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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
R••• M••••••• C••••••• L••
Latest filing Jun 9, 2026
First filing on the tape Mar 28, 2024 · 5 filings
SEC status approved since Apr 29, 2024
RAUM
$222M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$220M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$222M
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
5 filings and snapshots on the tape
RAUM$222M as of Jun 9, 2026
Mar 12, 2025$186M then
HNW client RAUM$125M as of Jun 9, 2026
Mar 12, 2025$104M then
State-registered IARs (5.B.3)1 as of Jun 9, 2026
Mar 12, 20251 then
Employees (5.A)1 as of Jun 9, 2026
Mar 12, 20251 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jun 9, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $222MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 426derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $209,683derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%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
- +20%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, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$125M56%
- Individuals$95.2M43%
- Corporations and businesses$1.6M0.7%
- Pension and profit-sharing plans$320,7690.1%
- Individual clients
- 375reported
- HNW clients
- 51reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 1,059reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• R•••••• A••••Chartered Financial Analyst | Tiburon, Ca | Sep 18, 2017 | 32 y | 2 |
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
- S•••• R•••••• A•••• from N•••••••• A•••• M•••••••••Sep 18, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• S••••• R•••••• · Manager, Chief Compliance Officercontrolsince 05/2017 · owns 75% or more
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 · 910 to 1,059Mar 12, 2025 to Mar 17, 2026
- HNW clients · 44 to 51Mar 12, 2025 to Mar 17, 2026
- Individual clients · 324 to 375Mar 12, 2025 to Mar 17, 2026
- Discretionary RAUM · $185M to $222MMar 12, 2025 to Mar 17, 2026
- HNW RAUM · $104M to $125MMar 12, 2025 to Mar 17, 2026
- Individual RAUM · $77.6M to $95.2MMar 12, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $1.1M to $323,283Mar 12, 2025 to Mar 17, 2026
- Pension RAUM · $2.9M to $320,769Mar 12, 2025 to Mar 17, 2026
- RAUM · $186M to $222MMar 12, 2025 to Mar 17, 2026
- Accounts · 998 to 910May 21, 2024 to Mar 12, 2025
- Advisory activities · 3 to 4May 21, 2024 to Mar 12, 2025
- HNW clients · 40 to 44May 21, 2024 to Mar 12, 2025
- Individual clients · 300 to 324May 21, 2024 to Mar 12, 2025
- Financial planning clients · 0 to 1-10May 21, 2024 to Mar 12, 2025
- Discretionary RAUM · $137M to $185MMay 21, 2024 to Mar 12, 2025
- HNW RAUM · $79.4M to $104MMay 21, 2024 to Mar 12, 2025
- Individual RAUM · $55.2M to $77.6MMay 21, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $1.5M to $1.1MMay 21, 2024 to Mar 12, 2025
- Pension RAUM · $2.8M to $2.9MMay 21, 2024 to Mar 12, 2025
- RAUM · $138M to $186MMay 21, 2024 to Mar 12, 2025
Signals
1 dated events
- R••• M••••••• C••••••• L•• filed its initial SEC registration (Form ADV)Mar 28, 2024 · 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 phone
- 415-350-1355reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-350-1355reportedpublic record, Form ADV, Jun 9, 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
- $222Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026