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RIA Intelligence

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SEC-registered adviser

D•••• A••••••••• L••

Independent wealth managerSausalito, CaliforniaCRD 286434SEC 801-132565websiteIAPD
Latest filing Mar 30, 2026
First filing on the tape May 21, 2025 · 2 filings
SEC status approved since Jun 17, 2025
RAUM
$332M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
70%
$233M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$166M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$332M as of Mar 30, 2026
May 21, 2025$210M then
HNW client RAUM$233M as of Mar 30, 2026
May 21, 2025$152M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
May 21, 20252 then
Employees (5.A)3 as of Mar 30, 2026
May 21, 20253 then
Private funds3 as of Mar 30, 2026
May 21, 20253 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 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
  • Multi-family-office-like · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, average HNW client assets at least $25M, fewer than 200 HNW clients, and business name contains 'family office' or private funds are reported
  • 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
  • UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
RAUM per advisor
$166MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$58.3MderivedHNW RAUM over HNW clients
Average account
$47.4MderivedRAUM 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$99.0M, 4 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$233M70%
  • Pooled investment vehicles$99.0M30%
Individual clients
n/areported
HNW clients
4reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$99.0M for 4 clientsreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.7 fund_share=0.3 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
NameBranchHere sinceIn industryPrior firms
J••••• I••• P•••••••Sausalito, CaApr 7, 201712 y0
P•••••• J•••• K•••••Western Springs, IlJul 18, 201813 y0
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
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • P•••••••• J•••••• I••• · Managing Partner, Head Portfolio Manager Strategycontrol
        since 01/2015 · owns 75% or more
      • G••••••• B••••• C••••••• · Chief Operating Officer
        since 01/2022 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 9 to 7
        May 21, 2025 to Mar 30, 2026
      • HNW clients · 5 to 4
        May 21, 2025 to Mar 30, 2026
      • Assets in custody · $62.0M to $99.0M
        May 21, 2025 to Mar 30, 2026
      • Discretionary RAUM · $210M to $332M
        May 21, 2025 to Mar 30, 2026
      • HNW RAUM · $152M to $233M
        May 21, 2025 to Mar 30, 2026
      • Pooled vehicle RAUM · $58.1M to $99.0M
        May 21, 2025 to Mar 30, 2026
      • RAUM · $210M to $332M
        May 21, 2025 to Mar 30, 2026
      Signals
      1 dated events
      • D•••• A••••••••• L•• reported RAUM $332.1M, up 58% from $210.0M (2025-05-21 to 2026-03-30)
        Mar 30, 2026 · RAUM change · derived
      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
      415-480-0485reportedpublished by the firm, firm site, Sep 16, 2026
      Website
      d•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
      Principal office phone
      415-480-0485reportedpublic record, Form ADV, Mar 30, 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
      $166Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026