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
S•••••• P•••••• W•••••• L••
Latest filing Jul 24, 2026
First filing on the tape Feb 25, 2020 · 27 filings
SEC status approved since Apr 19, 2024
RAUM
$178M
reported, Item 5.F
Discretionary
3.8%
of RAUM
Private clients
96%
$171M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$44.5M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$178M as of Jul 24, 2026
Jan 25, 2021$70.0M then
HNW client RAUM$158M as of Jul 24, 2026
Jan 25, 2021$59.5M then
State-registered IARs (5.B.3)4 as of Jul 24, 2026
Jan 25, 20214 then
Employees (5.A)4 as of Jul 24, 2026
Jan 25, 20215 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Jul 24, 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
- RAUM per advisor
- $44.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $550,499derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 3.8%derivedof RAUM
- Institutional
- 4.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.6%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$158M89%
- Individuals$13.0M7.3%
- Charitable organizations$3.8M2.1%
- Pension and profit-sharing plans$3.3M1.9%
- Corporations and businesses$103,6360.1%
- Individual clients
- 36reported
- HNW clients
- 47reported
- Pension plan clients
- 3reported
- Charitable clients
- 1reported
- Accounts
- 323reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••••••• G••• W•••••••Certified Financial Planner | Fremont, Ca | Jul 13, 2016 | 39 y | 1 |
| C•••• J••• C••••••••• | Fremont, Ca | Jan 6, 2017 | 10 y | 0 |
| S•••• T••••• S•••• | Fremont, Ca | Mar 6, 2019 | 28 y | 0 |
| P•••• C•• V••••••Certified Financial Planner | Fremont, Ca | Aug 10, 2020 | 37 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
- R•••••• C•••••• M••••••••• to S••••• P•••••• W••••• L••Jul 14, 2020 · RIA to RIA
- A•••••• C••••• to O•• S••••• H••••• • W••••• M•••••••••Dec 22, 2016 · Other
Joined, latest
- P•••• C•• V•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 10, 2020 · Wirehouse to independent RIA
- R•••••• C•••••• M••••••••• from B•••••••••Feb 9, 2018 · Other
- A•••••• C••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 6, 2016 · Wirehouse to independent RIA
- P••••••• G••• W••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 13, 2016 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• C••••• J••• · Chief Operating Officer/Chief Compliance Officercontrolsince 04/2016 · owns 25% to 50%
- W•••••••• P•••••••• G••• · Chief Executive Officercontrolsince 04/2016 · owns 25% to 50%
- S••••• S••••• T••••• · Passive Owner, Managing Directorsince 08/2018 · owns 25% to 50%
- V••••••• P••••• C•• · Managing Directorsince 01/2024 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Fremont, Ca | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 325 to 323Apr 25, 2025 to Jan 22, 2026
- Corporate clients · 4 to 2Apr 25, 2025 to Jan 22, 2026
- HNW clients · 45 to 47Apr 25, 2025 to Jan 22, 2026
- Individual clients · 42 to 36Apr 25, 2025 to Jan 22, 2026
- Pension plan clients · 4 to 3Apr 25, 2025 to Jan 22, 2026
- Discretionary RAUM · $2.9M to $6.7MApr 25, 2025 to Jan 22, 2026
- HNW RAUM · $118M to $158MApr 25, 2025 to Jan 22, 2026
- Individual RAUM · $23.5M to $13.0MApr 25, 2025 to Jan 22, 2026
- Non-discretionary RAUM · $148M to $171MApr 25, 2025 to Jan 22, 2026
- Pension RAUM · $3.3M to $3.3MApr 25, 2025 to Jan 22, 2026
- RAUM · $151M to $178MApr 25, 2025 to Jan 22, 2026
- Financial planning clients · 51-100 to 51-100Jan 30, 2025 to Apr 25, 2025
- Accounts · 272 to 325May 8, 2024 to Jan 30, 2025
- Corporate clients · 3 to 4May 8, 2024 to Jan 30, 2025
- HNW clients · 39 to 45May 8, 2024 to Jan 30, 2025
- Individual clients · 38 to 42May 8, 2024 to Jan 30, 2025
- Pension plan clients · 5 to 4May 8, 2024 to Jan 30, 2025
- HQ city · unset to May 8, 2024 to Jan 30, 2025
- HQ state · unset to May 8, 2024 to Jan 30, 2025
- Discretionary RAUM · $1.3M to $2.9MMay 8, 2024 to Jan 30, 2025
- HNW RAUM · $94.6M to $118MMay 8, 2024 to Jan 30, 2025
- Individual RAUM · $15.3M to $23.5MMay 8, 2024 to Jan 30, 2025
- Non-discretionary RAUM · $116M to $148MMay 8, 2024 to Jan 30, 2025
- Pension RAUM · $2.6M to $3.3MMay 8, 2024 to Jan 30, 2025
- RAUM · $117M to $151MMay 8, 2024 to Jan 30, 2025
- Accounts · 155 to 272Jun 23, 2021 to Mar 21, 2024
- BD registered reps · 4 to 1Jun 23, 2021 to Mar 21, 2024
- Corporate clients · 1 to 3Jun 23, 2021 to Mar 21, 2024
- HNW clients · 23 to 39Jun 23, 2021 to Mar 21, 2024
- Individual clients · 14 to 38Jun 23, 2021 to Mar 21, 2024
- Pension plan clients · 3 to 5Jun 23, 2021 to Mar 21, 2024
- Financial planning clients · 26-50 to 51-100Jun 23, 2021 to Mar 21, 2024
- Other offices · 1 to 0Jun 23, 2021 to Mar 21, 2024
- Discretionary RAUM · $3.0M to $1.3MJun 23, 2021 to Mar 21, 2024
- HNW RAUM · $59.5M to $94.6MJun 23, 2021 to Mar 21, 2024
- Individual RAUM · $5.1M to $15.3MJun 23, 2021 to Mar 21, 2024
- Non-discretionary RAUM · $67.0M to $116MJun 23, 2021 to Mar 21, 2024
- Pension RAUM · $1.4M to $2.6MJun 23, 2021 to Mar 21, 2024
- RAUM · $70.0M to $117MJun 23, 2021 to Mar 21, 2024
- Related adviser · true to falseJun 23, 2021 to Mar 21, 2024
Signals
1 dated events
- S•••••• P•••••• W•••••• L•• filed its initial SEC registration (Form ADV)Feb 25, 2020 · 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
- 408-645-6701reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 408-645-6790reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 408-645-6791reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 408-645-6790reportedpublic record, Form ADV, Jul 24, 2026
- Contact form
- siliconprivatewealth.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- siliconprivatewealth.com/our-teamreportedpublished 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
- $44.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026