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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Former SEC-registered adviser

E••• W••••• M••••••••• L••

Former SEC-registered adviserPetaluma, CaliforniaCRD 287882SEC 801-110382IAPD
Latest filing Nov 10, 2022
First filing on the tape Apr 3, 2017 · 38 filings
RAUM
$1.8B
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
92%
$1.7B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
26
14 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$1.8B as of Mar 23, 2022
Feb 8, 2018$521M then
HNW client RAUM$1.2B as of Mar 23, 2022
Feb 8, 2018$488M then
State-registered IARs (5.B.3)13 as of Mar 23, 2022
Feb 8, 20186 then
Employees (5.A)26 as of Mar 23, 2022
Feb 8, 20189 then
Private funds: no history
RAUM +30% over the last fiscal year+23% a year over threeIARs 13 to 14
Practice profile
derived from the filing of Nov 10, 2022; every figure names its basis
RAUM per advisor
$129MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
120derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.0MderivedHNW RAUM over HNW clients
Average account
$381,505derivedRAUM over accounts (5.F.2.f)
Discretionary
84%derivedof RAUM
Institutional
7.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.9derivedItem 5.A over advisors
Advisors per office
2.3derived6 offices incl. principal (1.F.5)
RAUM growth, one year
+30%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 assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Financial planning clients
1,676reportedItem 5.H
Wrap fee program
$13.9MreportedItem 5.I
Custody
$79.6M, 2,311 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.2B65%
  • Individuals$491M27%
  • Pension and profit-sharing plans$136M7.5%
  • Corporations and businesses$2.5M0.1%
  • Charitable organizations$1.2M0.1%
Individual clients
1,279reported
HNW clients
397reported
Pension plan clients
76reported
Charitable clients
2reported
Accounts
4,726reported
Financial planning clients
1,676reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$79.6M for 2,311 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • A••••• J•••••• C•••••••• C•••• · Member, Iarcontrol
    since 04/2018 · owns 5% to 10%
  • D•••••• J••••• C••••••••• · Member, Iar, Presidentcontrol
    since 02/2017 · owns 5% to 10%
  • D••••• W••••••• G••••• · Member, Iarcontrol
    since 02/2017 · owns 5% to 10%
  • J•••••••• N•••• B••••••• · Member, Iarcontrol
    since 02/2017 · owns 5% to 10%
  • S••••• J•••••• K• · Member, Iar, Chief Compliance Officercontrol
    since 08/2018 · owns 5% to 10%
  • B•••••• T•••••••• · Member
    since 04/2018 · owns 5% to 10%
  • C••••• M•••• S•••••• · Member, Iar
    since 12/2018 · owns 5% to 10%
  • G••••••••• T•••••• M•••••••• · Member, Iar
    since 07/2017 · owns 5% to 10%
  • J••••• D••••• R••••• · Member, Iar
    since 10/2018 · owns 5% to 10%
  • S•••• S••••••• D•••• · Member, Iar
    since 12/2021 · owns 5% to 10%
  • T•••••••• A•••••• E••• · Member, Iar
    since 05/5018 · owns 5% to 10%
Related persons
Schedule D 7.A
  • J••••• N••••• S••••
    pooled vehicle sponsorn
  • W•••••• G••••• D••••
    pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
  • Mount Shasta, CA2 employees
  • Orinda, CA2 employees
  • Healdsburg, CA1 employees
  • Pleasanton, CA1 employees
  • , 1 employees
What changed
consecutive filings, newest first
