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
M•••••• A•••••• N••••••
Legal name M•••••• I••••••••• A•••••• N••••••• L••
Latest filing May 26, 2026
First filing on the tape May 25, 2016 · 110 filings
SEC status approved since Jun 8, 2016
RAUM
$9.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$9.3B individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$1.2B
derived; firm RAUM over IAPD count
Employees
174
150 advisory (5.B.1)
Offices
97
beyond the principal office
Private funds
0
reported on Schedule D
History
110 filings and snapshots on the tape
RAUM$9.6B as of May 26, 2026
Mar 31, 2017$2.3B then
HNW client RAUM$5.5B as of May 26, 2026
Mar 29, 2018$748M then
State-registered IARs (5.B.3)150 as of May 26, 2026
Mar 31, 201789 then
Employees (5.A)174 as of May 26, 2026
Mar 31, 2017217 then
Private funds: no history
RAUM +13% over the last fiscal year+15% a year over threeIARs 164 to 150offices 118 to 97
Practice profile
derived from the filing of May 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- hnw wealth m•••••• · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $1.2BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 2,013derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $349,713derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 21.8derivedItem 5.A over advisors
- Advisors per office
- 0.1derived98 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -8.5%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $1.3B, 2,938 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)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$5.5B58%
- Individuals$3.8B40%
- Charitable organizations$127M1.3%
- Corporations and businesses$118M1.2%
- Pension and profit-sharing plans$3.5M0.0%
- Individual clients
- 13,898reported
- HNW clients
- 2,202reported
- Pension plan clients
- 3reported
- Charitable clients
- 54reported
- Accounts
- 27,362reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.3B for 2,938 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=168.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• E••• V••••• | Reno, Nv | Mar 17, 2006 | 27 y | 2 |
| P•••••• S•••••• M••••••Certified Financial Planner | Reno, Nv | Oct 31, 2018 | 32 y | 2 |
| N••••••• R• C••••Certified Financial Planner | Reno, Nv | Sep 17, 2021 | 10 y | 0 |
| M•••• B•••• M••••• | Reno, Nv | Aug 16, 2023 | 17 y | 3 |
Advisor movement
37 left, 6 joined in 12 months
net -31 in 12 months20 left in 90 days0 joined in 90 daysdeparture rate 463% of current headcount75 left over 36 months
Left, latest
- I•• K• F•• to L•• F•••••••• L••Aug 21, 2026 · Affiliated broker-dealer or bank to another
- A•••••• J•••••• B••••• to L•• F•••••••• L••Aug 21, 2026 · Affiliated broker-dealer or bank to another
- B•••• C••••• to M••••• S••••••Jul 13, 2026 · Affiliated broker-dealer or bank to wirehouse
- N••••••• S•••••• K••••••• to T•• W••••• C••••••••• G••••Jul 13, 2026 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• M•••••• J•••••• to T•• W••••• C••••••••• G••••Jul 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- B•••• W••••• W••••• to T•• W••••• C••••••••• G••••Jul 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- S••••• B•••••• A•••••••• to T•• W••••• C••••••••• G••••Jul 2, 2026 · Affiliated broker-dealer or bank to independent RIA
