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
I•• A•••• M••••••••• L••
Latest filing Jan 24, 2023
First filing on the tape Jan 6, 2017 · 19 filings
SEC status approved since Jan 11, 2017
RAUM
$92.1M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
93%
$85.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
19 filings and snapshots on the tape
RAUM$92.1M as of Jan 24, 2023
Mar 5, 2018$109M then
HNW client RAUM$75.8M as of Jan 24, 2023
Mar 5, 2018$86.6M then
State-registered IARs (5.B.3)1 as of Jan 24, 2023
Mar 5, 20182 then
Employees (5.A)1 as of Jan 24, 2023
Mar 5, 20182 then
Private funds: no history
RAUM -18% over the last fiscal year-1.2% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 24, 2023; 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $92.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $575,468derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 7.4%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
- -18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -16%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$75.8M82%
- Individuals$9.5M10%
- Pension and profit-sharing plans$6.8M7.4%
- Individual clients
- 26reported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 160reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- M•••••• A•••••• L•••••••• to F••••••Dec 31, 2023 · RIA to RIA
- K•••••• S•••• R•••••• to F••••••• W••••• A•••••••• L••Dec 31, 2020 · RIA to RIA
Joined, latest
- M•••••• A•••••• L•••••••• from I••••••••• W••••• C••••••• L••May 30, 2018 · Other
- K•••••• S•••• R•••••• from C•••••• W••••• M•••••••••Jun 29, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••••• M••••••• A•••••• · Managing Member And Chief Compliance Officercontrolsince 12/2016 · owns less than 5%
- L••••••••• M••••••• A•••••• · Ownercontrolsince 01/2020 · owns 75% or more of I••••••••• W••••• C••••••• I•••
Entity owners
- I••••••••• W••••• C••••••• I••• · Ownerdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Pleasanton, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 167 to 160Feb 11, 2022 to Jan 24, 2023
- HNW clients · 30 to 27Feb 11, 2022 to Jan 24, 2023
- Individual clients · 33 to 26Feb 11, 2022 to Jan 24, 2023
- Discretionary RAUM · $105M to $85.2MFeb 11, 2022 to Jan 24, 2023
- HNW RAUM · $95.6M to $75.8MFeb 11, 2022 to Jan 24, 2023
- Individual RAUM · $9.2M to $9.5MFeb 11, 2022 to Jan 24, 2023
- Non-discretionary RAUM · $7.7M to $6.8MFeb 11, 2022 to Jan 24, 2023
- Pension RAUM · $7.7M to $6.8MFeb 11, 2022 to Jan 24, 2023
- RAUM · $112M to $92.1MFeb 11, 2022 to Jan 24, 2023
- Accounts · 162 to 167Feb 24, 2021 to Feb 11, 2022
- HNW clients · 29 to 30Feb 24, 2021 to Feb 11, 2022
- Individual clients · 34 to 33Feb 24, 2021 to Feb 11, 2022
- Discretionary RAUM · $95.9M to $105MFeb 24, 2021 to Feb 11, 2022
- HNW RAUM · $85.7M to $95.6MFeb 24, 2021 to Feb 11, 2022
- Individual RAUM · $10.2M to $9.2MFeb 24, 2021 to Feb 11, 2022
- Non-discretionary RAUM · $3.6M to $7.7MFeb 24, 2021 to Feb 11, 2022
- Pension RAUM · $3.6M to $7.7MFeb 24, 2021 to Feb 11, 2022
- RAUM · $99.4M to $112MFeb 24, 2021 to Feb 11, 2022
- Accounts · 161 to 162Dec 24, 2020 to Feb 24, 2021
- Advisory employees · 2 to 1Dec 24, 2020 to Feb 24, 2021
- HNW clients · 28 to 29Dec 24, 2020 to Feb 24, 2021
- Individual clients · 38 to 34Dec 24, 2020 to Feb 24, 2021
- Employees · 3 to 1Dec 24, 2020 to Feb 24, 2021
- State-registered IARs · 2 to 1Dec 24, 2020 to Feb 24, 2021
- Discretionary RAUM · $92.4M to $95.9MDec 24, 2020 to Feb 24, 2021
- HNW RAUM · $78.6M to $85.7MDec 24, 2020 to Feb 24, 2021
- Individual RAUM · $13.8M to $10.2MDec 24, 2020 to Feb 24, 2021
- Non-discretionary RAUM · $3.1M to $3.6MDec 24, 2020 to Feb 24, 2021
- Pension RAUM · $3.1M to $3.6MDec 24, 2020 to Feb 24, 2021
- RAUM · $95.5M to $99.4MDec 24, 2020 to Feb 24, 2021
- HQ city · PLEASANTON to unsetJun 29, 2020 to Dec 24, 2020
- HQ state · CA to unsetJun 29, 2020 to Dec 24, 2020
- Other offices · 1 to 0Jun 29, 2020 to Dec 24, 2020
- Accounts · 149 to 161Oct 15, 2019 to Feb 27, 2020
- HNW clients · 27 to 28Oct 15, 2019 to Feb 27, 2020
- Individual clients · 19 to 38Oct 15, 2019 to Feb 27, 2020
- Discretionary RAUM · $88.2M to $92.4MOct 15, 2019 to Feb 27, 2020
- HNW RAUM · $74.7M to $78.6MOct 15, 2019 to Feb 27, 2020
- Individual RAUM · $13.6M to $13.8MOct 15, 2019 to Feb 27, 2020
- Non-discretionary RAUM · $2.9M to $3.1MOct 15, 2019 to Feb 27, 2020
Signals
2 dated events
- M•••••• A•••••• L•••••••• left I•• A•••• M••••••••• L•• for Farther (registered 2023-11-20)Dec 31, 2023 · Advisor changed firm · fact
- I•• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 6, 2017 · 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
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 925-257-0785reportedpublic record, Form ADV, Jan 24, 2023
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026