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.
Former SEC-registered adviser
401k Masters, LLC
Latest filing Mar 15, 2019
First filing on the tape Jan 30, 2015 · 6 filings
RAUM
$6.3M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$6.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$6.3M as of Mar 15, 2019
Mar 4, 2016$11.2M then
HNW client RAUM$0 as of Mar 15, 2019
Mar 22, 2018$0 then
State-registered IARs (5.B.3)2 as of Mar 15, 2019
Mar 4, 20162 then
Employees (5.A)2 as of Mar 15, 2019
Mar 4, 20162 then
Private funds: no history
RAUM -1.1% over the last fiscal year-18% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 15, 2019; every figure names its basis
- RAUM per advisor
- $3.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 9derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $370,000derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -15%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- 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
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$6.3M100%
- Individual clients
- 17reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 17reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- Matthew David Grishman to Gebhardt Group, IncDec 31, 2018 · RIA to RIA
- James C Gebhardt to Gebhardt Group, IncDec 31, 2018 · RIA to RIA
Joined, latest
- Matthew David Grishman from Gebhardt Group, IncFeb 6, 2015 · Other
- James C Gebhardt from Gebhardt Group, IncFeb 6, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Gebhardt Group, IncDec 31, 2018 · Lafayette, Ca
- 2 joined from Gebhardt Group, IncAug 2, 2019 · Lafayette, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C James Gebhardt · Managing Member And Chief Compliance Officercontrolsince 10/2014 · owns 50% to 75%
- David Matthew Grishman · Managing Membercontrolsince 10/2014 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 20 to 17Mar 22, 2018 to Mar 15, 2019
- Individual clients · 20 to 17Mar 22, 2018 to Mar 15, 2019
- Individual RAUM · $6.4M to $6.3MMar 22, 2018 to Mar 15, 2019
- Non-discretionary RAUM · $6.4M to $6.3MMar 22, 2018 to Mar 15, 2019
- RAUM · $6.4M to $6.3MMar 22, 2018 to Mar 15, 2019
- Accounts · 37 to 20Mar 10, 2017 to Mar 22, 2018
- Charity clients · unset to 0.0Mar 10, 2017 to Mar 22, 2018
- Corporate clients · unset to 0.0Mar 10, 2017 to Mar 22, 2018
- HNW clients · unset to 0.0Mar 10, 2017 to Mar 22, 2018
- Individual clients · unset to 20.0Mar 10, 2017 to Mar 22, 2018
- Pension plan clients · unset to 0.0Mar 10, 2017 to Mar 22, 2018
- Pooled vehicle clients · unset to 0.0Mar 10, 2017 to Mar 22, 2018
- Other offices · unset to 0.0Mar 10, 2017 to Mar 22, 2018
- HNW RAUM · unset to 0.0Mar 10, 2017 to Mar 22, 2018
- Individual RAUM · unset to 6357434.0Mar 10, 2017 to Mar 22, 2018
- Non-discretionary RAUM · $8.2M to $6.4MMar 10, 2017 to Mar 22, 2018
- Pension RAUM · unset to 0.0Mar 10, 2017 to Mar 22, 2018
- Pooled vehicle RAUM · unset to 0.0Mar 10, 2017 to Mar 22, 2018
- RAUM · $8.2M to $6.4MMar 10, 2017 to Mar 22, 2018
- Accounts · 52 to 37Mar 4, 2016 to Mar 10, 2017
- Non-discretionary RAUM · $11.2M to $8.2MMar 4, 2016 to Mar 10, 2017
- RAUM · $11.2M to $8.2MMar 4, 2016 to Mar 10, 2017
- Accounts · 0 to 52Mar 5, 2015 to Mar 4, 2016
- Non-discretionary RAUM · $0 to $11.2MMar 5, 2015 to Mar 4, 2016
- RAUM · $0 to $11.2MMar 5, 2015 to Mar 4, 2016
Signals
1 dated events
- 401K Masters, Llc filed its initial SEC registration (Form ADV)Jan 30, 2015 · 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026