- K•••••• J••••• W•••• to L•• F•••••••• L••Jun 26, 2026 · Affiliated broker-dealer or bank to another
- S•••• M••••••• W••••••• to L•• F•••••••• L••Jun 26, 2026 · Affiliated broker-dealer or bank to another
- C••••••••• J••••• B••• to A•••••• F•••••••• S•••••••• I•••Jun 26, 2026 · IBD TO ST••• RIA
- J••••• N••••••• C•••••••• to L•• F•••••••• L••Jun 26, 2026 · Affiliated broker-dealer or bank to another
- G••••• T••••••• T•••• to L•• F•••••••• L••Jun 26, 2026 · Affiliated broker-dealer or bank to another
- C•••• S••••• B••••• to L•• F•••••••• L••Jun 26, 2026 · Affiliated broker-dealer or bank to another
- C•••••••• H•••••• O•••• to L•• F•••••••• L••Jun 26, 2026 · Affiliated broker-dealer or bank to another
- D••••• R••• D•••••• to L•• F•••••••• L••Jun 26, 2026 · Affiliated broker-dealer or bank to another
Joined, latest
- G••••• T••••• G••••• from E••••• J••••Apr 20, 2026 · Affiliated broker-dealer or bank to another
- A•••• M••••••• S•••••• from T••••• W•••••• L•••••Apr 1, 2026 · RIA to affiliated broker-dealer or bank
- S••••• R••• C••••••• from E••••• J••••Mar 12, 2026 · Affiliated broker-dealer or bank to another
- T•••••• J•••• W••••• from C••••• I••••••••• A••••••• L••Feb 2, 2026 · Affiliated broker-dealer or bank to another
- V••• M•••• J•••••• from M••••••••• F•••••••• P•••••••• I•••Jan 20, 2026 · Other
- I•• K• F•• from C••••• I••••••••• A••••••• L••Nov 17, 2025 · Affiliated broker-dealer or bank to another
- J••• G•••• from E••••• J••••Jun 27, 2025 · Affiliated broker-dealer or bank to another
- A••• G•••••• from R•• S••••••••• I•••May 30, 2025 · RIA to affiliated broker-dealer or bank
- C••••• S••••••• M•••• from V••• F•••••••• A•••••••• I•••Apr 16, 2025 · Affiliated broker-dealer or bank to another
- S••••• B•••• L•••••• from R••••••••• • J••Feb 18, 2025 · Other
- J••••••• S•••••••• from L•• F•••••••• L••Feb 10, 2025 · Affiliated broker-dealer or bank to another
- D•••• N•••• from L•• F•••••••• L••Feb 10, 2025 · Affiliated broker-dealer or bank to another
- A•••••• Y• T•••• from A••••••••• P••••••• I••••••••• A••••••• I••Dec 18, 2024 · Other
- S•••• D•••• S••• from F••••••• P••••••• A•• W•••••••• A•••••••Nov 26, 2024 · Affiliated broker-dealer or bank to another
- J•••••• W••••• from E••••• J••••Nov 18, 2024 · Affiliated broker-dealer or bank to another
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for L•• F•••••••• L••Aug 21, 2026 · Palo Alto, Ca
- 3 left for T•• W••••• C••••••••• G••••Jul 2, 2026 · San Ramon, Ca
- 11 left for L•• F•••••••• L••Jun 26, 2026 · Sacramento, Ca
- 2 left for M••••••May 22, 2026 · Sacramento, Ca
- 2 left for L•• F•••••••• L••May 22, 2026 · Sacramento, Ca
- 3 left for L•• F•••••••• L••Sep 3, 2025 · Corona, Ca
- 2 left for T•• W••••• C••••••••• G••••Aug 19, 2025 · San Jose, Ca
- 2 left for O•••• W•••••• I•••Aug 6, 2025 · Corona, Ca
- 2 joined from L•• F•••••••• L••May 28, 2026 · Vista, Ca
- 2 joined from S•••••• N••••••• • C••••••• I•••••••••Feb 23, 2024 · Wichita, Ks
- 7 joined from L••••• W••••• P•••••••• L••Dec 4, 2023 · Reno, Nv · Firm absorbed
- 2 joined from T••••••• F•••••••• A•••••••• L••Oct 17, 2023 · San A••••••, Tx
- 2 joined from O•••• F•• I•••Jul 31, 2023 · Denver, Co
- 2 joined from S••••••• F•••••••• S•••••••• I•••Jun 5, 2023 · South Hill, Va
- 2 joined from E••••• J••••Mar 6, 2023 · Grass Valley, Ca
