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•• C•••• W••••• M••••••••• L••
Latest filing Feb 19, 2026
First filing on the tape Jun 17, 2016 · 10 filings
SEC status approved since Apr 1, 2024
RAUM
$152M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$147M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$75.8M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$152M as of Feb 19, 2026
Feb 7, 2025$134M then
HNW client RAUM$15.6M as of Feb 19, 2026
Feb 7, 2025$106M then
State-registered IARs (5.B.3)3 as of Feb 19, 2026
Feb 7, 20253 then
Employees (5.A)3 as of Feb 19, 2026
Feb 7, 20253 then
Private funds1 as of Feb 19, 2026
Feb 7, 20251 then
RAUM +13% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Feb 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $75.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 78derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $259,540derivedHNW RAUM over HNW clients
- Average account
- $343,706derivedRAUM 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
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Wrap fee program
- $293MreportedItem 5.I
- Custody
- $87.0M, 136 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$131M86%
- High-net-worth individuals$15.6M10%
- Pooled investment vehicles$5.0M3.3%
- Individual clients
- 95reported
- HNW clients
- 60reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 441reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $147M sponsored, $147M managedreported
- Custody of client assets
- $87.0M for 136 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.97 fund_share=0.03 institutional_share=0.0 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 |
|---|---|---|---|---|
| J•••••• F••• W•Certified Financial Planner | Palo Alto, Ca | Jul 7, 2016 | 21 y | 1 |
| B•••• J••• W••••••Certified Financial Planner | Palo Alto, Ca | Mar 1, 2018 | 21 y | 1 |
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•••• J••• W•••••• from A••••••••• F•••••••• S•••••••• L••Mar 1, 2018 · Other
- J•••••• F••• W• from A••••••••• F•••••••• S•••••••• L••Jul 7, 2016 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from A••••••••• F•••••••• S•••••••• L••Jul 6, 2016 · San Francisco, Ca
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•• C•••• C•••••• F•••• L• | Hedge Fund | $5.0M | 11 | Feb 29, 2024 |
Owners and control persons
Schedule A and B, latest filing
- W••••••• B••••• J••• · Managing Member & Chief Compliance Officercontrolsince 07/2016 · owns 50% to 75%
- W•• J••••••• F••• · Managing Membercontrolsince 07/2016 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Palo Alto, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Feb 19, 2026portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2025-02-07, yes on the filing of 2026-02-19peers: independent wealth managers, $100M to $500M (5,678)
- HNW share shiftChange between filings · filing Feb 19, 2026HNW share of RAUM moved from 79.0% to 10.0% between the annual amendments of 2025-02-07 and 2026-02-19peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 443 to 441Feb 7, 2025 to Feb 19, 2026
- Advisory activities · 3 to 4Feb 7, 2025 to Feb 19, 2026
- HNW clients · 72 to 60Feb 7, 2025 to Feb 19, 2026
- Individual clients · 80 to 95Feb 7, 2025 to Feb 19, 2026
- Assets in custody · $4.7M to $87.0MFeb 7, 2025 to Feb 19, 2026
- Discretionary RAUM · $134M to $152MFeb 7, 2025 to Feb 19, 2026
- HNW RAUM · $106M to $15.6MFeb 7, 2025 to Feb 19, 2026
- Individual RAUM · $22.9M to $131MFeb 7, 2025 to Feb 19, 2026
- Pooled vehicle RAUM · $4.7M to $5.0MFeb 7, 2025 to Feb 19, 2026
- RAUM · $134M to $152MFeb 7, 2025 to Feb 19, 2026
- Wrap assets (manager) · $129M to $147MFeb 7, 2025 to Feb 19, 2026
- Wrap assets (sponsor) · $129M to $147MFeb 7, 2025 to Feb 19, 2026
- Accounts · 421 to 443Jun 28, 2024 to Feb 7, 2025
- HNW clients · 47 to 72Jun 28, 2024 to Feb 7, 2025
- Individual clients · 94 to 80Jun 28, 2024 to Feb 7, 2025
- Assets in custody · $4.1M to $4.7MJun 28, 2024 to Feb 7, 2025
- Financial planning clients · 0 to 0Jun 28, 2024 to Feb 7, 2025
- Discretionary RAUM · $106M to $134MJun 28, 2024 to Feb 7, 2025
- HNW RAUM · $62.5M to $106MJun 28, 2024 to Feb 7, 2025
- Individual RAUM · $39.3M to $22.9MJun 28, 2024 to Feb 7, 2025
- Pooled vehicle RAUM · $4.1M to $4.7MJun 28, 2024 to Feb 7, 2025
- RAUM · $106M to $134MJun 28, 2024 to Feb 7, 2025
- Wrap assets (manager) · $102M to $129MJun 28, 2024 to Feb 7, 2025
- Wrap assets (sponsor) · $102M to $129MJun 28, 2024 to Feb 7, 2025
- Accounts · 250 to 421Sep 26, 2016 to Feb 29, 2024
- Advisory employees · 2 to 3Sep 26, 2016 to Feb 29, 2024
- HNW clients · unset to 47.0Sep 26, 2016 to Feb 29, 2024
- Individual clients · unset to 94.0Sep 26, 2016 to Feb 29, 2024
- Pooled vehicle clients · unset to 1.0Sep 26, 2016 to Feb 29, 2024
- Assets in custody · unset to 4113000.0Sep 26, 2016 to Feb 29, 2024
- Custody of client assets · false to trueSep 26, 2016 to Feb 29, 2024
- Employees · 2 to 3Sep 26, 2016 to Feb 29, 2024
- HQ city · SAN FRANCISCO to PALO ALTOSep 26, 2016 to Feb 29, 2024
- State-registered IARs · 2 to 3Sep 26, 2016 to Feb 29, 2024
- Other offices · unset to 0.0Sep 26, 2016 to Feb 29, 2024
- Private funds · unset to 1Sep 26, 2016 to Feb 29, 2024
- Discretionary RAUM · $39.0M to $106MSep 26, 2016 to Feb 29, 2024
- HNW RAUM · unset to 62542000.0Sep 26, 2016 to Feb 29, 2024
- Individual RAUM · unset to 39349000.0Sep 26, 2016 to Feb 29, 2024
- Pooled vehicle RAUM · unset to 4113000.0Sep 26, 2016 to Feb 29, 2024
Signals
1 dated events
- R•• C•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 17, 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
- Website
- REDC••••WEALTH.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 415-316-0982reportedpublic record, Form ADV, Feb 19, 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
- $75.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026