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
R•• I••••••••• A•••••••• L••
Latest filing Jan 27, 2026
First filing on the tape Oct 9, 2014 · 35 filings
SEC status approved since Oct 21, 2014
RAUM
$1.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.0B individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$522M
derived; firm RAUM over IAPD count
Employees
9
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$1.0B as of Jan 27, 2026
Mar 31, 2015$187M then
HNW client RAUM$1.0B as of Jan 27, 2026
Feb 9, 2018$524M then
State-registered IARs (5.B.3)2 as of Jan 27, 2026
Mar 31, 20152 then
Employees (5.A)9 as of Jan 27, 2026
Mar 31, 20156 then
Private funds: no history
RAUM +22% over the last fiscal year+21% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 27, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $522MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.0B100%
- Individual clients
- n/areported
- HNW clients
- 953reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 953reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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 |
|---|---|---|---|---|
| M•••••• O•••• V••• | Pleasanton, Ca | Oct 21, 2014 | 18 y | 2 |
| R••••• J•••• V•••••••• | Pleasanton, Ca | Oct 22, 2014 | 15 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
none on the tape
Joined, latest
- R••••• J•••• V•••••••• from V•••••••• C•••••• A•••• M••••••••• I•••Oct 22, 2014 · Other
- M•••••• O•••• V••• from V•••••••• C•••••• A•••• M••••••••• I•••Oct 21, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from V•••••••• C•••••• A•••• M••••••••• I•••Feb 23, 2015 · Danville, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• R••••••• M• · Managing Membercontrolsince 08/2014 · owns 25% to 50%
- V••••••••• K•••••• · Chief Compliance Officercontrolsince 02/2019 · owns less than 5%
- V•••• M••••••• O•••• · Managing Membercontrolsince 08/2014 · owns 25% to 50%
- V••••••••• R•••••• J•••• · Membersince 08/2014 · owns 10% to 25%
- V••••••••• Z•••••• · Membersince 08/2014 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Pleasanton, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 899 to 953Oct 8, 2025 to Jan 27, 2026
- HNW clients · 899 to 953Oct 8, 2025 to Jan 27, 2026
- Discretionary RAUM · $858M to $1.0BOct 8, 2025 to Jan 27, 2026
- HNW RAUM · $858M to $1.0BOct 8, 2025 to Jan 27, 2026
- RAUM · $858M to $1.0BOct 8, 2025 to Jan 27, 2026
- Accounts · 856 to 899Mar 6, 2024 to Jan 15, 2025
- HNW clients · 856 to 899Mar 6, 2024 to Jan 15, 2025
- Financial planning clients · 51-100 to 51-100Mar 6, 2024 to Jan 15, 2025
- Discretionary RAUM · $705M to $858MMar 6, 2024 to Jan 15, 2025
- HNW RAUM · $705M to $858MMar 6, 2024 to Jan 15, 2025
- RAUM · $705M to $858MMar 6, 2024 to Jan 15, 2025
- Accounts · 846 to 856Oct 16, 2023 to Jan 11, 2024
- HNW clients · 846 to 856Oct 16, 2023 to Jan 11, 2024
- Discretionary RAUM · $587M to $705MOct 16, 2023 to Jan 11, 2024
- HNW RAUM · $587M to $705MOct 16, 2023 to Jan 11, 2024
- RAUM · $587M to $705MOct 16, 2023 to Jan 11, 2024
- Accounts · 814 to 846Nov 1, 2022 to Jan 25, 2023
- HNW clients · 814 to 846Nov 1, 2022 to Jan 25, 2023
- Discretionary RAUM · $716M to $587MNov 1, 2022 to Jan 25, 2023
- HNW RAUM · $716M to $587MNov 1, 2022 to Jan 25, 2023
- RAUM · $716M to $587MNov 1, 2022 to Jan 25, 2023
- Accounts · 834 to 814Feb 2, 2021 to Feb 14, 2022
- HNW clients · 834 to 814Feb 2, 2021 to Feb 14, 2022
- Discretionary RAUM · $615M to $716MFeb 2, 2021 to Feb 14, 2022
- HNW RAUM · $615M to $716MFeb 2, 2021 to Feb 14, 2022
- RAUM · $615M to $716MFeb 2, 2021 to Feb 14, 2022
- Accounts · 772 to 834Oct 13, 2020 to Feb 2, 2021
- HNW clients · 772 to 834Oct 13, 2020 to Feb 2, 2021
- Discretionary RAUM · $557M to $615MOct 13, 2020 to Feb 2, 2021
- HNW RAUM · $557M to $615MOct 13, 2020 to Feb 2, 2021
- RAUM · $557M to $615MOct 13, 2020 to Feb 2, 2021
- Accounts · 739 to 772Feb 6, 2019 to Feb 28, 2020
- HNW clients · 739 to 772Feb 6, 2019 to Feb 28, 2020
- Other offices · 1 to 0Feb 6, 2019 to Feb 28, 2020
- Discretionary RAUM · $463M to $557MFeb 6, 2019 to Feb 28, 2020
- HNW RAUM · $463M to $557MFeb 6, 2019 to Feb 28, 2020
- RAUM · $463M to $557MFeb 6, 2019 to Feb 28, 2020
- Accounts · 734 to 739Sep 5, 2018 to Feb 6, 2019
- HNW clients · 734 to 739Sep 5, 2018 to Feb 6, 2019
- Discretionary RAUM · $524M to $463MSep 5, 2018 to Feb 6, 2019
Signals
2 dated events
- Kristen Valentine (Chief Compliance Officer) appeared on Schedule A of R•• I••••••••• A•••••••• L••Feb 6, 2019 · Control person joined · fact
- R•• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Oct 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
- Website
- rpgadvisory.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (925) 384-0071reportedpublic record, Form ADV, Jan 27, 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
- $522Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026