- 2 joined from F•• S••••••••• C•••••••••Feb 16, 2023 · Blue Bell, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• H••••••• D••• · Chief Compliance Officercontrolsince 03/2024 · owns less than 5%
- B•••••••• C•••••• R•••• · Chief Operating Officercontrolsince 09/2022 · owns less than 5%
- B•••••••• M•••••• C••••••••• · Chief Executive Officercontrolsince 09/2022 · owns less than 5%
- D•••••• A•••• J•••••• · General Counselcontrolsince 09/2022 · owns less than 5%
- H••••• J••••• A••• · Chief Compliance Officercontrolsince 05/2026 · owns less than 5%
- P••••••• J••••• J• · Chief Operating Officercontrolsince 05/2026 · owns less than 5%
- P••• J••••••• A•••• · Chief Financial Officercontrolsince 09/2022 · owns less than 5%
- R••••••••• K••••••• D•••••• · Chief Investment Officercontrolsince 09/2022 · owns less than 5%
- S•••••••• J••••• D••••• · Managing Directorcontrolsince 05/2026 · owns less than 5%
- B•••••••• C•••••• R•••• · Elected M••••••controlsince 07/2021 · owns F of M•• H•••••• L••
- B•••••••• M•••••• C••••••••• · Elected M••••••controlsince 07/2021 · owns F of M•• H•••••• L••
- D••••••• J•••• G•••• · Trusteecontrolsince 10/1997 · owns F of T•• D•••••• R•••••••• T••••
- H•••••• G•••• P••• · Elected M••••••controlsince 07/2021 · owns F of M•• H•••••• L••
- S••••••• J•••••••• A••• · Elected M••••••controlsince 07/2021 · owns F of M•• H•••••• L••
- S•••••••• J•••••••• D•••• · Elected M••••••controlsince 07/2021 · owns F of M•• H•••••• L••
- S•••••••• J•••••••• D•••• · Trusteecontrolsince 10/1997 · owns F of T•• S••••••• F••••• T••••
- H••••• J•••••••• L•••• · National Managing Directorsince 01/2024 · owns less than 5%
Entity owners
- H•••• B•••• P•••••••• L•• · Managing Memberdirect · owns 75% or more
- P•• H•••••••• L•• · Owner, Managing Memberdirect · owns 75% or more
- E•••••• H••••••• I• L•• · General Partnerindirect · owns F of E•••••• H••••••• I•• L•••
- E•••••• H••••••• I•• L••• · Limited Partnerindirect · owns 75% or more of L•• F•••••• L•••
- G•• C•••••• V•••• L•• · General Partnerindirect · owns F of G•••• E••••• I•••••••• V••• L•••
- G•• C•••••• V•••• L•• · General Partnerindirect · owns F of G•••• E••••• I•••••••• S••• V••• L•••
- G•• V••• M• A••••••••• L•• · Memberindirect · owns 25% to 50% of M•• H•••••• L••
- G•••• E••••• I•••••••• S••• V••• L••• · Memberindirect · owns 75% or more of G•• V••• M• B•••••• L••
- L•••••• G•••• • P•••••••• L••• · M••••••indirect · owns 75% or more of P•••••• C••••••• M•••••• L••
- L•• F•••••• L••• · Limited Partnerindirect · owns 50% to 75% of L•••••• G•••• • P•••••••• L•••
- L•• M••••••••• I••• · General Partnerindirect · owns F of L•••••• G•••• • P•••••••• L•••
- L•• M••••••••• I••• · M••••••indirect · owns F of G•• C•••••• V•••• L••
- M•••••• A•••••• N••••••• L•• · Managing Memberindirect · owns 75% or more of M•••••• P••••••• S••••••••
- M•••••• P••••••• S•••••••• · Managing Memberindirect · owns 75% or more of H•••• B•••• P•••••••• L••
- M•••••• W••••• A•••••••• L•• · Managing Memberindirect · owns 75% or more of M•••••• A•••••• N••••••• L••
- M•• H•••••• L•• · M••••••indirect · owns F of M•• M••••• L••
- M•• M••••• L•• · M••••••indirect · owns F of M•••••• W••••• A•••••••• L••
- P•••••• C••••••• M•••••• L•• · M••••••indirect · owns F of G•• V••• M• A••••••••• L••
