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••••• P••••••• A••••••••• I•••
Latest filing Feb 18, 2025
First filing on the tape Mar 1, 2019 · 19 filings
SEC status approved since Apr 1, 2019
RAUM
$126M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$126M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$126M as of Feb 18, 2025
Feb 25, 2020$111M then
HNW client RAUM$112M as of Feb 18, 2025
Feb 25, 2020$78.5M then
State-registered IARs (5.B.3)2 as of Feb 18, 2025
Feb 25, 20204 then
Employees (5.A)3 as of Feb 18, 2025
Feb 25, 20205 then
Private funds: no history
RAUM +12% over the last fiscal year+0.2% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Feb 18, 2025; every figure names its basis
- RAUM per advisor
- $63.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $344,690derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +59%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
- 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$112M89%
- Individuals$14.0M11%
- Corporations and businesses$243,5430.2%
- Individual clients
- 49reported
- HNW clients
- 62reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 366reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
Left, latest
- E••• C•••••• V••••••• to F••••••Mar 23, 2026 · RIA to RIA
- L•••• S•••••• Y••••• to F••••••Mar 23, 2026 · RIA to RIA
- M••• M••• M• to M•••• W••••• P•••••••Nov 9, 2023 · RIA to a state-registered adviser
- L•••• L•• K•••••• to F••••Dec 3, 2021 · RIA to RIA
Joined, latest
- L•••• L•• K•••••• from U••••• C•••••• F•••••••• A•••••••Mar 1, 2019 · RIA to RIA
- E••• C•••••• V••••••• from A••••• C•••••• M••••••••• I•••Feb 9, 2016 · Other
- L•••• S•••••• Y••••• from L•• F•••••••• G••••Feb 9, 2016 · Other
- M••• M••• M• from L•• F•••••••• L••Feb 9, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V•••••••• E•••• C•••••• · Managing Partnercontrolsince 08/2015 · owns 50% to 75%
- Y•••••• L••••• S•••••• · Managing Partner/Chief Compliance Officercontrolsince 08/2015 · owns 10% to 25%
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 | 0 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 336 to 366Jan 6, 2025 to Feb 18, 2025
- Advisory employees · 3 to 2Jan 6, 2025 to Feb 18, 2025
- HNW clients · 15 to 62Jan 6, 2025 to Feb 18, 2025
- Individual clients · 55 to 49Jan 6, 2025 to Feb 18, 2025
- Employees · 4 to 3Jan 6, 2025 to Feb 18, 2025
- Financial planning clients · 101-250 to 51-100Jan 6, 2025 to Feb 18, 2025
- State-registered IARs · 3 to 2Jan 6, 2025 to Feb 18, 2025
- Discretionary RAUM · $113M to $126MJan 6, 2025 to Feb 18, 2025
- HNW RAUM · $50.0M to $112MJan 6, 2025 to Feb 18, 2025
- Individual RAUM · $62.8M to $14.0MJan 6, 2025 to Feb 18, 2025
- RAUM · $113M to $126MJan 6, 2025 to Feb 18, 2025
- Accounts · 428 to 336Jul 18, 2023 to Mar 12, 2024
- Charity clients · 1.0 to unsetJul 18, 2023 to Mar 12, 2024
- Corporate clients · 0.0 to unsetJul 18, 2023 to Mar 12, 2024
- HNW clients · 35 to 15Jul 18, 2023 to Mar 12, 2024
- Individual clients · 111 to 55Jul 18, 2023 to Mar 12, 2024
- Pension plan clients · 1.0 to unsetJul 18, 2023 to Mar 12, 2024
- Pooled vehicle clients · 0.0 to unsetJul 18, 2023 to Mar 12, 2024
- Discretionary RAUM · $116M to $113MJul 18, 2023 to Mar 12, 2024
- HNW RAUM · $74.7M to $50.0MJul 18, 2023 to Mar 12, 2024
- Individual RAUM · $40.6M to $62.8MJul 18, 2023 to Mar 12, 2024
- Pension RAUM · 1062389.0 to unsetJul 18, 2023 to Mar 12, 2024
- Pooled vehicle RAUM · 0.0 to unsetJul 18, 2023 to Mar 12, 2024
- RAUM · $116M to $113MJul 18, 2023 to Mar 12, 2024
- Employees · 6 to 4Feb 14, 2023 to Jul 18, 2023
- Other offices · 3 to 0Feb 14, 2023 to Jul 18, 2023
- Accounts · 364 to 428Aug 25, 2022 to Feb 7, 2023
- HNW clients · 59 to 35Aug 25, 2022 to Feb 7, 2023
- Individual clients · 62 to 111Aug 25, 2022 to Feb 7, 2023
- Discretionary RAUM · $126M to $116MAug 25, 2022 to Feb 7, 2023
- HNW RAUM · $101M to $74.7MAug 25, 2022 to Feb 7, 2023
- Individual RAUM · $23.5M to $40.6MAug 25, 2022 to Feb 7, 2023
- Pension RAUM · $1.1M to $1.1MAug 25, 2022 to Feb 7, 2023
- RAUM · $126M to $116MAug 25, 2022 to Feb 7, 2023
- Accounts · 398 to 364Mar 9, 2021 to Feb 9, 2022
- Advisory employees · 4 to 3Mar 9, 2021 to Feb 9, 2022
- HNW clients · 55 to 59Mar 9, 2021 to Feb 9, 2022
- Individual clients · 99 to 62Mar 9, 2021 to Feb 9, 2022
- Employees · 4 to 6Mar 9, 2021 to Feb 9, 2022
- State-registered IARs · 4 to 3Mar 9, 2021 to Feb 9, 2022
Signals
6 dated events
- A••••• P••••••• A••••••••• I••• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $126.2M)Apr 1, 2026 · Left the SEC roster · derived
- L•••• S•••••• Y••••• left A••••• P••••••• A••••••••• I••• for F•••••• (registered 2026-01-23)Mar 23, 2026 · Advisor changed firm · fact
- E••• C•••••• V••••••• left A••••• P••••••• A••••••••• I••• for F•••••• (registered 2026-01-17)Mar 23, 2026 · Advisor changed firm · fact
- 2 advisors left A••••• P••••••• A••••••••• I••• (Walnut Creek, CA) for F•••••• on the same dayMar 23, 2026 · Team lift-out · derived
- M••• M••• M• left A••••• P••••••• A••••••••• I••• for M•••• W••••• P••••••• (registered 2023-06-29)Nov 9, 2023 · Advisor changed firm · fact
- A••••• P••••••• A••••••••• I••• filed its initial SEC registration (Form ADV)Mar 1, 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.
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