 26, 2024 to Apr 11, 2025
- Accounts · 312 to 293Aug 23, 2023 to Mar 19, 2024
- Advisory activities · 3 to 4Aug 23, 2023 to Mar 19, 2024
- HNW clients · 165 to 158Aug 23, 2023 to Mar 19, 2024
- Individual clients · 127 to 131Aug 23, 2023 to Mar 19, 2024
- Pension plan clients · 14 to 19Aug 23, 2023 to Mar 19, 2024
- Pooled vehicle clients · unset to 1.0Aug 23, 2023 to Mar 19, 2024
- Assets in custody · $1.5M to $193Aug 23, 2023 to Mar 19, 2024
- Custody of client assets · false to trueAug 23, 2023 to Mar 19, 2024
- Financial planning clients · 1-10 to 251-500Aug 23, 2023 to Mar 19, 2024
- Discretionary RAUM · $234M to $275MAug 23, 2023 to Mar 19, 2024
- HNW RAUM · $181M to $214MAug 23, 2023 to Mar 19, 2024
- Individual RAUM · $35.5M to $39.4MAug 23, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $4.8M to $6.4MAug 23, 2023 to Mar 19, 2024
Signals
2 dated events
- A••••••• W••••• A•••••••• I••• reported RAUM $250.0M, up 95% from $128.3M (2021-03-18 to 2022-03-01)Mar 1, 2022 · RAUM change · derived
- A••••••• W••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Jul 2, 2014 · ria f•••• adv filing · fact
Across DFX
shared identifiers only, never a name match
- A••••••• W••••• A•••••••• I••• · Family Officesshared crd · office
- A••••••• W••••• A•••••••• I••• · Independent Sponsorsshared crd · capital_provider
- A••••••• W••••• A•••••••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- info@archvest.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 925-215-5600reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 925-272-0215reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/A•••••••-WEALTH-ADVISORSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- archvest.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 925-215-5600reportedpublic record, Form ADV, Mar 19, 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
- $77.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026