  • Advisory employees · 13 to 14
    Jun 7, 2022 to Nov 10, 2022
  • State-registered IARs · 13 to 14
    Jun 7, 2022 to Nov 10, 2022
  • Other offices · 6 to 5
    Jun 7, 2022 to Nov 10, 2022
  • Other offices · 5 to 6
    Mar 23, 2022 to Jun 7, 2022
  • Accounts · 4,212 to 4,726
    Dec 8, 2021 to Mar 23, 2022
  • Advisory employees · 14 to 13
    Dec 8, 2021 to Mar 23, 2022
  • Advisory activities · 3 to 4
    Dec 8, 2021 to Mar 23, 2022
  • Charity clients · 5 to 2
    Dec 8, 2021 to Mar 23, 2022
  • Corporate clients · 0 to 4
    Dec 8, 2021 to Mar 23, 2022
  • HNW clients · 294 to 397
    Dec 8, 2021 to Mar 23, 2022
  • Individual clients · 1,148 to 1,279
    Dec 8, 2021 to Mar 23, 2022
  • Pension plan clients · 64 to 76
    Dec 8, 2021 to Mar 23, 2022
  • Commission compensation · true to false
    Dec 8, 2021 to Mar 23, 2022
  • Assets in custody · unset to 79621702.0
    Dec 8, 2021 to Mar 23, 2022
  • Custody of client assets · false to true
    Dec 8, 2021 to Mar 23, 2022
  • Employees · 14 to 26
    Dec 8, 2021 to Mar 23, 2022
  • State-registered IARs · 14 to 13
    Dec 8, 2021 to Mar 23, 2022
  • Discretionary RAUM · $1.3B to $1.5B
    Dec 8, 2021 to Mar 23, 2022
  • HNW RAUM · $873M to $1.2B
    Dec 8, 2021 to Mar 23, 2022
  • Individual RAUM · $398M to $491M
    Dec 8, 2021 to Mar 23, 2022
  • Non-discretionary RAUM · $91.9M to $291M
    Dec 8, 2021 to Mar 23, 2022
  • Pension RAUM · $96.4M to $136M
    Dec 8, 2021 to Mar 23, 2022
  • RAUM · $1.4B to $1.8B
    Dec 8, 2021 to Mar 23, 2022
  • Advisory employees · 13 to 14
    Mar 2, 2021 to May 19, 2021
  • Assets in custody · 130599978.0 to unset
    Mar 2, 2021 to May 19, 2021
  • Custody of client assets · true to false
    Mar 2, 2021 to May 19, 2021
  • Employees · 13 to 14
    Mar 2, 2021 to May 19, 2021
  • State-registered IARs · 13 to 14
    Mar 2, 2021 to May 19, 2021
  • Wrap assets (manager) · unset to 0.0
    Mar 2, 2021 to May 19, 2021
  • Wrap assets (sponsor) · unset to 0.0
    Mar 2, 2021 to May 19, 2021
  • Accounts · 4,008 to 4,212
    Feb 26, 2021 to Mar 2, 2021
  • Advisory employees · 6 to 13
    Feb 26, 2021 to Mar 2, 2021
  • Charity clients · 0 to 5
    Feb 26, 2021 to Mar 2, 2021
  • HNW clients · 299 to 294
    Feb 26, 2021 to Mar 2, 2021
  • Individual clients · 1,160 to 1,148
    Feb 26, 2021 to Mar 2, 2021
  • Pension plan clients · 58 to 64
    Feb 26, 2021 to Mar 2, 2021
  • Employees · 9 to 13
    Feb 26, 2021 to Mar 2, 2021
  • Financial planning clients · 0 to More than 500
    Feb 26, 2021 to Mar 2, 2021
  • State-registered IARs · 6 to 13
    Feb 26, 2021 to Mar 2, 2021
  • Discretionary RAUM · $941M to $1.3B
    Feb 26, 2021 to Mar 2, 2021
Signals
27 dated events
  • E••• W••••• M••••••••• L••'s advisors moved to C•••••• L•• (Petaluma, CA): 11 of 14 registered, on the same day
    Jan 5, 2023 · Firm absorbed (people side) · derived
  • S••• D••••• H•••••• left E••• W••••• M••••••••• L•• for C•••••• L•• (registered 2023-01-06)
    Jan 5, 2023 · Advisor changed firm · fact
  • W•••••• G••••• D•••• left E••• W••••• M••••••••• L•• for C•••••• L•• (registered 2023-01-09)
    Jan 5, 2023 · Advisor changed firm · fact
  • M••• S•••••• C•••• left E••• W••••• M••••••••• L•• for C•••••• L•• (registered 2023-01-12)
    Jan 5, 2023 · Advisor changed firm · fact