- P•••••• C••••••• M•••••• L•• · M••••••indirect · owns F of G•• V••• M• B•••••• L••
- T•• D•••••• R•••••••• T•••• · Memberindirect · owns 25% to 50% of E•••••• H••••••• I• L••
Related persons
Schedule D 7.A
- 1••• P•••••••• L••investment adviserpooled vehicle sponsornRAUM $323M
- M••••••investment advisernRAUM $2.8B
- F•••••• C•••••• P•••••••• L••investment adviserpooled vehicle sponsornRAUM $148M
- M•••••• I•••••••• R••••••••• L••real estaten
- M•••••• I•••••••••investment adviseryRAUM $7.3B
- M•••••• S•••••••• T•• S•••••••• L••insurancen
- M•••••• T•••• C••••••• L••n
- M•••••• W•••••investment advisern
- M•••••• W••••• A•••••••investment advisernRAUM $2.2M
- M••••••investment adviserinsurancepooled vehicle sponsorLP sponsoryRAUM $125B
- M•••••• F••• A•••••••• L••investment adviserpooled vehicle sponsorn
- M•••• L••broker-dealern
- U••••••• M••••••••• L•investment adviserpooled vehicle sponsorn
Advisers that list M•••••• A•••••• N•••••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Reno, Nv | 8 | 0 | 0 | ||
| Camarillo, Ca | 0 | 0 | 1 | ||
| Campbell, Ca | 0 | 0 | 1 | ||
| Coral Springs, Fl | 0 | 0 | 1 | ||
| Corona, Ca | 0 | 0 | 1 | ||
| El Dorado Hills, Ca | 0 | 0 | 1 | ||
| Escondido, Ca | 0 | 0 | 0 | ||
| Frede•••Ksburg, Va | 0 | 0 | 1 | ||
| Fresno, Ca | 0 | 0 | 0 | ||
| Grass Valley, Ca | 0 | 0 | 2 | ||
| Irvine, Ca | 0 | 0 | 0 | ||
| Lafayette, Ca | 0 | 0 | 0 | ||
| Lincoln, Il | 0 | 0 | 0 | ||
| Louisville, Il | 0 | 0 | 1 | ||
| Ral••••, Nc | 0 | 0 | 1 | ||
| Ridgefield, Wa | 0 | 0 | 1 | ||
| Rocklin, Ca | 0 | 0 | 0 | ||
| Rogers, Ar | 0 | 0 | 0 | ||
| Rohnert P•••, Ca | 0 | 0 | 1 | ||
| Rolling Hills Est•••S, Ca | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Reno, NV8 employees
- Corona, CA5 employees
- Roseville, CA4 employees
- Roseville, CA3 employees
- Sacramento, CA3 employees
- Camarillo, CA3 employees
- Blue Bell, PA3 employees
- San Jose, CA3 employees
- San Jose, CA3 employees
- Corona, CA3 employees
- Fresno, CA3 employees
- Walnut Creek, CA3 employees
- Rolling Hills Est•••S, CA3 employees
- Windsor, CA2 employees
- San Ramon, CA2 employees
- San Ramon, CA2 employees
- Denver, CO2 employees
- Walnut Creek, CA2 employees
- Houston, TX2 employees
- Santa Rosa, CA2 employees
- Seal Beach, CA2 employees
- Grass Valley, CA2 employees
- Wichita, KS2 employees
- Richmond, VA2 employees
- Highland P•••, NJ2 employees
ADV anomalies
18 against comparable advisers; where to look, not conclusions
- high employee count relative to a••••••sStatic outlier · filing May 26, 2026employees per registered advisor of 21.8 against a peer median of 1.3 (53 comparable advisers, 100.0th percentile, 50.1 robust deviations)peers: affiliated wealth managers, $5B to $20B (53) · 100% percentile
- unusually high clients per a••••••Static outlier · filing May 26, 2026private clients per advisor of 2,012.5 against a peer median of 63.3 (51 comparable advisers, 100.0th percentile, 64.7 robust deviations)peers: affiliated wealth managers, $5B to $20B (51) · 100% percentile
- high office count relative to headcountStatic outlier · filing May 26, 2026offices per registered advisor of 12.2 against a peer median of 0.4 (52 comparable advisers, 100.0th percentile, 48.3 robust deviations)peers: affiliated wealth managers, $5B to $20B (52) · 100% percentile
