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•••• • R••• C•••••• M••••••••• L••
Latest filing Mar 12, 2026
First filing on the tape Feb 10, 2016 · 23 filings
SEC status approved since Mar 1, 2016
RAUM
$381M
reported, Item 5.F
Discretionary
40%
of RAUM
Private clients
74%
$280M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$191M
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
23 filings and snapshots on the tape
RAUM$381M as of Mar 12, 2026
Feb 13, 2017$147M then
HNW client RAUM$176M as of Mar 12, 2026
Mar 19, 2018$49.0M then
State-registered IARs (5.B.3)2 as of Mar 12, 2026
Feb 13, 20172 then
Employees (5.A)3 as of Mar 12, 2026
Feb 13, 20173 then
Private funds: no history
RAUM +5.6% over the last fiscal year+17% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 12, 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
- RAUM per advisor
- $191MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $745,649derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 40%derivedof RAUM
- Institutional
- 6.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $381M, 511 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$176M46%
- Individuals$104M27%
- Corporations and businesses$76.2M20%
- Pension and profit-sharing plans$21.8M5.7%
- Charitable organizations$2.8M0.7%
- Individual clients
- 96reported
- HNW clients
- 44reported
- Pension plan clients
- 2reported
- Charitable clients
- 2reported
- Accounts
- 511reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $381M for 511 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.74 fund_share=0.0 institutional_share=0.06 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 |
|---|---|---|---|---|
| E•••••••• S••••••• E••••••• | Alamo, Ca | Jan 1, 2025 | 12 y | 0 |
| M••••••• R•••• R•••Chartered Financial Analyst | Crystal Bay, Nv | Jan 2, 2025 | 33 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
- M••••••• R•••• R••• from R•••• • R••• C•••••• M•••••••••Jan 2, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••• M•••••••• R•••• · Managing Member & Chief Compliance Officercontrolsince 03/2016 · 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 |
|---|---|---|---|---|---|
| Crystal Bay, Nv | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Alamo, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 465 to 511Mar 20, 2025 to Mar 12, 2026
- HNW clients · 36 to 44Mar 20, 2025 to Mar 12, 2026
- Individual clients · 101 to 96Mar 20, 2025 to Mar 12, 2026
- Pension plan clients · 3 to 2Mar 20, 2025 to Mar 12, 2026
- Assets in custody · $338M to $381MMar 20, 2025 to Mar 12, 2026
- Discretionary RAUM · $132M to $153MMar 20, 2025 to Mar 12, 2026
- HNW RAUM · $155M to $176MMar 20, 2025 to Mar 12, 2026
- Individual RAUM · $101M to $104MMar 20, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $228M to $228MMar 20, 2025 to Mar 12, 2026
- Pension RAUM · $22.8M to $21.8MMar 20, 2025 to Mar 12, 2026
- RAUM · $361M to $381MMar 20, 2025 to Mar 12, 2026
- Accounts · 447 to 465Mar 14, 2024 to Mar 20, 2025
- Advisory employees · 1 to 2Mar 14, 2024 to Mar 20, 2025
- Charity clients · 1 to 2Mar 14, 2024 to Mar 20, 2025
- HNW clients · 34 to 36Mar 14, 2024 to Mar 20, 2025
- Individual clients · 105 to 101Mar 14, 2024 to Mar 20, 2025
- Pension plan clients · 2 to 3Mar 14, 2024 to Mar 20, 2025
- Assets in custody · $224M to $338MMar 14, 2024 to Mar 20, 2025
- Employees · 1 to 3Mar 14, 2024 to Mar 20, 2025
- Financial planning clients · 0 to 0Mar 14, 2024 to Mar 20, 2025
- HQ city · unset to Mar 14, 2024 to Mar 20, 2025
- HQ state · unset to Mar 14, 2024 to Mar 20, 2025
- State-registered IARs · 1 to 2Mar 14, 2024 to Mar 20, 2025
- Discretionary RAUM · $224M to $132MMar 14, 2024 to Mar 20, 2025
- HNW RAUM · $119M to $155MMar 14, 2024 to Mar 20, 2025
- Individual RAUM · $36.5M to $101MMar 14, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $99.9M to $228MMar 14, 2024 to Mar 20, 2025
- Pension RAUM · $22.4M to $22.8MMar 14, 2024 to Mar 20, 2025
- RAUM · $324M to $361MMar 14, 2024 to Mar 20, 2025
- Employees · 3 to 1Aug 14, 2023 to Mar 14, 2024
- State-registered IARs · 2 to 1Aug 14, 2023 to Mar 14, 2024
- Discretionary RAUM · $152M to $224MAug 14, 2023 to Mar 14, 2024
- HNW RAUM · $123M to $119MAug 14, 2023 to Mar 14, 2024
- Individual RAUM · $29.0M to $36.5MAug 14, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $83.9M to $99.9MAug 14, 2023 to Mar 14, 2024
- Pension RAUM · $1.9M to $22.4MAug 14, 2023 to Mar 14, 2024
- RAUM · $236M to $324MAug 14, 2023 to Mar 14, 2024
- Accounts · 470 to 447Aug 14, 2023 to Mar 14, 2024
- Advisory employees · 2 to 1Aug 14, 2023 to Mar 14, 2024
- HNW clients · 35 to 34Aug 14, 2023 to Mar 14, 2024
Signals
1 dated events
- R•••• • R••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 10, 2016 · 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
- 925-933-1806reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- rubeyrust.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 925-997-0994reportedpublic record, Form ADV, Mar 12, 2026
- Contact form
- rubeyrust.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- rubeyrust.com/who-we-arereportedpublished 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
- $191Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026