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•••••• A•••••••
Legal name R•••••• A•••••••• G•
Latest filing Aug 26, 2026
First filing on the tape Jan 19, 2017 · 30 filings
SEC status approved since Jan 27, 2017
RAUM
$421M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$413M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$38.2M
derived; firm RAUM over IAPD count
Employees
20
19 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$421M as of Aug 26, 2026
Mar 9, 2018$149M then
HNW client RAUM$243M as of Aug 26, 2026
Mar 9, 2018$17.1M then
State-registered IARs (5.B.3)9 as of Aug 26, 2026
Mar 9, 20189 then
Employees (5.A)20 as of Aug 26, 2026
Mar 9, 20189 then
Private funds: no history
RAUM +24% over the last fiscal year+14% a year over threeIARs 8 to 9
Practice profile
derived from the filing of Aug 26, 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
- $38.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 125derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $810,927derivedHNW RAUM over HNW clients
- Average account
- $189,601derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 1.8derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $42.3MreportedItem 5.I
- Custody
- $106M, 333 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)
- compensates persons for client referrals (8.G.1)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$243M58%
- Individuals$170M40%
- Charitable organizations$3.5M0.8%
- Corporations and businesses$3.2M0.8%
- Pension and profit-sharing plans$901,8980.2%
- Individual clients
- 1,070reported
- HNW clients
- 300reported
- Pension plan clients
- 7reported
- Charitable clients
- 5reported
- Accounts
- 2,219reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $106M for 333 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=9.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• M••••• | Redding, Ca | Mar 17, 2015 | 16 y | 1 |
| B•••• B•••••• R•••••• | Redding, Ca | Mar 17, 2015 | 22 y | 3 |
| S••••• P••• B•••• | Redding, Ca | Mar 17, 2015 | 29 y | 1 |
| B•••• J•••••• S••••••• | Redding, Ca | Jul 28, 2016 | 19 y | 3 |
| J••• S••••• W••• | Redding, Ca | May 24, 2017 | 17 y | 2 |
| E••• B•••••• B•••• | Redding, Ca | Sep 18, 2017 | 32 y | 5 |
| N••••••• P••• B•••• | Redding, Ca | Jul 7, 2022 | 12 y | 0 |
| K•••• P••• C••••••• | Redding, Ca | Jun 21, 2024 | 13 y | 3 |
| G•••••• R•••••• P••••• B••• | Grants Pass, Or | Dec 12, 2025 | 11 y | 0 |
| M•••••• B••••••• | Redding, Ca | Mar 4, 2026 | 10 y | 0 |
| T••••• D•••• B•••••• | Redding, Ca | Apr 1, 2026 | 36 y | 2 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 9.1% of current headcount2 left over 36 months
Left, latest
- J•••• C•••••••• M•••••• to L•• F•••••••• L••Nov 13, 2025 · RIA to affiliated broker-dealer or bank
- A••••• F•••••• T••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Nov 1, 2023 · RIA to affiliated broker-dealer or bank
- J••••• T••••• A••••• to L•• F•••••••• L••Mar 30, 2021 · RIA to affiliated broker-dealer or bank
- A••••• R•••• C••• to M•••••• A•••••• N••••••Aug 20, 2019 · RIA to RIA
- L•••• D••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Mar 6, 2017 · Other
Joined, latest
- T••••• D•••• B•••••• from A••••••• A••••••• S•••••••• L••Apr 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- J•••• C•••••••• M•••••• from E••••• J••••Jun 8, 2025 · Affiliated broker-dealer or bank to independent RIA
- K•••• P••• C••••••• from B••••• L••• W••••• M••••••••• L••Jun 21, 2024 · RIA to RIA
- A••••• R•••• C••• from E••••• J••••Oct 25, 2017 · Affiliated broker-dealer or bank to independent RIA
- E••• B•••••• B•••• from W•••• F•••• A•••••••Sep 18, 2017 · Other
- J••• S••••• W••• from W•••• F•••• A•••••••May 24, 2017 · Other
- L•••• D••••• S•••••• from L•• F•••••••• L••Sep 8, 2016 · Other
- B•••• J•••••• S••••••• from E••••• J••••Jul 28, 2016 · Other
- B•••• B•••••• R•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 17, 2015 · Other
- M••• M••••• from W•••• F•••• A•••••••Mar 17, 2015 · Other
- S••••• P••• B•••• from V•••• F•••••••• A•••••••• I•••Mar 17, 2015 · Other
- A••••• F•••••• T••••••• from L•• F•••••••• L••Mar 17, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• S•••••• P••• · Chief Compliance Officer And Owner And Partnercontrolsince 03/2015 · owns 50% to 75%
