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
C••••• R••• W••••• M••••••••• L••
Latest filing Mar 5, 2026
First filing on the tape May 9, 2017 · 29 filings
SEC status approved since Jun 9, 2017
RAUM
$587M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$578M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$83.9M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$587M as of Mar 5, 2026
Feb 27, 2018$131M then
HNW client RAUM$296M as of Mar 5, 2026
Feb 27, 2018$50.0M then
State-registered IARs (5.B.3)7 as of Mar 5, 2026
Feb 27, 20185 then
Employees (5.A)7 as of Mar 5, 2026
Feb 27, 20187 then
Private funds: no history
RAUM +13% over the last fiscal year+12% a year over threeIARs 8 to 7
Practice profile
derived from the filing of Mar 5, 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
- $83.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 289derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $287,783derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.2derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $467M, 757 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
- is an insurance broker or agent (6.A.6)
- 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$296M50%
- Individuals$282M48%
- Pension and profit-sharing plans$9.2M1.6%
- Corporations and businesses$303,0250.1%
- Individual clients
- 1,917reported
- HNW clients
- 107reported
- Pension plan clients
- 10reported
- Charitable clients
- n/areported
- Accounts
- 2,040reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $467M for 757 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=6.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• B•••• L••••••• | Walnut Creek, Ca | May 11, 2016 | 24 y | 3 |
| M••• B•••• B••••••Certified Financial Planner | Walnut Creek, Ca | Nov 14, 2016 | 32 y | 1 |
| J••••••• M• M••••••• | Walnut Creek, Ca | Nov 17, 2016 | 32 y | 3 |
| J••• F•••• B•••• | Kellogg,, Id | Dec 1, 2016 | 45 y | 0 |
| J•••• E••••• M•• | Modesto, Ca | Jul 18, 2018 | 38 y | 4 |
| W•••••• M• F••••• | Walnut Creek, Ca | Sep 20, 2018 | 17 y | 1 |
| D••• O••• L••••••Certified Financial Planner | Walnut Creek, Ca | Sep 5, 2023 | 41 y | 2 |
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
- M••••• B• C••• to C••••• I••••••••• A••••••• L••Sep 3, 2019 · RIA to affiliated broker-dealer or bank
- D••••• W•••••• W••••••••• to G•• S••••••••• I•••Jul 29, 2019 · RIA to affiliated broker-dealer or bank
- A•••••• R•• O••••• to F••••• I•••••••••Mar 29, 2017 · Other
Joined, latest
- D••• O••• L•••••• from N•• A••••••• S••••••• I••Sep 5, 2023 · RIA to RIA
- M••••• B• C••• from C••••• I••••••••• A••••••• L••May 1, 2019 · Affiliated broker-dealer or bank to independent RIA
- D••••• W•••••• W••••••••• from E•••••••• A•••••••• L••Dec 6, 2018 · Affiliated broker-dealer or bank to independent RIA
- W•••••• M• F••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 20, 2018 · Wirehouse to independent RIA
- J•••• E••••• M•• from J• W• C••• A•••••••• I•••Jul 18, 2018 · RIA to RIA
- J••••••• M• M••••••• from F•••• A••••• A••••••• S•••••••• I•••Nov 17, 2016 · Other
- M••• B•••• B•••••• from C••••• A•••••• N••••••• L••Nov 14, 2016 · Other
- J•••• B•••• L••••••• from F•••• A••••• A••••••• S•••••••• I•••May 11, 2016 · Other
- A•••••• R•• O••••• from F•••• A••••• S••••••••• I•••Oct 7, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from F•••• A••••• A••••••• S•••••••• I•••Feb 13, 2018 · Suite , Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••••• J••••• B•••• · Managing Membercontrolsince 06/2015 · owns 75% or more