- very high RAUM per a••••••Static outlier · filing May 26, 2026RAUM per registered advisor of $1,196,104,798 against a peer median of $43,852,199 (53 comparable advisers, 100.0th percentile, 40.0 robust deviations)peers: affiliated wealth managers, $5B to $20B (53) · 100% percentile
- affiliate changedChange between filings · filing May 26, 2026bank affiliate (Item 7.A.6): yes on the filing of 2026-03-27, no on the filing of 2026-05-26peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing May 26, 2026H••••• J••••• A••• (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2024-05-29 and 2026-05-26peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing May 26, 2026S•••••••• J••••• D••••• (MANAGING DIRECTOR) appeared on Schedule A between the filings of 2024-05-29 and 2026-05-26peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing May 26, 2026P••••••• J••••• J• (CHIEF OPERATING OFFICER) appeared on Schedule A between the filings of 2024-05-29 and 2026-05-26peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing May 26, 2026S•••••••• J•••••••• D•••• (TRUSTEE) left Schedule A between the filings of 2024-05-29 and 2026-05-26peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing May 26, 2026D••••••• J•••• G•••• (TRUSTEE) left Schedule A between the filings of 2024-05-29 and 2026-05-26peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing May 26, 2026B•••••••• M•••••• C••••••••• (CHIEF EXECUTIVE OFFICER) left Schedule A between the filings of 2024-05-29 and 2026-05-26peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing May 26, 2026H•••••• G•••• P••• (ELECTED M••••••) left Schedule A between the filings of 2024-05-29 and 2026-05-26peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing May 26, 2026S••••••• J•••••••• A••• (ELECTED M••••••) left Schedule A between the filings of 2024-05-29 and 2026-05-26peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing May 26, 2026A••••••••• H••••••• D••• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2024-05-29 and 2026-05-26peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing May 26, 2026R••••••••• K••••••• D•••••• (CHIEF INVESTMENT OFFICER) left Schedule A between the filings of 2024-05-29 and 2026-05-26peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing May 26, 2026B•••••••• C•••••• R•••• (CHIEF OPERATING OFFICER) left Schedule A between the filings of 2024-05-29 and 2026-05-26peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing May 26, 2026D•••••• A•••• J•••••• (GENERAL COUNSEL) left Schedule A between the filings of 2024-05-29 and 2026-05-26peers: affiliated wealth managers, $5B to $20B (53)
- control person changedChange between filings · filing May 26, 2026P••• J••••••• A•••• (CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2024-05-29 and 2026-05-26peers: affiliated wealth managers, $5B to $20B (53)
What changed
consecutive filings, newest first
- Related bank · true to falseMar 27, 2026 to May 26, 2026
- Accounts · 27,221 to 27,362Oct 29, 2025 to Mar 27, 2026
- Advisory employees · 164 to 150Oct 29, 2025 to Mar 27, 2026
- Charity clients · 44 to 54Oct 29, 2025 to Mar 27, 2026
- Corporate clients · 71 to 84Oct 29, 2025 to Mar 27, 2026
- HNW clients · 1,848 to 2,202Oct 29, 2025 to Mar 27, 2026
- Individual clients · 14,347 to 13,898Oct 29, 2025 to Mar 27, 2026
- Assets in custody · $1.3B to $1.3BOct 29, 2025 to Mar 27, 2026
