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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Latest filing Mar 10, 2026
First filing on the tape Aug 18, 2022 · 32 filings
SEC status approved since Sep 16, 2022
RAUM
$144M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
79%
$114M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$24.0M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$144M as of Mar 10, 2026
Mar 1, 2023$101M then
HNW client RAUM$72.3M as of Mar 10, 2026
Mar 1, 2023$30.2M then
State-registered IARs (5.B.3)2 as of Mar 10, 2026
Mar 1, 20233 then
Employees (5.A)2 as of Mar 10, 2026
Mar 1, 20233 then
Private funds: no history
RAUM +12% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 10, 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
- RAUM per advisor
- $24.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $228,636derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.3derivedItem 5.A over advisors
- Advisors per office
- 1.2derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +19%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $3.5M, 23 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 cash (9.B.1.a)
- 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$72.3M50%
- Individuals$41.9M29%
- Corporations and businesses$17.0M12%
- Pension and profit-sharing plans$8.1M5.6%
- Charitable organizations$4.6M3.2%
- Individual clients
- 159reported
- HNW clients
- 41reported
- Pension plan clients
- 4reported
- Charitable clients
- 2reported
- Accounts
- 630reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.5M for 23 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.79 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•••••• W••• | San Francisco, Ca | Jan 27, 2015 | 27 y | 2 |
| A••••• J•••• S•••• | Beverly Hills, Ca | Sep 13, 2019 | 29 y | 4 |
| B•••••• L•• P•••••• | San Francisco, Ca | Mar 29, 2022 | 13 y | 0 |
| S•••• R••••••• | San Francisco, Ca | Apr 20, 2022 | 12 y | 0 |
| W•••• R• J•••••• | San Francisco, Ca | May 18, 2022 | 16 y | 0 |
| S••••• S•••• H••••••••• | San Francisco, Ca | Jun 7, 2022 | 10 y | 0 |
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
- A••••• J•••• S•••• from R•••••• J•••• • A••••••••• I•••Sep 13, 2019 · Affiliated broker-dealer or bank to independent RIA
- E•••••• W••• from L•• F•••••••• L••Jan 27, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••• E••••••• K• Y• · Principal Managing Member Chief Compliance Officercontrolsince 09/2014 · owns 75% or more
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 |
|---|---|---|---|---|---|
| San Francisco, Ca | 6 | 0 | 0 | ||
| Beverly Hills, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Beverly Hills, CA1 employees
- Larkspur, CA1 employees
- Los Angeles, CA1 employees
- Seattle, WA1 employees
- San Francisco, CA
What changed
consecutive filings, newest first
- Accounts · 576 to 630Dec 12, 2025 to Mar 10, 2026
- Corporate clients · 5 to 6Dec 12, 2025 to Mar 10, 2026
- HNW clients · 32 to 41Dec 12, 2025 to Mar 10, 2026
- Individual clients · 136 to 159Dec 12, 2025 to Mar 10, 2026
- Pension plan clients · 5 to 4Dec 12, 2025 to Mar 10, 2026
- Assets in custody · $4.6M to $3.5MDec 12, 2025 to Mar 10, 2026
- Discretionary RAUM · $129M to $144MDec 12, 2025 to Mar 10, 2026
- HNW RAUM · $62.0M to $72.3MDec 12, 2025 to Mar 10, 2026
- Individual RAUM · $38.0M to $41.9MDec 12, 2025 to Mar 10, 2026
- Pension RAUM · $9.0M to $8.1MDec 12, 2025 to Mar 10, 2026
- RAUM · $129M to $144MDec 12, 2025 to Mar 10, 2026
- Assets in custody · $2.9M to $4.6MMay 9, 2025 to Nov 10, 2025
- Financial planning clients · 11-25 to 11-25Apr 3, 2025 to May 9, 2025
- Accounts · 565 to 576Dec 20, 2024 to Jan 31, 2025
- Corporate clients · 4 to 5Dec 20, 2024 to Jan 31, 2025
- HNW clients · 31 to 32Dec 20, 2024 to Jan 31, 2025
- Individual clients · 148 to 136Dec 20, 2024 to Jan 31, 2025
- Pension plan clients · 4 to 5Dec 20, 2024 to Jan 31, 2025
- Assets in custody · $2.7M to $2.9MDec 20, 2024 to Jan 31, 2025
- Financial planning clients · 1-10 to 11-25Dec 20, 2024 to Jan 31, 2025
- HQ city · unset to Dec 20, 2024 to Jan 31, 2025
- HQ state · unset to Dec 20, 2024 to Jan 31, 2025
- Other offices · 5 to 4Dec 20, 2024 to Jan 31, 2025
- Discretionary RAUM · $122M to $129MDec 20, 2024 to Jan 31, 2025
- HNW RAUM · $54.4M to $62.0MDec 20, 2024 to Jan 31, 2025
- Individual RAUM · $35.8M to $38.0MDec 20, 2024 to Jan 31, 2025
- Pension RAUM · $5.6M to $9.0MDec 20, 2024 to Jan 31, 2025
- RAUM · $122M to $129MDec 20, 2024 to Jan 31, 2025
- HQ city · SAN FRANCISCO to unsetJul 19, 2024 to Sep 30, 2024
- HQ state · CA to unsetJul 19, 2024 to Sep 30, 2024
- Other offices · 2 to 5Jul 19, 2024 to Sep 30, 2024
- Advisory employees · 2 to 1Jun 26, 2024 to Jul 19, 2024
- Employees · 3 to 2Jun 26, 2024 to Jul 19, 2024
- State-registered IARs · 3 to 2Jun 26, 2024 to Jul 19, 2024
- Other offices · 1 to 2Mar 28, 2024 to Apr 10, 2024
- Accounts · 535 to 565Jan 2, 2024 to Feb 5, 2024
- HNW clients · 20 to 31Jan 2, 2024 to Feb 5, 2024
- Individual clients · 146 to 148Jan 2, 2024 to Feb 5, 2024
- Pension plan clients · 5 to 4Jan 2, 2024 to Feb 5, 2024
- Assets in custody · $400,000 to $2.7MJan 2, 2024 to Feb 5, 2024
Signals
2 dated events
- Lee Brieann Peixoto (Chief Compliance Officer) no longer on Schedule A of T••••••••• L•• (listed 2024-02-05, absent 2024-02-12)Feb 12, 2024 · Control person left · inference
- T••••••••• L•• filed its initial SEC registration (Form ADV)Aug 18, 2022 · 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 email
- i•••@t••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 310-300-8418reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 415-752-7311reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- t••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (415) 752-7311reportedpublic record, Form ADV, Mar 10, 2026
- Contact form
- t••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- t••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $24.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026