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•• F•••••••• A•••••••• L•••
Latest filing Sep 2, 2026
First filing on the tape Mar 30, 2022 · 12 filings
SEC status approved since May 2, 2022
RAUM
$167M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$167M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$33.4M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$167M as of Mar 20, 2026
Mar 21, 2023$110M then
HNW client RAUM$131M as of Mar 20, 2026
Mar 21, 2023$30.0M then
State-registered IARs (5.B.3)5 as of Mar 20, 2026
Mar 21, 20233 then
Employees (5.A)8 as of Mar 20, 2026
Mar 21, 20234 then
Private funds: no history
RAUM +11% over the last fiscal year+15% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Sep 2, 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
- $33.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $354,562derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -19%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$131M79%
- Individuals$35.8M21%
- Corporations and businesses$102,4670.1%
- Individual clients
- 111reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 471reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| I•• H••••• F••••••Certified Financial Planner | San Francisco, Ca | Aug 6, 2025 | 25 y | 4 |
| M•••••• R•••• S•• M••••• L•••• | San Francisco, Ca | Aug 20, 2025 | 11 y | 2 |
| S•••• N••••• I••••Certified Financial Planner | San Francisco, Ca | Sep 4, 2025 | 10 y | 1 |
| V••••• C••••••••• F•• | San Francisco, Ca | Dec 15, 2025 | 11 y | 0 |
| E•••••••• M•• P••••••Certified Financial Planner | San Francisco, Ca | Jan 7, 2026 | 12 y | 0 |
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 headcount1 left over 36 months
Left, latest
- F•••• C••••• to C•••••••• F••••••••• L••Jul 5, 2024 · RIA to a state-registered adviser
Joined, latest
- S•••• N••••• I•••• from M••••• G••••• A••••••• I•••Sep 4, 2025 · Other
- M•••••• R•••• S•• M••••• L•••• from F•••••••Aug 20, 2025 · Other
- I•• H••••• F•••••• from S•••• W••••• M•••••••••Aug 6, 2025 · RIA to RIA
- F•••• C••••• from C••••• P••••••• L••May 30, 2023 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• I••• H••••• · Managing Membercontrolsince 10/2003 · owns 75% or more
- P••••••• E••••••••• M•• · Member/Chief Compliance Officercontrolsince 12/2017 · owns 10% to 25%
- S•• M••••• L••••• M••••••• R•••• · Investment Advisor Representative & Membersince 01/2021 · owns 5% to 10%
Related persons
Schedule D 7.A
- C•••••••• F••••••••• L••investment advisern
- N••••• F••••••••investment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Francisco, Ca · principal | 5 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 11-25 to 11-25Mar 20, 2026 to Sep 2, 2026
- Succession · false to unsetMar 20, 2026 to Sep 2, 2026
- Accounts · 576 to 471Sep 2, 2025 to Mar 20, 2026
- Advisory employees · 4 to 5Sep 2, 2025 to Mar 20, 2026
- Charity clients · unset to 1.0Sep 2, 2025 to Mar 20, 2026
- Corporate clients · unset to 1.0Sep 2, 2025 to Mar 20, 2026
- HNW clients · 42 to 49Sep 2, 2025 to Mar 20, 2026
- Individual clients · 156 to 111Sep 2, 2025 to Mar 20, 2026
- Employees · 6 to 8Sep 2, 2025 to Mar 20, 2026
- State-registered IARs · 4 to 5Sep 2, 2025 to Mar 20, 2026
- Discretionary RAUM · $150M to $167MSep 2, 2025 to Mar 20, 2026
- HNW RAUM · $110M to $131MSep 2, 2025 to Mar 20, 2026
- Individual RAUM · $39.9M to $35.8MSep 2, 2025 to Mar 20, 2026
- RAUM · $150M to $167MSep 2, 2025 to Mar 20, 2026
- Advisory employees · 5 to 4Mar 18, 2025 to Sep 2, 2025
- Employees · 7 to 6Mar 18, 2025 to Sep 2, 2025
- State-registered IARs · 5 to 4Mar 18, 2025 to Sep 2, 2025
- Accounts · 453 to 576Sep 3, 2024 to Mar 18, 2025
- HNW clients · 34 to 42Sep 3, 2024 to Mar 18, 2025
- Individual clients · 300 to 156Sep 3, 2024 to Mar 18, 2025
- Employees · 6 to 7Sep 3, 2024 to Mar 18, 2025
- Financial planning clients · 26-50 to 11-25Sep 3, 2024 to Mar 18, 2025
- Discretionary RAUM · $134M to $150MSep 3, 2024 to Mar 18, 2025
- HNW RAUM · $75.7M to $110MSep 3, 2024 to Mar 18, 2025
- Individual RAUM · $58.0M to $39.9MSep 3, 2024 to Mar 18, 2025
- RAUM · $134M to $150MSep 3, 2024 to Mar 18, 2025
- Accounts · 434 to 453Mar 27, 2024 to Sep 3, 2024
- Advisory employees · 3 to 5Mar 27, 2024 to Sep 3, 2024
- HNW clients · 32 to 34Mar 27, 2024 to Sep 3, 2024
- Individual clients · 190 to 300Mar 27, 2024 to Sep 3, 2024
- Employees · 5 to 6Mar 27, 2024 to Sep 3, 2024
- Insurance-licensed employees · 0 to 1Mar 27, 2024 to Sep 3, 2024
- State-registered IARs · 3 to 5Mar 27, 2024 to Sep 3, 2024
- Discretionary RAUM · $120M to $134MMar 27, 2024 to Sep 3, 2024
- HNW RAUM · $70.0M to $75.7MMar 27, 2024 to Sep 3, 2024
- Individual RAUM · $50.0M to $58.0MMar 27, 2024 to Sep 3, 2024
- RAUM · $120M to $134MMar 27, 2024 to Sep 3, 2024
- Accounts · 400 to 434Jun 6, 2023 to Mar 25, 2024
- Advisory employees · 5 to 3Jun 6, 2023 to Mar 25, 2024
- HNW clients · 20 to 32Jun 6, 2023 to Mar 25, 2024
Signals
2 dated events
- F•••• C••••• left S•• F•••••••• A•••••••• L••• for C•••••••• F••••••••• L•• (registered 2023-06-30)Jul 5, 2024 · Advisor changed firm · fact
- S•• F•••••••• A•••••••• L••• filed its initial SEC registration (Form ADV)Mar 30, 2022 · 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 email
- ira@sasadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- nasira@sasadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- zay@sasadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 415-277-5955reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 415-340-2559reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 415-617-5985reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-277-5955reportedpublic record, Form ADV, Sep 2, 2026
- Team page
- sasadvisors.com/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
- $33.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026