- Employees · 177 to 174Oct 29, 2025 to Mar 27, 2026
- Insurance-licensed employees · 28 to 20Oct 29, 2025 to Mar 27, 2026
- State-registered IARs · 164 to 150Oct 29, 2025 to Mar 27, 2026
- Other offices · 118 to 97Oct 29, 2025 to Mar 27, 2026
- Discretionary RAUM · $8.5B to $9.6BOct 29, 2025 to Mar 27, 2026
- HNW RAUM · $4.5B to $5.5BOct 29, 2025 to Mar 27, 2026
- Individual RAUM · $3.8B to $3.8BOct 29, 2025 to Mar 27, 2026
- Pension RAUM · $3.0M to $3.5MOct 29, 2025 to Mar 27, 2026
- RAUM · $8.5B to $9.6BOct 29, 2025 to Mar 27, 2026
- Financial planning clients · 101-250 to 101-250Mar 29, 2025 to Jun 25, 2025
- Accounts · 27,977 to 27,221Oct 22, 2024 to Mar 29, 2025
- Advisory employees · 184 to 164Oct 22, 2024 to Mar 29, 2025
- BD registered reps · 172 to 168Oct 22, 2024 to Mar 29, 2025
- Business name · M•••••• I••••••••• to M•••••• A•••••• N••••••Oct 22, 2024 to Mar 29, 2025
- Charity clients · 66 to 44Oct 22, 2024 to Mar 29, 2025
- Corporate clients · 119 to 71Oct 22, 2024 to Mar 29, 2025
- HNW clients · 1,963 to 1,848Oct 22, 2024 to Mar 29, 2025
- Individual clients · 14,923 to 14,347Oct 22, 2024 to Mar 29, 2025
- Pension plan clients · 102 to 3Oct 22, 2024 to Mar 29, 2025
- Assets in custody · $487M to $1.3BOct 22, 2024 to Mar 29, 2025
- Employees · 184 to 177Oct 22, 2024 to Mar 29, 2025
- Insurance-licensed employees · 26 to 28Oct 22, 2024 to Mar 29, 2025
- State-registered IARs · 184 to 164Oct 22, 2024 to Mar 29, 2025
- Other offices · 94 to 118Oct 22, 2024 to Mar 29, 2025
- Discretionary RAUM · $8.1B to $8.5BOct 22, 2024 to Mar 29, 2025
- HNW RAUM · $4.1B to $4.5BOct 22, 2024 to Mar 29, 2025
- Individual RAUM · $3.7B to $3.8BOct 22, 2024 to Mar 29, 2025
- Pension RAUM · $110M to $3.0MOct 22, 2024 to Mar 29, 2025
- RAUM · $8.1B to $8.5BOct 22, 2024 to Mar 29, 2025
- Business name · M•••••• I••••••••• A•••••• N••••••• L•• to M•••••• I•••••••••Mar 22, 2024 to Apr 15, 2024
- Accounts · 24,608 to 27,977Jan 4, 2024 to Mar 22, 2024
- Advisory employees · 131 to 184Jan 4, 2024 to Mar 22, 2024
Signals
60 dated events
- Danial Matthew Khan no longer registered at M•••••• A•••••• N••••••; no later IA registration on IAPDAug 21, 2026 · a•••••• departure · fact
- A•••••• J•••••• B••••• left M•••••• A•••••• N•••••• for L•• F•••••••• L•• (registered 2026-01-21)Aug 21, 2026 · a•••••• firm change · fact
- I•• K• F•• left M•••••• A•••••• N•••••• for L•• F•••••••• L•• (registered 2026-07-31)Aug 21, 2026 · a•••••• firm change · fact
- J•••paul Lonardo no longer registered at M•••••• A•••••• N••••••; no later IA registration on IAPDAug 21, 2026 · a•••••• departure · fact
- 2 advisors left M•••••• A•••••• N•••••• (Palo Alto, CA) for L•• F•••••••• L•• on the same dayAug 21, 2026 · Team lift-out · derived
- N••••••• S•••••• K••••••• left M•••••• A•••••• N•••••• for T•• W••••• C••••••••• G•••• (registered 2026-07-01)Jul 13, 2026 · a•••••• firm change · fact
- B•••• C••••• left M•••••• A•••••• N•••••• for M••••• S•••••• (registered 2026-04-14)Jul 13, 2026 · a•••••• firm change · fact
- B•••• W••••• W••••• left M•••••• A•••••• N•••••• for T•• W••••• C••••••••• G•••• (registered 2026-07-01)Jul 2, 2026 · a•••••• firm change · fact
- C••••••••• M•••••• J•••••• left M•••••• A•••••• N•••••• for T•• W••••• C••••••••• G•••• (registered 2026-06-30)Jul 2, 2026 · a•••••• firm change · fact
