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
T•••• • D•••••• W••••• M••••••••• L••
Latest filing Mar 12, 2026
First filing on the tape Dec 19, 2016 · 19 filings
SEC status approved since Apr 5, 2021
RAUM
$312M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$301M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$104M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$312M as of Mar 12, 2026
Mar 9, 2022$297M then
HNW client RAUM$265M as of Mar 12, 2026
Mar 9, 2022$246M then
State-registered IARs (5.B.3)3 as of Mar 12, 2026
Mar 9, 20223 then
Employees (5.A)3 as of Mar 12, 2026
Mar 9, 20223 then
Private funds: no history
RAUM +3.9% over the last fiscal year+8.0% a year over threeIARs 3 to 3offices 0 to 1
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
- 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
- $104MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $489,200derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.7%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 consultingreportedItem 5.G
- Custody
- $200M, 138 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$265M85%
- Individuals$36.1M12%
- Charitable organizations$11.2M3.6%
- Individual clients
- 118reported
- HNW clients
- 105reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 638reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $200M for 138 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• B•••• T••••Certified Financial Planner | Berkeley, Ca | Jan 23, 2017 | 26 y | 2 |
| G•••• L••••• D•••••• | Berkeley, Ca | Jan 23, 2017 | 23 y | 3 |
| N•••• W••••• C••••• | Santa Fe, Nm | Jan 1, 2025 | 31 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
- N•••• W••••• C••••• from M•••••• M••••Jan 1, 2025 · RIA to RIA
- J•••••• B•••• T•••• from L•• F•••••••• L••Jan 23, 2017 · Other
- G•••• L••••• D•••••• from L•• F•••••••• L••Jan 23, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from L•• F•••••••• L••Mar 3, 2017 · Berkeley, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• G••••• L••••• · Managing Membercontrolsince 01/2017 · owns 50% to 75%
- T••••• J••••••• B•••• · Managing Member & Chief Compliance Officercontrolsince 01/2017 · 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 |
|---|---|---|---|---|---|
| Berkeley, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 610 to 638Feb 4, 2025 to Mar 12, 2026
- HNW clients · 92 to 105Feb 4, 2025 to Mar 12, 2026
- Individual clients · 119 to 118Feb 4, 2025 to Mar 12, 2026
- Assets in custody · $131M to $200MFeb 4, 2025 to Mar 12, 2026
- Other offices · 0 to 1Feb 4, 2025 to Mar 12, 2026
- Discretionary RAUM · $300M to $312MFeb 4, 2025 to Mar 12, 2026
- HNW RAUM · $247M to $265MFeb 4, 2025 to Mar 12, 2026
- Individual RAUM · $36.9M to $36.1MFeb 4, 2025 to Mar 12, 2026
- RAUM · $300M to $312MFeb 4, 2025 to Mar 12, 2026
- Accounts · 596 to 610Jun 7, 2024 to Feb 4, 2025
- HNW clients · 85 to 92Jun 7, 2024 to Feb 4, 2025
- Individual clients · 123 to 119Jun 7, 2024 to Feb 4, 2025
- Assets in custody · $143M to $131MJun 7, 2024 to Feb 4, 2025
- Financial planning clients · 1-10 to 101-250Jun 7, 2024 to Feb 4, 2025
- Discretionary RAUM · $286M to $300MJun 7, 2024 to Feb 4, 2025
- HNW RAUM · $220M to $247MJun 7, 2024 to Feb 4, 2025
- Individual RAUM · $37.8M to $36.9MJun 7, 2024 to Feb 4, 2025
- RAUM · $286M to $300MJun 7, 2024 to Feb 4, 2025
- Wrap assets (manager) · 0.0 to unsetFeb 28, 2024 to Mar 7, 2024
- Wrap assets (sponsor) · 0.0 to unsetFeb 28, 2024 to Mar 7, 2024
- Accounts · 585 to 596Sep 5, 2023 to Feb 28, 2024
- HNW clients · 76 to 85Sep 5, 2023 to Feb 28, 2024
- Individual clients · 126 to 123Sep 5, 2023 to Feb 28, 2024
- Assets in custody · $167M to $143MSep 5, 2023 to Feb 28, 2024
- Discretionary RAUM · $248M to $286MSep 5, 2023 to Feb 28, 2024
- HNW RAUM · $185M to $220MSep 5, 2023 to Feb 28, 2024
- Individual RAUM · $32.5M to $37.8MSep 5, 2023 to Feb 28, 2024
- RAUM · $248M to $286MSep 5, 2023 to Feb 28, 2024
- Accounts · 583 to 585Mar 9, 2022 to Mar 27, 2023
- HNW clients · 77 to 76Mar 9, 2022 to Mar 27, 2023
- Individual clients · 119 to 126Mar 9, 2022 to Mar 27, 2023
- Assets in custody · $234M to $167MMar 9, 2022 to Mar 27, 2023
- Discretionary RAUM · $297M to $248MMar 9, 2022 to Mar 27, 2023
- HNW RAUM · $246M to $185MMar 9, 2022 to Mar 27, 2023
- Individual RAUM · $50.6M to $32.5MMar 9, 2022 to Mar 27, 2023
- RAUM · $297M to $248MMar 9, 2022 to Mar 27, 2023
- Accounts · 522 to 583Jun 10, 2021 to Mar 9, 2022
- Advisory employees · 4 to 3Jun 10, 2021 to Mar 9, 2022
- HNW clients · 61 to 77Jun 10, 2021 to Mar 9, 2022
- Individual clients · 127 to 119Jun 10, 2021 to Mar 9, 2022
Signals
2 dated events
- T•••• • D•••••• W••••• M••••••••• L•• reported RAUM $296.6M, up 125% from $131.7M (2021-06-10 to 2022-03-09)Mar 9, 2022 · RAUM change · derived
- T•••• • D•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 19, 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
- 510-898-1270reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 510-898-1604reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/topel-&-distasi-wealth-managementreportedpublic record, Form ADV, Sep 19, 2026
- Website
- w••.t••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 510-898-1270reportedpublic record, Form ADV, Mar 12, 2026
- Contact form
- t••••.comreportedpublished 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
- $104Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026