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
D••••• C••••••• I•••
Latest filing Mar 25, 2026
First filing on the tape Apr 24, 2015 · 32 filings
SEC status approved since May 22, 2015
RAUM
$551M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$546M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$91.8M
derived; firm RAUM over IAPD count
Employees
12
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$551M as of Mar 25, 2026
Feb 11, 2016$162M then
HNW client RAUM$406M as of Mar 25, 2026
Mar 13, 2018$131M then
State-registered IARs (5.B.3)4 as of Mar 25, 2026
Feb 11, 20164 then
Employees (5.A)12 as of Mar 25, 2026
Feb 11, 20167 then
Private funds: no history
RAUM +13% over the last fiscal year+17% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 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
- 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
- RAUM per advisor
- $91.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $420,696derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.9%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, otherreportedItem 5.G
- Custody
- $186M, 858 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)
- compensates non-employees for client referrals (8.G.2)
- 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$406M74%
- Individuals$140M25%
- Pension and profit-sharing plans$3.8M0.7%
- Corporations and businesses$848,8830.2%
- Charitable organizations$579,0150.1%
- Individual clients
- 356reported
- HNW clients
- 104reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 1,309reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $186M for 858 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• A••• B••••• | Napa, Ca | May 22, 2015 | 13 y | 1 |
| P••• J••••••• D•••••Certified Financial Planner | Napa, Ca | May 22, 2015 | 30 y | 2 |
| M••• F•••••• H•••Certified Financial Planner | Napa, Ca | Aug 19, 2015 | 21 y | 2 |
| S••••• C•••••••• K•••Certified Financial Planner | Napa, Ca | Jul 26, 2022 | 10 y | 1 |
| T•••• L•• C•••••••• | Napa, Ca | May 3, 2026 | 20 y | 0 |
| S•••••• A••• P•••• | Napa, Ca | Aug 17, 2026 | 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
- S••••• C•••••••• K••• from M••••••••• T••••• W••••• M•••••••••Jul 26, 2022 · RIA to RIA
- M••• F•••••• H••• from H••••••••• I••••••••• I•••Aug 19, 2015 · Other
- W•••••• A••• B••••• from W•••• F•••• A•••••••May 22, 2015 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- P••• J••••••• D••••• from W•••• F•••• A•••••••May 22, 2015 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W•••• F•••• A•••••••Jun 30, 2015 · Roseville, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• W••••••• A••• · Vice President/Chief Operating Officer/Chief Chief Compliance Officercontrolsince 05/2015 · owns 5% to 10%
- D•••••• P•••• J••••••• · Presidentcontrolsince 05/2015 · 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 |
|---|---|---|---|---|---|
| Napa, Ca · principal | 6 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 25, 2026wrap fee program participation (Item 5.I): yes on the filing of 2025-03-11, no on the filing of 2026-03-25peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 1,291 to 1,309Mar 11, 2025 to Mar 25, 2026
- Charity clients · 6 to 7Mar 11, 2025 to Mar 25, 2026
- HNW clients · 103 to 104Mar 11, 2025 to Mar 25, 2026
- Individual clients · 353 to 356Mar 11, 2025 to Mar 25, 2026
- Assets in custody · $250M to $186MMar 11, 2025 to Mar 25, 2026
- Employees · 11 to 12Mar 11, 2025 to Mar 25, 2026
- Discretionary RAUM · $485M to $549MMar 11, 2025 to Mar 25, 2026
- HNW RAUM · $368M to $406MMar 11, 2025 to Mar 25, 2026
- Individual RAUM · $115M to $140MMar 11, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $2.0M to $2.2MMar 11, 2025 to Mar 25, 2026
- Pension RAUM · $3.2M to $3.8MMar 11, 2025 to Mar 25, 2026
- RAUM · $487M to $551MMar 11, 2025 to Mar 25, 2026
- Wrap assets (manager) · 0.0 to unsetMar 11, 2025 to Mar 25, 2026
- Wrap assets (sponsor) · 0.0 to unsetMar 11, 2025 to Mar 25, 2026
- Accounts · 1,260 to 1,291Aug 27, 2024 to Mar 11, 2025
- Charity clients · unset to 6.0Aug 27, 2024 to Mar 11, 2025
- HNW clients · 102 to 103Aug 27, 2024 to Mar 11, 2025
- Individual clients · 350 to 353Aug 27, 2024 to Mar 11, 2025
- Assets in custody · $114M to $250MAug 27, 2024 to Mar 11, 2025
- Financial planning clients · 1-10 to 1-10Aug 27, 2024 to Mar 11, 2025
- Discretionary RAUM · $423M to $485MAug 27, 2024 to Mar 11, 2025
- HNW RAUM · $326M to $368MAug 27, 2024 to Mar 11, 2025
- Individual RAUM · $96.3M to $115MAug 27, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $1.7M to $2.0MAug 27, 2024 to Mar 11, 2025
- Pension RAUM · $2.4M to $3.2MAug 27, 2024 to Mar 11, 2025
- RAUM · $425M to $487MAug 27, 2024 to Mar 11, 2025
- Accounts · 1,282 to 1,260Feb 23, 2023 to Feb 20, 2024
- Charity clients · 3.0 to unsetFeb 23, 2023 to Feb 20, 2024
- Corporate clients · 1.0 to unsetFeb 23, 2023 to Feb 20, 2024
- HNW clients · 89 to 102Feb 23, 2023 to Feb 20, 2024
- Individual clients · 365 to 350Feb 23, 2023 to Feb 20, 2024
- Pension plan clients · 3.0 to unsetFeb 23, 2023 to Feb 20, 2024
- Assets in custody · $60.6M to $114MFeb 23, 2023 to Feb 20, 2024
- Employees · 10 to 11Feb 23, 2023 to Feb 20, 2024
- Discretionary RAUM · $335M to $423MFeb 23, 2023 to Feb 20, 2024
- HNW RAUM · $239M to $326MFeb 23, 2023 to Feb 20, 2024
- Individual RAUM · $96.2M to $96.3MFeb 23, 2023 to Feb 20, 2024
- Non-discretionary RAUM · $4.4M to $1.7MFeb 23, 2023 to Feb 20, 2024
- Pension RAUM · $4.8M to $2.4MFeb 23, 2023 to Feb 20, 2024
- RAUM · $340M to $425MFeb 23, 2023 to Feb 20, 2024
Signals
1 dated events
- D••••• C••••••• I••• filed its initial SEC registration (Form ADV)Apr 24, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 707-253-0681reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 707-253-0686reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-424-0004reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/D•••••-CAPITAL-INCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- D•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 707-253-0681reportedpublic record, Form ADV, Mar 25, 2026
- Team page
- DEDORACAPITAL.COM/team-member/william-will-beckerreportedpublished 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
- $91.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026