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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Former SEC-registered adviser
A••••• C••••••• L••
Latest filing Mar 26, 2024
First filing on the tape Jul 7, 2015 · 21 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
99%
$1.2B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$1.2B as of Mar 7, 2024
Mar 25, 2016$176M then
HNW client RAUM$1.2B as of Mar 7, 2024
Mar 23, 2018$475M then
State-registered IARs (5.B.3)4 as of Mar 7, 2024
Mar 25, 20163 then
Employees (5.A)7 as of Mar 7, 2024
Mar 25, 20164 then
Private funds: no history
RAUM +14% over the last fiscal year+6.7% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 26, 2024; every figure names its basis
- RAUM per advisor
- $298MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.1MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $267M, 91 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.2B97%
- Individuals$18.9M1.6%
- Pension and profit-sharing plans$9.4M0.8%
- Charitable organizations$4.5M0.4%
- Corporations and businesses$903,3360.1%
- Individual clients
- 42reported
- HNW clients
- 225reported
- Pension plan clients
- 8reported
- Charitable clients
- 2reported
- Accounts
- 777reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $267M for 91 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
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
- S••••• E••••• C•••••••• to C••••• P••••••• L••Sep 10, 2024 · RIA to RIA
- W•••••• C•••• H•••••••• to C••••• P••••••• L••Sep 10, 2024 · RIA to RIA
- M••••• M••••••• P•••• to C••••• P••••••• L••Sep 10, 2024 · RIA to RIA
- W•••••• D•••• O•••• to C••••• P••••••• L••Sep 10, 2024 · RIA to RIA
- D•••• R••• H••••• to C••••• P••••••• L••Sep 10, 2024 · RIA to RIA
Joined, latest
- W•••••• C•••• H•••••••• from G•• A••••••• S•••••••• L••Jul 25, 2016 · Other
- S••••• E••••• C•••••••• from G•• A••••••• S•••••••• L••Jul 13, 2015 · Other
- W•••••• D•••• O•••• from G•• A••••••• S•••••••• L••Jul 13, 2015 · Other
- D•••• R••• H••••• from G•• A••••••• S•••••••• L••Jul 13, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for C••••• P••••••• L••Sep 10, 2024 · Greenbrae, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• S•••••• E••••• · Managing Director, Manager And Membercontrolsince 06/2015 · owns 25% to 50%
- H••••••••• W••••••• C•••• · Managing Director And Membercontrolsince 07/2016 · owns 25% to 50%
- O••••• W••••••• D•••• · Managing Director, Manager, Member And Ccocontrolsince 06/2015 · owns 25% to 50%
- H•••••• D••••• R••• · Managing Director And Membersince 06/2015 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Greenbrae, Ca · principal | 0 | 0 | 0 | ||
| Sausalito, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 742 to 777Jul 10, 2023 to Mar 7, 2024
- Corporate clients · 2 to 3Jul 10, 2023 to Mar 7, 2024
- HNW clients · 221 to 225Jul 10, 2023 to Mar 7, 2024
- Individual clients · 41 to 42Jul 10, 2023 to Mar 7, 2024
- Pension plan clients · 10 to 8Jul 10, 2023 to Mar 7, 2024
- Assets in custody · $263M to $267MJul 10, 2023 to Mar 7, 2024
- Employees · 6 to 7Jul 10, 2023 to Mar 7, 2024
- Discretionary RAUM · $868M to $1.0BJul 10, 2023 to Mar 7, 2024
- HNW RAUM · $1.0B to $1.2BJul 10, 2023 to Mar 7, 2024
