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

R••• W••••• M••••••••• S••••••• L••

Former SEC-registered adviserWalnut Creek, CaliforniaCRD 288688SEC 801-121226IAPD
Latest filing Jun 6, 2022
First filing on the tape Apr 14, 2021 · 8 filings
RAUM
$206M
reported, Item 5.F
Discretionary
64%
of RAUM
Private clients
75%
$155M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
8 filings and snapshots on the tape
RAUM$206M as of Jun 6, 2022
Apr 14, 2021$126M then
HNW client RAUM$125M as of Jun 6, 2022
Apr 14, 2021$66.3M then
State-registered IARs (5.B.3)3 as of Jun 6, 2022
Apr 14, 20213 then
Employees (5.A)3 as of Jun 6, 2022
Apr 14, 20213 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 6, 2022; every figure names its basis
RAUM per advisor
$68.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
44derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.0MderivedHNW RAUM over HNW clients
Average account
$455,579derivedRAUM over accounts (5.F.2.f)
Discretionary
64%derivedof RAUM
Institutional
22%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
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, hourlyreportedItem 5.E
Advisory activities
financial planningreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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$125M61%
  • Pension and profit-sharing plans$46.0M22%
  • Individuals$29.4M14%
  • Corporations and businesses$5.0M2.4%
  • Charitable organizations$202,8650.1%
Individual clients
91reported
HNW clients
42reported
Pension plan clients
1reported
Charitable clients
1reported
Accounts
452reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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
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
    • J••••••• B•••••• C•••••• · Chief Compliance Officercontrol
      since 05/2019 · owns less than 5%
    • N•••• T••••• · Executive Officercontrol
      since 11/2017 · owns less than 5%
    Entity owners
    • R••• A••••••••• C••••••••• · Sole Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • R••• A••••••••• C•••••••••
      insurancey
    • T••••• N•••
      insurancey
    Offices
    Schedule D 1.F, the 25 largest
    • San Francisco, CA2 employees
    What changed
    consecutive filings, newest first
    • Advisory employees · 2 to 3
      Jun 2, 2022 to Jun 6, 2022
    • Employees · 2 to 3
      Jun 2, 2022 to Jun 6, 2022
    • State-registered IARs · 2 to 3
      Jun 2, 2022 to Jun 6, 2022
    • Other offices · 2 to 1
      Jun 2, 2022 to Jun 6, 2022
    • HQ city · OAKLAND to WALNUT CREEK
      Feb 16, 2022 to Jun 1, 2022
    • Advisory employees · 5 to 2
      Jun 1, 2022 to Jun 1, 2022
    • Employees · 5 to 2
      Jun 1, 2022 to Jun 1, 2022
    • State-registered IARs · 5 to 2
      Jun 1, 2022 to Jun 1, 2022
    • Accounts · 222 to 452
      Jul 9, 2021 to Feb 16, 2022
    • Charity clients · 0 to 1
      Jul 9, 2021 to Feb 16, 2022
    • Corporate clients · 0 to 1
      Jul 9, 2021 to Feb 16, 2022
    • HNW clients · 28 to 42
      Jul 9, 2021 to Feb 16, 2022
    • Individual clients · 85 to 91
      Jul 9, 2021 to Feb 16, 2022
    • Discretionary RAUM · $78.8M to $132M
      Jul 9, 2021 to Feb 16, 2022
    • HNW RAUM · $66.3M to $125M
      Jul 9, 2021 to Feb 16, 2022
    • Individual RAUM · $21.6M to $29.4M
      Jul 9, 2021 to Feb 16, 2022
    • Non-discretionary RAUM · $47.7M to $73.6M
      Jul 9, 2021 to Feb 16, 2022
    • Pension RAUM · $38.6M to $46.0M
      Jul 9, 2021 to Feb 16, 2022
    • RAUM · $126M to $206M
      Jul 9, 2021 to Feb 16, 2022
    • Advisory activities · 2 to 1
      Apr 14, 2021 to Jul 9, 2021
    • Other offices · 1 to 2
      Apr 14, 2021 to Jul 9, 2021
    • Advisory employees · 3 to 5
      Jul 9, 2021 to Jul 9, 2021
    • Employees · 3 to 5
      Jul 9, 2021 to Jul 9, 2021
    • State-registered IARs · 3 to 5
      Jul 9, 2021 to Jul 9, 2021
    Signals
    4 dated events
    • V••••• A••••••• H••••••••• left R••• W••••• M••••••••• S••••••• L•• for A•••• W••••• M••••••••• L•• (registered 2022-08-10)
      Dec 21, 2022 · Advisor changed firm · fact
    • Mahendra Roshan Weeramantry (Manager) no longer on Schedule A of R••• W••••• M••••••••• S••••••• L•• (listed 2022-02-16, absent 2022-06-01)
      Jun 1, 2022 · Control person left · inference
    • R••••• M••••••• W••••••••• left R••• W••••• M••••••••• S••••••• L•• for H••••• A••••••• L•• (registered 2022-08-22)
      May 26, 2022 · Advisor changed firm · fact
    • R••• W••••• M••••••••• S••••••• L•• filed its initial SEC registration (Form ADV)
      Apr 14, 2021 · 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