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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
P•••••••
Legal name P••••••• W••••• P•••••••• L••
Latest filing Feb 25, 2026
First filing on the tape May 14, 2021 · 10 filings
SEC status approved since Jun 14, 2021
RAUM
$255M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$253M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$128M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$255M as of Feb 25, 2026
Mar 18, 2022$138M then
HNW client RAUM$177M as of Feb 25, 2026
Mar 18, 2022$86.5M then
State-registered IARs (5.B.3)2 as of Feb 25, 2026
Mar 18, 20222 then
Employees (5.A)4 as of Feb 25, 2026
Mar 18, 20223 then
Private funds: no history
RAUM +25% over the last fiscal year+27% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 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
- RAUM per advisor
- $128MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $505,047derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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$177M70%
- Individuals$76.0M30%
- Pension and profit-sharing plans$1.8M0.7%
- Individual clients
- 64reported
- HNW clients
- 77reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 505reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| A••• D• P••••Certified Financial Planner | Walnut Creek, Ca | Feb 20, 2015 | 15 y | 1 |
| R••• P•••••• W•••• | Carlsbad, Ca | Dec 7, 2017 | 23 y | 3 |
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••• P•••••• W•••• from A•••••• W••••• M•••••••••Dec 7, 2017 · Other
- A••• D• P•••• from A•••••• W••••• M•••••••••Feb 20, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••• A•••• D• · Chief Investment Officercontrolsince 11/2014 · owns 50% to 75%
- W••••• R•••• P•••••• · Chief Executive Officer And Chief Compliance Officercontrolsince 11/2014 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Walnut Creek, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Carlsbad, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 421 to 505Mar 5, 2025 to Feb 25, 2026
- HNW clients · 68 to 77Mar 5, 2025 to Feb 25, 2026
- Individual clients · 58 to 64Mar 5, 2025 to Feb 25, 2026
- Pension plan clients · 2 to 1Mar 5, 2025 to Feb 25, 2026
- Employees · 3 to 4Mar 5, 2025 to Feb 25, 2026
- Discretionary RAUM · $202M to $253MMar 5, 2025 to Feb 25, 2026
- HNW RAUM · $142M to $177MMar 5, 2025 to Feb 25, 2026
- Individual RAUM · $60.7M to $76.0MMar 5, 2025 to Feb 25, 2026
- Non-discretionary RAUM · $1.3M to $1.8MMar 5, 2025 to Feb 25, 2026
- Pension RAUM · $1.3M to $1.8MMar 5, 2025 to Feb 25, 2026
- RAUM · $204M to $255MMar 5, 2025 to Feb 25, 2026
- Accounts · 475 to 421Oct 16, 2024 to Mar 5, 2025
- HNW clients · 77 to 68Oct 16, 2024 to Mar 5, 2025
- Individual clients · 44 to 58Oct 16, 2024 to Mar 5, 2025
- Pension plan clients · 3 to 2Oct 16, 2024 to Mar 5, 2025
- Financial planning clients · 51-100 to 51-100Oct 16, 2024 to Mar 5, 2025
- Discretionary RAUM · $155M to $202MOct 16, 2024 to Mar 5, 2025
- HNW RAUM · $111M to $142MOct 16, 2024 to Mar 5, 2025
- Individual RAUM · $47.4M to $60.7MOct 16, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $7.1M to $1.3MOct 16, 2024 to Mar 5, 2025
- Pension RAUM · $4.5M to $1.3MOct 16, 2024 to Mar 5, 2025
- RAUM · $163M to $204MOct 16, 2024 to Mar 5, 2025
- Other offices · 0 to 1Feb 27, 2024 to Oct 16, 2024
- Accounts · 520 to 475Sep 6, 2023 to Feb 27, 2024
- Advisory activities · 3 to 4Sep 6, 2023 to Feb 27, 2024
- Financial planning clients · 26-50 to 51-100Sep 6, 2023 to Feb 27, 2024
- HQ city · PLEASANT HILL to WALNUT CREEKSep 6, 2023 to Feb 27, 2024
- Discretionary RAUM · $118M to $155MSep 6, 2023 to Feb 27, 2024
- HNW RAUM · $86.0M to $111MSep 6, 2023 to Feb 27, 2024
- Individual RAUM · $35.1M to $47.4MSep 6, 2023 to Feb 27, 2024
- Non-discretionary RAUM · $7.0M to $7.1MSep 6, 2023 to Feb 27, 2024
- Pension RAUM · $4.1M to $4.5MSep 6, 2023 to Feb 27, 2024
- RAUM · $125M to $163MSep 6, 2023 to Feb 27, 2024
- Accounts · 489 to 520Mar 18, 2022 to Mar 21, 2023
- HNW clients · 69 to 77Mar 18, 2022 to Mar 21, 2023
- Individual clients · 43 to 44Mar 18, 2022 to Mar 21, 2023
- Pension plan clients · 1 to 3Mar 18, 2022 to Mar 21, 2023
- Other offices · 1 to 0Mar 18, 2022 to Mar 21, 2023
- Discretionary RAUM · $134M to $118MMar 18, 2022 to Mar 21, 2023
- HNW RAUM · $86.5M to $86.0MMar 18, 2022 to Mar 21, 2023
Signals
1 dated events
- Pathwise filed its initial SEC registration (Form ADV)May 14, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Pathwise · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Website
- P•••••••.COreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 925-939-5607reportedpublic record, Form ADV, Feb 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
- $128Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026