- Individual RAUM · $14.3M to $18.9MJul 10, 2023 to Mar 7, 2024
- Non-discretionary RAUM · $175M to $146MJul 10, 2023 to Mar 7, 2024
- Pension RAUM · $11.6M to $9.4MJul 10, 2023 to Mar 7, 2024
- RAUM · $1.0B to $1.2BJul 10, 2023 to Mar 7, 2024
- HQ city · SAUSALITO to GREENBRAEMar 3, 2023 to Jul 10, 2023
- Accounts · 738 to 742Nov 4, 2022 to Mar 3, 2023
- HNW clients · 230 to 221Nov 4, 2022 to Mar 3, 2023
- Individual clients · 27 to 41Nov 4, 2022 to Mar 3, 2023
- Pension plan clients · 11 to 10Nov 4, 2022 to Mar 3, 2023
- Assets in custody · $255M to $263MNov 4, 2022 to Mar 3, 2023
- Discretionary RAUM · $1.0B to $868MNov 4, 2022 to Mar 3, 2023
- HNW RAUM · $1.1B to $1.0BNov 4, 2022 to Mar 3, 2023
- Individual RAUM · $9.4M to $14.3MNov 4, 2022 to Mar 3, 2023
- Non-discretionary RAUM · $156M to $175MNov 4, 2022 to Mar 3, 2023
- Pension RAUM · $14.5M to $11.6MNov 4, 2022 to Mar 3, 2023
- RAUM · $1.2B to $1.0BNov 4, 2022 to Mar 3, 2023
- Accounts · 697 to 738Mar 22, 2021 to Feb 2, 2022
- Charity clients · 1 to 2Mar 22, 2021 to Feb 2, 2022
- HNW clients · 191 to 230Mar 22, 2021 to Feb 2, 2022
- Individual clients · 62 to 27Mar 22, 2021 to Feb 2, 2022
- Pension plan clients · 7 to 11Mar 22, 2021 to Feb 2, 2022
- Assets in custody · $219M to $255MMar 22, 2021 to Feb 2, 2022
- Discretionary RAUM · $831M to $1.0BMar 22, 2021 to Feb 2, 2022
- HNW RAUM · $929M to $1.1BMar 22, 2021 to Feb 2, 2022
- Individual RAUM · $38.8M to $9.4MMar 22, 2021 to Feb 2, 2022
- Non-discretionary RAUM · $148M to $156MMar 22, 2021 to Feb 2, 2022
- Pension RAUM · $8.9M to $14.5MMar 22, 2021 to Feb 2, 2022
- RAUM · $979M to $1.2BMar 22, 2021 to Feb 2, 2022
- Accounts · 667 to 697Jun 17, 2020 to Mar 22, 2021
- Charity clients · unset to 1.0Jun 17, 2020 to Mar 22, 2021
- Corporate clients · unset to 2.0Jun 17, 2020 to Mar 22, 2021
Signals
9 dated events
- M••••• M••••••• P•••• left A••••• C••••••• L•• for C••••• P••••••• L•• (registered 2024-09-04)Sep 10, 2024 · Advisor changed firm · fact
- W•••••• C•••• H•••••••• left A••••• C••••••• L•• for C••••• P••••••• L•• (registered 2024-09-03)Sep 10, 2024 · Advisor changed firm · fact
- S••••• E••••• C•••••••• left A••••• C••••••• L•• for C••••• P••••••• L•• (registered 2024-09-04)Sep 10, 2024 · Advisor changed firm · fact
- D•••• R••• H••••• left A••••• C••••••• L•• for C••••• P••••••• L•• (registered 2024-09-03)Sep 10, 2024 · Advisor changed firm · fact
- W•••••• D•••• O•••• left A••••• C••••••• L•• for C••••• P••••••• L•• (registered 2024-09-03)Sep 10, 2024 · Advisor changed firm · fact
- A••••• C••••••• L••'s advisors moved to C••••• P••••••• L•• (Greenbrae, CA): 5 of 5 registered, on the same daySep 10, 2024 · Firm absorbed (people side) · derived
- A••••• C••••••• L•• reported RAUM $822.0M, up 47% from $558.8M (2019-03-25 to 2020-03-17)Mar 17, 2020 · RAUM change · derived
- A••••• C••••••• L•• reported RAUM $502.9M, up 26% from $400.1M (2017-03-15 to 2018-03-23)Mar 23, 2018 · RAUM change · derived
- A••••• C••••••• L•• filed its initial SEC registration (Form ADV)Jul 7, 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.
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
- Former SEC-registered 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