- L•••••••• J•••••••• R••• · Chief Compliance Officercontrolsince 05/2017 · owns less than 5%
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 | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Modesto, CA1 employees
- Monterey, CA1 employees
- Sacramento, CA1 employees
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually high clients per a••••••Static outlier · filing Mar 5, 2026private clients per advisor of 289.1 against a peer median of 63.5 (1211 comparable advisers, 99.0th percentile, 6.1 robust deviations)peers: independent wealth managers, $500M to $1B (1,211) · 99% percentile
- business activity changedChange between filings · filing Mar 5, 2026selection of other advisers (Item 5.G.7): no on the filing of 2025-04-29, yes on the filing of 2026-03-05peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 1,904 to 2,040Apr 29, 2025 to Mar 5, 2026
- Advisory employees · 8 to 7Apr 29, 2025 to Mar 5, 2026
- Advisory activities · 4 to 5Apr 29, 2025 to Mar 5, 2026
- Corporate clients · 5 to 6Apr 29, 2025 to Mar 5, 2026
- HNW clients · 104 to 107Apr 29, 2025 to Mar 5, 2026
- Individual clients · 1,778 to 1,917Apr 29, 2025 to Mar 5, 2026
- Pension plan clients · 13 to 10Apr 29, 2025 to Mar 5, 2026
- Assets in custody · $369M to $467MApr 29, 2025 to Mar 5, 2026
- Employees · 8 to 7Apr 29, 2025 to Mar 5, 2026
- State-registered IARs · 8 to 7Apr 29, 2025 to Mar 5, 2026
- Discretionary RAUM · $522M to $587MApr 29, 2025 to Mar 5, 2026
- HNW RAUM · $267M to $296MApr 29, 2025 to Mar 5, 2026
- Individual RAUM · $246M to $282MApr 29, 2025 to Mar 5, 2026
- Pension RAUM · $7.7M to $9.2MApr 29, 2025 to Mar 5, 2026
- RAUM · $522M to $587MApr 29, 2025 to Mar 5, 2026
- Accounts · 1,604 to 1,904Apr 9, 2024 to Apr 29, 2025
- Advisory employees · 9 to 8Apr 9, 2024 to Apr 29, 2025
- HNW clients · 227 to 104Apr 9, 2024 to Apr 29, 2025
- Individual clients · 1,563 to 1,778Apr 9, 2024 to Apr 29, 2025
- Pension plan clients · 9 to 13Apr 9, 2024 to Apr 29, 2025
- Assets in custody · $225M to $369MApr 9, 2024 to Apr 29, 2025
- Employees · 9 to 8Apr 9, 2024 to Apr 29, 2025
- Financial planning clients · 1-10 to 1-10Apr 9, 2024 to Apr 29, 2025
- State-registered IARs · 9 to 8Apr 9, 2024 to Apr 29, 2025
- Other offices · 4 to 5Apr 9, 2024 to Apr 29, 2025
- Discretionary RAUM · $486M to $522MApr 9, 2024 to Apr 29, 2025
- HNW RAUM · $330M to $267MApr 9, 2024 to Apr 29, 2025
- Individual RAUM · $146M to $246MApr 9, 2024 to Apr 29, 2025
- Pension RAUM · $7.4M to $7.7MApr 9, 2024 to Apr 29, 2025
- RAUM · $486M to $522MApr 9, 2024 to Apr 29, 2025
- Other offices · 5 to 4Feb 26, 2024 to Apr 9, 2024
- Accounts · 1,708 to 1,604Oct 6, 2023 to Feb 26, 2024
- Advisory activities · 5 to 4Oct 6, 2023 to Feb 26, 2024
- BD registered reps · 5 to 6Oct 6, 2023 to Feb 26, 2024
- Corporate clients · unset to 5.0Oct 6, 2023 to Feb 26, 2024
- HNW clients · 181 to 227Oct 6, 2023 to Feb 26, 2024
- Individual clients · 1,522 to 1,563Oct 6, 2023 to Feb 26, 2024
- Pension plan clients · unset to 9.0Oct 6, 2023 to Feb 26, 2024
- Assets in custody · $44.0M to $225MOct 6, 2023 to Feb 26, 2024
- Discretionary RAUM · $419M to $486MOct 6, 2023 to Feb 26, 2024
Signals
1 dated events
- C••••• R••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 9, 2017 · ria f•••• adv filing · 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•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Website
- CRWMA••••••S.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 925-478-8800reportedpublic record, Form ADV, Mar 5, 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
- $83.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026