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•••••••• I••••••••• L••
Latest filing Jan 21, 2026
First filing on the tape Sep 30, 2019 · 14 filings
SEC status approved since Oct 31, 2019
RAUM
$363M
reported, Item 5.F
Discretionary
1.8%
of RAUM
Private clients
60%
$219M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$72.6M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$363M as of Jan 21, 2026
Mar 3, 2020$190M then
HNW client RAUM$176M as of Jan 21, 2026
Mar 3, 2020$78.5M then
State-registered IARs (5.B.3)5 as of Jan 21, 2026
Mar 3, 20201 then
Employees (5.A)5 as of Jan 21, 2026
Mar 3, 20201 then
Private funds: no history
RAUM +17% over the last fiscal year+18% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Jan 21, 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
- 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
- $72.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $736,145derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 1.8%derivedof RAUM
- Institutional
- 38%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +21%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$176M48%
- Pension and profit-sharing plans$136M38%
- Individuals$43.5M12%
- Corporations and businesses$7.1M2.0%
- Individual clients
- 115reported
- HNW clients
- 71reported
- Pension plan clients
- 42reported
- Charitable clients
- n/areported
- Accounts
- 493reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.6 fund_share=0.0 institutional_share=0.38 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• J•• W•••••Certified Financial Planner | Folsom, Ca | Sep 3, 2015 | 33 y | 2 |
| T•• A•••• B••••••• | Sacramento, Ca | Feb 25, 2016 | 28 y | 2 |
| L•••• D• S••••• | Elk Grove, Ca | Feb 25, 2016 | 28 y | 3 |
| J••• B•••••• K••••Certified Financial Planner | El Dorado Hills, Ca | Nov 21, 2016 | 42 y | 1 |
| B•••••• T••• C••••••Certified Financial Planner | Folsom, Ca | Feb 13, 2024 | 12 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
none on the tape
Joined, latest
- B•••••• T••• C•••••• from A••••••• F••••••••• L•••Feb 13, 2024 · Affiliated broker-dealer or bank to independent RIA
- J••• B•••••• K•••• from M•• I•••••••• S•••••••• L••Nov 21, 2016 · Other
- T•• A•••• B••••••• from S••••••••• F••••••••Feb 25, 2016 · Other
- L•••• D• S••••• from S••••••• R••••••••• G•••• O• S•••••••••Feb 25, 2016 · RIA to RIA
- D••••• J•• W••••• from S••••••••• F••••••••Sep 3, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S••••••••• F••••••••Dec 10, 2020 · Folsom, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••• D•••••• J•• · Managing Member, Owner & Chief Compliance Officercontrolsince 03/2015 · 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 |
|---|---|---|---|---|---|
| El Dorado Hills, Ca | 2 | 0 | 0 | ||
| Folsom, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- S•••••••••, CA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 199 to 493Jan 27, 2025 to Jan 21, 2026
- HNW clients · 75 to 71Jan 27, 2025 to Jan 21, 2026
- Individual clients · 79 to 115Jan 27, 2025 to Jan 21, 2026
- Pension plan clients · 41 to 42Jan 27, 2025 to Jan 21, 2026
- Discretionary RAUM · $3.1M to $6.6MJan 27, 2025 to Jan 21, 2026
- HNW RAUM · $123M to $176MJan 27, 2025 to Jan 21, 2026
- Individual RAUM · $64.7M to $43.5MJan 27, 2025 to Jan 21, 2026
- Non-discretionary RAUM · $307M to $356MJan 27, 2025 to Jan 21, 2026
- Pension RAUM · $116M to $136MJan 27, 2025 to Jan 21, 2026
- RAUM · $311M to $363MJan 27, 2025 to Jan 21, 2026
- Accounts · 206 to 199Aug 8, 2024 to Jan 27, 2025
- Advisory employees · 2 to 3Aug 8, 2024 to Jan 27, 2025
- HNW clients · 79 to 75Aug 8, 2024 to Jan 27, 2025
- Individual clients · 83 to 79Aug 8, 2024 to Jan 27, 2025
- Pension plan clients · 40 to 41Aug 8, 2024 to Jan 27, 2025
- Employees · 4 to 5Aug 8, 2024 to Jan 27, 2025
- Financial planning clients · 0 to 0Aug 8, 2024 to Jan 27, 2025
- HQ city · unset to Aug 8, 2024 to Jan 27, 2025
- HQ state · unset to Aug 8, 2024 to Jan 27, 2025
- State-registered IARs · 4 to 5Aug 8, 2024 to Jan 27, 2025
- Other offices · 2 to 3Aug 8, 2024 to Jan 27, 2025
- Discretionary RAUM · $4.1M to $3.1MAug 8, 2024 to Jan 27, 2025
- HNW RAUM · $104M to $123MAug 8, 2024 to Jan 27, 2025
- Individual RAUM · $46.4M to $64.7MAug 8, 2024 to Jan 27, 2025
- Non-discretionary RAUM · $251M to $307MAug 8, 2024 to Jan 27, 2025
- Pension RAUM · $98.0M to $116MAug 8, 2024 to Jan 27, 2025
- RAUM · $255M to $311MAug 8, 2024 to Jan 27, 2025
- Accounts · 191 to 206Jan 17, 2023 to Jan 23, 2024
- HNW clients · 74 to 79Jan 17, 2023 to Jan 23, 2024
- Individual clients · 76 to 83Jan 17, 2023 to Jan 23, 2024
- Pension plan clients · 37 to 40Jan 17, 2023 to Jan 23, 2024
- Discretionary RAUM · $4.5M to $4.1MJan 17, 2023 to Jan 23, 2024
- HNW RAUM · $94.6M to $104MJan 17, 2023 to Jan 23, 2024
- Individual RAUM · $40.7M to $46.4MJan 17, 2023 to Jan 23, 2024
- Non-discretionary RAUM · $217M to $251MJan 17, 2023 to Jan 23, 2024
- Pension RAUM · $80.5M to $98.0MJan 17, 2023 to Jan 23, 2024
- RAUM · $221M to $255MJan 17, 2023 to Jan 23, 2024
- Discretionary RAUM · $4.5M to $4.5MJan 11, 2023 to Jan 17, 2023
- HNW RAUM · $94.6M to $94.6MJan 11, 2023 to Jan 17, 2023
- Individual RAUM · $40.6M to $40.7MJan 11, 2023 to Jan 17, 2023
Signals
1 dated events
- R•••••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Sep 30, 2019 · 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
- Principal office phone
- 916-467-9290reportedpublic record, Form ADV, Jan 21, 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
- $72.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026