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
U•••• I••••••••• A•••••••
Legal name U•••• I••••••••• A•••••••• I••••
Latest filing Jun 30, 2026
First filing on the tape Jul 21, 2015 · 14 filings
SEC status approved since Jul 24, 2015
RAUM
$2.5B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
4.8%
$117M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$2.5B as of Jun 30, 2026
Mar 8, 2016$519M then
HNW client RAUM$117M as of Jun 30, 2026
Mar 27, 2018$191M then
State-registered IARs (5.B.3)0 as of Jun 30, 2026
Mar 8, 20160 then
Employees (5.A)3 as of Jun 30, 2026
Mar 8, 20163 then
Private funds: no history
RAUM -4.1% over the last fiscal year+12% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Jun 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $204MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 37%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$1.1B44%
- Pension and profit-sharing plans$918M37%
- Other investment advisers$347M14%
- High-net-worth individuals$117M4.8%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 12reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.05 fund_share=0.14 institutional_share=0.37 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- U••••• D•••• A•••••• · Sole Ownercontrolsince 01/2015 · owns 75% or more
- U••••• R•••••• T•••••• · Chief Compliance Officersince 01/2022 · owns less than 5%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
- Seattle, WA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Jun 30, 2026discretionary share of RAUM of 0% against a peer median of 100% (247 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: other advisers, $1B to $5B (247) · 0.0% percentile
What changed
consecutive filings, newest first
- HQ city · LARKSPUR to MILL VALLEYMar 9, 2026 to Jun 30, 2026
- State-registered IARs · 1 to 0Feb 24, 2025 to Mar 9, 2026
- HNW RAUM · $222M to $117MFeb 24, 2025 to Mar 9, 2026
- Non-discretionary RAUM · $2.6B to $2.5BFeb 24, 2025 to Mar 9, 2026
- Pension RAUM · $970M to $918MFeb 24, 2025 to Mar 9, 2026
- RAUM · $2.6B to $2.5BFeb 24, 2025 to Mar 9, 2026
- Accounts · 9 to 12Mar 4, 2024 to Feb 24, 2025
- HNW clients · 4.0 to unsetMar 4, 2024 to Feb 24, 2025
- Financial planning clients · 0 to 0Mar 4, 2024 to Feb 24, 2025
- State-registered IARs · 0 to 1Mar 4, 2024 to Feb 24, 2025
- HNW RAUM · $219M to $222MMar 4, 2024 to Feb 24, 2025
- Non-discretionary RAUM · $2.5B to $2.6BMar 4, 2024 to Feb 24, 2025
- Pension RAUM · $1.1B to $970MMar 4, 2024 to Feb 24, 2025
- RAUM · $2.5B to $2.6BMar 4, 2024 to Feb 24, 2025
- Accounts · 11 to 9Feb 10, 2023 to Mar 4, 2024
- HNW clients · 5 to 4Feb 10, 2023 to Mar 4, 2024
- HNW RAUM · $231M to $219MFeb 10, 2023 to Mar 4, 2024
- Non-discretionary RAUM · $1.7B to $2.5BFeb 10, 2023 to Mar 4, 2024
- Pension RAUM · $706M to $1.1BFeb 10, 2023 to Mar 4, 2024
- RAUM · $1.7B to $2.5BFeb 10, 2023 to Mar 4, 2024
- Accounts · 9 to 11Jan 14, 2022 to Feb 10, 2023
- Advisory activities · 4 to 5Jan 14, 2022 to Feb 10, 2023
- HNW RAUM · $253M to $231MJan 14, 2022 to Feb 10, 2023
- Non-discretionary RAUM · $599M to $1.7BJan 14, 2022 to Feb 10, 2023
- Pension RAUM · unset to 705583504.0Jan 14, 2022 to Feb 10, 2023
- RAUM · $599M to $1.7BJan 14, 2022 to Feb 10, 2023
- Other offices · 0 to 1Oct 20, 2021 to Jan 14, 2022
- HNW RAUM · $261M to $253MOct 20, 2021 to Jan 14, 2022
- Non-discretionary RAUM · $605M to $599MOct 20, 2021 to Jan 14, 2022
- RAUM · $605M to $599MOct 20, 2021 to Jan 14, 2022
- Advisory activities · 3 to 4Mar 4, 2020 to Mar 31, 2021
- Financial planning clients · unset to 0Mar 4, 2020 to Mar 31, 2021
- HNW RAUM · $231M to $261MMar 4, 2020 to Mar 31, 2021
- Non-discretionary RAUM · $539M to $605MMar 4, 2020 to Mar 31, 2021
- RAUM · $539M to $605MMar 4, 2020 to Mar 31, 2021
- HNW RAUM · $209M to $231MMar 29, 2019 to Mar 4, 2020
- Non-discretionary RAUM · $489M to $539MMar 29, 2019 to Mar 4, 2020
- RAUM · $489M to $539MMar 29, 2019 to Mar 4, 2020
- Accounts · 10 to 9Mar 27, 2018 to Mar 29, 2019
- Charity clients · 1.0 to unsetMar 27, 2018 to Mar 29, 2019
Signals
3 dated events
- U•••• I••••••••• A••••••• reported RAUM $2.5B, up 41% from $1.7B (2023-02-10 to 2024-03-04)Mar 4, 2024 · RAUM change · derived
- U•••• I••••••••• A••••••• reported RAUM $1.7B, up 191% from $598.6M (2022-01-14 to 2023-02-10)Feb 10, 2023 · RAUM change · derived
- U•••• I••••••••• A••••••• filed its initial SEC registration (Form ADV)Jul 21, 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
- Firm profile
- linkedin.com/company/59673623reportedpublic record, Form ADV, Sep 18, 2026
- Website
- urbaninv.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-461-8600reportedpublic record, Form ADV, Jun 30, 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
- Other 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