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
E•••••••• C•••••• P••••••• L••
Latest filing Mar 2, 2026
First filing on the tape Jan 20, 2021 · 17 filings
SEC status approved since Feb 19, 2021
RAUM
$193M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$193M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$193M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$193M as of Mar 2, 2026
Mar 5, 2022$129M then
HNW client RAUM$187M as of Mar 2, 2026
Mar 5, 2022$120M then
State-registered IARs (5.B.3)1 as of Mar 2, 2026
Mar 5, 20221 then
Employees (5.A)1 as of Mar 2, 2026
Mar 5, 20221 then
Private funds: no history
RAUM +65% over the last fiscal year+26% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $193MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +65%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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$187M97%
- Individuals$6.0M3.1%
- Individual clients
- 15reported
- HNW clients
- 48reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 122reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• N•• W• | San Francisco, Ca | Jul 8, 2016 | 26 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•••• N•• W• from O•••••• I••••••••• L••Jul 8, 2016 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•• B••••• N•• · Managing Member/Chief Compliance Officercontrolsince 05/2016 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 2, 2026RAUM (Item 5.F) moved from $117,221,744 to $193,088,005 (+65.0%) between the annual amendments of 2025-01-07 and 2026-03-02; the peer median change was +15.0% (4549 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 118 to 122Jan 7, 2025 to Feb 27, 2026
- HNW clients · 39 to 48Jan 7, 2025 to Feb 27, 2026
- Individual clients · 22 to 15Jan 7, 2025 to Feb 27, 2026
- Discretionary RAUM · $117M to $193MJan 7, 2025 to Feb 27, 2026
- HNW RAUM · $109M to $187MJan 7, 2025 to Feb 27, 2026
- Individual RAUM · $8.4M to $6.0MJan 7, 2025 to Feb 27, 2026
- RAUM · $117M to $193MJan 7, 2025 to Feb 27, 2026
- Accounts · 121 to 118Jun 6, 2024 to Jan 7, 2025
- HNW clients · 29 to 39Jun 6, 2024 to Jan 7, 2025
- Individual clients · 34 to 22Jun 6, 2024 to Jan 7, 2025
- Financial planning clients · 0 to 0Jun 6, 2024 to Jan 7, 2025
- HQ city · unset to Jun 6, 2024 to Jan 7, 2025
- HQ state · unset to Jun 6, 2024 to Jan 7, 2025
- Discretionary RAUM · $91.1M to $117MJun 6, 2024 to Jan 7, 2025
- HNW RAUM · $73.9M to $109MJun 6, 2024 to Jan 7, 2025
- Individual RAUM · $17.2M to $8.4MJun 6, 2024 to Jan 7, 2025
- RAUM · $91.1M to $117MJun 6, 2024 to Jan 7, 2025
- HNW clients · 41 to 29Mar 26, 2024 to Jun 5, 2024
- Individual clients · 23 to 34Mar 26, 2024 to Jun 5, 2024
- Discretionary RAUM · $74.6M to $91.1MMar 26, 2024 to Jun 5, 2024
- HNW RAUM · $68.9M to $73.9MMar 26, 2024 to Jun 5, 2024
- Individual RAUM · $5.7M to $17.2MMar 26, 2024 to Jun 5, 2024
- RAUM · $74.6M to $91.1MMar 26, 2024 to Jun 5, 2024
- Accounts · 120 to 121Sep 5, 2023 to Mar 26, 2024
- HNW clients · 29 to 41Sep 5, 2023 to Mar 26, 2024
- Individual clients · 36 to 23Sep 5, 2023 to Mar 26, 2024
- Discretionary RAUM · $97.6M to $74.6MSep 5, 2023 to Mar 26, 2024
- HNW RAUM · $18.1M to $68.9MSep 5, 2023 to Mar 26, 2024
- Individual RAUM · $79.6M to $5.7MSep 5, 2023 to Mar 26, 2024
- RAUM · $97.6M to $74.6MSep 5, 2023 to Mar 26, 2024
- Accounts · 123 to 120Jul 8, 2022 to Feb 4, 2023
- HNW clients · 44 to 29Jul 8, 2022 to Feb 4, 2023
- Individual clients · 17 to 36Jul 8, 2022 to Feb 4, 2023
- Discretionary RAUM · $129M to $97.6MJul 8, 2022 to Feb 4, 2023
- HNW RAUM · $120M to $18.1MJul 8, 2022 to Feb 4, 2023
- Individual RAUM · $9.5M to $79.6MJul 8, 2022 to Feb 4, 2023
- RAUM · $129M to $97.6MJul 8, 2022 to Feb 4, 2023
- Advisory activities · 3 to 1Mar 5, 2022 to Mar 6, 2022
- Accounts · 94 to 123Jul 7, 2021 to Mar 5, 2022
- Pooled vehicle clients · 0.0 to unsetJul 7, 2021 to Mar 5, 2022
Signals
1 dated events
- E•••••••• C•••••• P••••••• L•• filed its initial SEC registration (Form ADV)Jan 20, 2021 · 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
- 415-320-6647reportedpublic record, Form ADV, Mar 2, 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
- $193Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026