  • J••••• C•••••••• C•••• A•••• left E••• W••••• M••••••••• L•• for C•••••• L•• (registered 2026-01-12)
    Jan 5, 2023 · Advisor changed firm · fact
  • D•••• R••••• J•••• left E••• W••••• M••••••••• L•• for C•••••• L•• (registered 2023-01-12)
    Jan 5, 2023 · Advisor changed firm · fact
  • T••••• M•••••••• G•••••••• left E••• W••••• M••••••••• L•• for C•••••• L•• (registered 2024-10-23)
    Jan 5, 2023 · Advisor changed firm · fact
  • 2 advisors left E••• W••••• M••••••••• L•• (Reno, NV) for C•••••• L•• on the same day
    Jan 5, 2023 · Team lift-out · derived
  • C•••• A••••• C•••• left E••• W••••• M••••••••• L•• for C•••••• L•• (registered 2023-01-10)
    Jan 5, 2023 · Advisor changed firm · fact
  • J••••• K• S•••• left E••• W••••• M••••••••• L•• for C•••••• L•• (registered 2024-12-02)
    Jan 5, 2023 · Advisor changed firm · fact
  • R•••• L•••• P•••• left E••• W••••• M••••••••• L•• for C•••••• L•• (registered 2023-01-09)
    Jan 5, 2023 · Advisor changed firm · fact
  • G•••••••• T•••••• S•••••• left E••• W••••• M••••••••• L•• for C•••••• L•• (registered 2023-01-11)
    Jan 5, 2023 · Advisor changed firm · fact
  • S•••••• D•••• S••• left E••• W••••• M••••••••• L•• for C•••••• L•• (registered 2026-01-21)
    Jan 5, 2023 · Advisor changed firm · fact
  • N••• B••••••• J••••••• left E••• W••••• M••••••••• L•• for C•••••• L•• (registered 2023-01-09)
    Jan 5, 2023 · Advisor changed firm · fact
  • A••••• E••• T••••••• left E••• W••••• M••••••••• L•• for C•••••• L•• (registered 2026-01-01)
    Jan 5, 2023 · Advisor changed firm · fact
  • J•••• C••••••••• D••••• left E••• W••••• M••••••••• L•• for C•••••• L•• (registered 2026-02-04)
    Jan 5, 2023 · Advisor changed firm · fact
  • T•••• M• L•••••••• left E••• W••••• M••••••••• L•• for D••••• D•••••• I••••••••• G••••• L•• (registered 2023-06-12)
    Oct 26, 2022 · Advisor changed firm · fact
  • E••• W••••• M••••••••• L•• reported RAUM $1.8B, up 30% from $1.4B (2021-12-08 to 2022-03-23)
    Mar 23, 2022 · RAUM change · derived
  • E••• W••••• M••••••••• L•• reported RAUM $1.4B, up 37% from $1.0B (2021-02-26 to 2021-03-02)
    Mar 2, 2021 · RAUM change · derived
  • D•••• B•••••• (Member) no longer on Schedule A of E••• W••••• M••••••••• L•• (listed 2020-02-07, absent 2020-02-07)
    Feb 7, 2020 · Control person left · inference
  • E••• W••••• M••••••••• L•• reported RAUM $967.5M, up 86% from $520.6M (2019-03-08 to 2019-03-29)
    Mar 29, 2019 · RAUM change · derived
  • K J••••• S•••• (Managing Member) appeared on Schedule A of E••• W••••• M••••••••• L••
    Mar 8, 2019 · Control person joined · fact
  • S•••••• M••• C•••• (Managing Member) appeared on Schedule A of E••• W••••• M••••••••• L••
    Mar 8, 2019 · Control person joined · fact
  • R••••• D•••• J•••• (Managing Member) appeared on Schedule A of E••• W••••• M••••••••• L••
    Mar 8, 2019 · Control person joined · fact
  • E••• W••••• M••••••••• L•• reported RAUM $520.6M, up 54% from $339.0M (2017-11-29 to 2018-02-08)
    Feb 8, 2018 · RAUM change · derived
  • E••• W••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Apr 3, 2017 · Succession (Item 4) · fact
  • E••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    Apr 3, 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.
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
Former SEC-registered adviserderiveda 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