- R••••••• B••••• B•••••• · Chief Financial And Technology Officer And Owner And Partnercontrolsince 03/2015 · 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 |
|---|---|---|---|---|---|
| Redding, Ca · principal | 11 | 3 | 1 | ||
| Roseville, Ca | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Roseville, CA3 employees
- Chico, CA1 employees
- Redding, CA1 employees
- Redding, CA1 employees
- Yreka, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Feb 9, 2026HNW share of RAUM moved from 36.0% to 58.0% between the annual amendments of 2025-03-26 and 2026-02-09peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Other offices · 6 to 5Jul 31, 2026 to Aug 26, 2026
- RAUM · $340M to $421MMar 26, 2025 to Feb 9, 2026
- Accounts · 2,015 to 2,219Mar 26, 2025 to Feb 9, 2026
- Advisory employees · 17 to 19Mar 26, 2025 to Feb 9, 2026
- Advisory activities · 4 to 5Mar 26, 2025 to Feb 9, 2026
- BD registered reps · 8 to 9Mar 26, 2025 to Feb 9, 2026
- Charity clients · unset to 5.0Mar 26, 2025 to Feb 9, 2026
- Corporate clients · unset to 9.0Mar 26, 2025 to Feb 9, 2026
- HNW clients · 53 to 300Mar 26, 2025 to Feb 9, 2026
- Individual clients · 1,225 to 1,070Mar 26, 2025 to Feb 9, 2026
- Pension plan clients · unset to 7.0Mar 26, 2025 to Feb 9, 2026
- Assets in custody · $79.0M to $106MMar 26, 2025 to Feb 9, 2026
- Employees · 18 to 20Mar 26, 2025 to Feb 9, 2026
- State-registered IARs · 8 to 9Mar 26, 2025 to Feb 9, 2026
- Other offices · 5 to 6Mar 26, 2025 to Feb 9, 2026
- Discretionary RAUM · $340M to $421MMar 26, 2025 to Feb 9, 2026
- HNW RAUM · $122M to $243MMar 26, 2025 to Feb 9, 2026
- Individual RAUM · $218M to $170MMar 26, 2025 to Feb 9, 2026
- Pension RAUM · unset to 901898.0Mar 26, 2025 to Feb 9, 2026
- Accounts · 1,752 to 2,015Oct 9, 2024 to Mar 26, 2025
- Advisory employees · 16 to 17Oct 9, 2024 to Mar 26, 2025
- BD registered reps · 7 to 8Oct 9, 2024 to Mar 26, 2025
- HNW clients · 56 to 53Oct 9, 2024 to Mar 26, 2025
- Individual clients · 1,499 to 1,225Oct 9, 2024 to Mar 26, 2025
- Pension plan clients · 19.0 to unsetOct 9, 2024 to Mar 26, 2025
- Assets in custody · $41.6M to $79.0MOct 9, 2024 to Mar 26, 2025
- Employees · 17 to 18Oct 9, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Oct 9, 2024 to Mar 26, 2025
- State-registered IARs · 7 to 8Oct 9, 2024 to Mar 26, 2025
- Discretionary RAUM · $294M to $340MOct 9, 2024 to Mar 26, 2025
- HNW RAUM · $102M to $122MOct 9, 2024 to Mar 26, 2025
- Individual RAUM · $181M to $218MOct 9, 2024 to Mar 26, 2025
- Pension RAUM · 6234818.0 to unsetOct 9, 2024 to Mar 26, 2025
- RAUM · $294M to $340MOct 9, 2024 to Mar 26, 2025
- Related insurance company · false to trueOct 9, 2024 to Mar 26, 2025
- Accounts · 1,909 to 1,752Nov 1, 2023 to Mar 29, 2024
- Advisory employees · 17 to 16Nov 1, 2023 to Mar 29, 2024
- BD registered reps · 8 to 7Nov 1, 2023 to Mar 29, 2024
- HNW clients · 79 to 56Nov 1, 2023 to Mar 29, 2024
- Individual clients · 1,091 to 1,499Nov 1, 2023 to Mar 29, 2024
Signals
4 dated events
- J•••• C•••••••• M•••••• left R•••••• A••••••• for L•• F•••••••• L•• (registered 2025-12-01)Nov 13, 2025 · a•••••• firm change · fact
- A••••• F•••••• T••••••• left R•••••• A••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-10-30)Nov 1, 2023 · a•••••• firm change · fact
- Francis A••••• Tenaglia (Chief Marketing And Investment Officer And Owner And Partner) no longer on Schedule A of R•••••• A••••••• (listed 2023-08-18, absent 2023-11-01)Nov 1, 2023 · Control person left · inference
- R•••••• A••••••• filed its initial SEC registration (Form ADV)Jan 19, 2017 · 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 phone
- 530-223-5357reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 530-722-4312reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 541-956-4200reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- R••••••A••••••S.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 530-223-5357reportedpublic record, Form ADV, Aug 26, 2026
- Team page
- RUBICONADVISORS.COM/team.htmreportedpublished by the firm, firm site, Sep 15, 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
- $38.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026