- S••••• B•••••• A•••••••• left M•••••• A•••••• N•••••• for T•• W••••• C••••••••• G•••• (registered 2026-06-30)Jul 2, 2026 · a•••••• firm change · fact
- 3 advisors left M•••••• A•••••• N•••••• (San Ramon, CA) for T•• W••••• C••••••••• G•••• within 11 daysJul 2, 2026 · Team lift-out · derived
- S•••• M••••••• W••••••• left M•••••• A•••••• N•••••• for L•• F•••••••• L•• (registered 2024-09-03)Jun 26, 2026 · a•••••• firm change · fact
- D••••• R••• D•••••• left M•••••• A•••••• N•••••• for L•• F•••••••• L•• (registered 2025-03-05)Jun 26, 2026 · a•••••• firm change · fact
- B•••• M• R•••••••• left M•••••• A•••••• N•••••• for L•• F•••••••• L•• (registered 2022-08-03)Jun 26, 2026 · a•••••• firm change · fact
- J•••• J•••• E••••• left M•••••• A•••••• N•••••• for L•• F•••••••• L•• (registered 2024-02-01)Jun 26, 2026 · a•••••• firm change · fact
- J•••• E••••• C••••••• left M•••••• A•••••• N•••••• for L•• F•••••••• L•• (registered 2019-12-16)Jun 26, 2026 · a•••••• firm change · fact
- J•••• B•••••• J•••••• left M•••••• A•••••• N•••••• for L•• F•••••••• L•• (registered 2026-02-26)Jun 26, 2026 · a•••••• firm change · fact
- L•••• J••• M•••••• left M•••••• A•••••• N•••••• for L•• F•••••••• L•• (registered 2024-05-09)Jun 26, 2026 · a•••••• firm change · fact
- K•••••• J••••• W•••• left M•••••• A•••••• N•••••• for L•• F•••••••• L•• (registered 2023-11-07)Jun 26, 2026 · a•••••• firm change · fact
- C••••••••• J••••• B••• left M•••••• A•••••• N•••••• for A•••••• F•••••••• S•••••••• I••• (registered 2026-01-27)Jun 26, 2026 · a•••••• firm change · fact
- J••••• N••••••• C•••••••• left M•••••• A•••••• N•••••• for L•• F•••••••• L•• (registered 2025-01-21)Jun 26, 2026 · a•••••• firm change · fact
- G••••• T••••••• T•••• left M•••••• A•••••• N•••••• for L•• F•••••••• L•• (registered 2025-01-01)Jun 26, 2026 · a•••••• firm change · fact
- C•••• S••••• B••••• left M•••••• A•••••• N•••••• for L•• F•••••••• L•• (registered 2020-04-17)Jun 26, 2026 · a•••••• firm change · fact
- C•••••••• H•••••• O•••• left M•••••• A•••••• N•••••• for L•• F•••••••• L•• (registered 2021-03-02)Jun 26, 2026 · a•••••• firm change · fact
- 10 advisors left M•••••• A•••••• N•••••• (Sacramento, CA) for L•• F•••••••• L•• on the same dayJun 26, 2026 · Team lift-out · derived
- L••••• A••••• B•••• left M•••••• A•••••• N•••••• for A••• W••••• M••••••••• (registered 2026-06-09)Jun 3, 2026 · a•••••• firm change · fact
- 2 advisors left L•• F•••••••• L•• (Vista, CA) for M•••••• A•••••• N•••••• on the same dayMay 28, 2026 · Team lift-out · derived
- C••••••••• J• M••••• left M•••••• A•••••• N•••••• for L•• F•••••••• L•• (registered 2026-05-20)May 22, 2026 · a•••••• firm change · fact
- M•••• A•••••• A•••• left M•••••• A•••••• N•••••• for M•••••• (registered 2026-06-09)May 22, 2026 · a•••••• firm change · fact
- J••• D••••• L•••••• left M•••••• A•••••• N•••••• for L•• F•••••••• L•• (registered 2026-05-20)May 22, 2026 · a•••••• firm change · 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
- Website
- logikifinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 650-571-1934reportedpublic record, Form ADV, May 26, 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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.2Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026