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•••••• C•••• F•••••••• P•••••••
Latest filing Jan 20, 2026
First filing on the tape Apr 13, 2021 · 16 filings
SEC status approved since May 13, 2021
RAUM
$152M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
97%
$147M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$75.9M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$152M as of Jan 20, 2026
Mar 2, 2022$143M then
HNW client RAUM$9.1M as of Jan 20, 2026
Mar 2, 2022$10.1M then
State-registered IARs (5.B.3)2 as of Jan 20, 2026
Mar 2, 20224 then
Employees (5.A)4 as of Jan 20, 2026
Mar 2, 20227 then
Private funds: no history
RAUM +7.2% over the last fiscal year+7.0% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 20, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $75.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 494derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $162,744derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publicationsreportedItem 5.G
- Wrap fee program
- $152MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$138M91%
- High-net-worth individuals$9.1M6.0%
- Pension and profit-sharing plans$3.0M2.0%
- Charitable organizations$1.5M1.0%
- Corporations and businesses$678,0000.4%
- Individual clients
- 984reported
- HNW clients
- 3reported
- Pension plan clients
- 4reported
- Charitable clients
- 2reported
- Accounts
- 933reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••••• W••••• B••••••Chartered Financial Consultant | Eureka, Ca | Feb 6, 2019 | 18 y | 3 |
| J••• T••••• H••••• | Eureka, Ca | Dec 19, 2023 | 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
- N••••••• W••••• B•••••• from S••••• F•••••••• G•••• I••Feb 6, 2019 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• N•••••••• W••••• · President & Chief Compliance Officercontrolsince 06/2011 · 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 |
|---|---|---|---|---|---|
| Eureka, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Cherry Hill, NJ1 employees
- Tucson, AZ1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Jan 20, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 901 to 933Feb 19, 2025 to Jan 20, 2026
- Individual clients · 887 to 984Feb 19, 2025 to Jan 20, 2026
- Pension plan clients · 7 to 4Feb 19, 2025 to Jan 20, 2026
- Financial planning clients · 26-50 to 1-10Feb 19, 2025 to Jan 20, 2026
- HNW RAUM · $1.1M to $9.1MFeb 19, 2025 to Jan 20, 2026
- Individual RAUM · $125M to $138MFeb 19, 2025 to Jan 20, 2026
- Non-discretionary RAUM · $142M to $152MFeb 19, 2025 to Jan 20, 2026
- Pension RAUM · $8.6M to $3.0MFeb 19, 2025 to Jan 20, 2026
- RAUM · $142M to $152MFeb 19, 2025 to Jan 20, 2026
- Accounts · 932 to 901Dec 26, 2024 to Feb 19, 2025
- Corporate clients · 1 to 2Dec 26, 2024 to Feb 19, 2025
- HNW clients · 2 to 3Dec 26, 2024 to Feb 19, 2025
- Individual clients · 919 to 887Dec 26, 2024 to Feb 19, 2025
- Pension plan clients · 8 to 7Dec 26, 2024 to Feb 19, 2025
- Employees · 5 to 4Dec 26, 2024 to Feb 19, 2025
- Financial planning clients · 26-50 to 26-50Dec 26, 2024 to Feb 19, 2025
- HNW RAUM · $5.3M to $1.1MDec 26, 2024 to Feb 19, 2025
- Individual RAUM · $115M to $125MDec 26, 2024 to Feb 19, 2025
- Non-discretionary RAUM · $136M to $142MDec 26, 2024 to Feb 19, 2025
- Pension RAUM · $9.0M to $8.6MDec 26, 2024 to Feb 19, 2025
- RAUM · $136M to $142MDec 26, 2024 to Feb 19, 2025
- Wrap assets (manager) · $7.8M to $0Dec 26, 2024 to Feb 19, 2025
- Wrap assets (sponsor) · $128M to $0Dec 26, 2024 to Feb 19, 2025
- Advisory employees · 3 to 2Feb 20, 2024 to Dec 26, 2024
- Employees · 6 to 5Feb 20, 2024 to Dec 26, 2024
- State-registered IARs · 3 to 2Feb 20, 2024 to Dec 26, 2024
- Other offices · 3 to 2Feb 20, 2024 to Dec 26, 2024
- Accounts · 930 to 932Nov 30, 2023 to Feb 20, 2024
- Charity clients · 1 to 2Nov 30, 2023 to Feb 20, 2024
- Individual clients · 918 to 919Nov 30, 2023 to Feb 20, 2024
- Financial planning clients · 11-25 to 26-50Nov 30, 2023 to Feb 20, 2024
- HNW RAUM · $3.0M to $5.3MNov 30, 2023 to Feb 20, 2024
- Individual RAUM · $108M to $115MNov 30, 2023 to Feb 20, 2024
- Non-discretionary RAUM · $124M to $136MNov 30, 2023 to Feb 20, 2024
- Pension RAUM · $7.8M to $9.0MNov 30, 2023 to Feb 20, 2024
- RAUM · $124M to $136MNov 30, 2023 to Feb 20, 2024
- Wrap assets (manager) · $0 to $7.8MNov 30, 2023 to Feb 20, 2024
- Wrap assets (sponsor) · $131M to $128MNov 30, 2023 to Feb 20, 2024
- Wrap assets (manager) · $124M to $0Jan 11, 2023 to Feb 24, 2023
- Wrap assets (sponsor) · $0 to $131MJan 11, 2023 to Feb 24, 2023
Signals
1 dated events
- R•••••• C•••• F•••••••• P••••••• filed its initial SEC registration (Form ADV)Apr 13, 2021 · 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
- 520-721-9550reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 707-444-9212reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 707-444-9222reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- R••••••C••••FINANCIALPARTNERS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 707-444-9212reportedpublic record, Form ADV, Jan 20, 2026
- Contact form
- r•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- r•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $75.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026