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••••• I••••••••
Legal name I••••• I••••••••• I•••
Latest filing Aug 5, 2026
First filing on the tape Feb 19, 2020 · 22 filings
SEC status approved since Mar 20, 2020
RAUM
$318M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
88%
$280M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$106M
derived; firm RAUM over IAPD count
Employees
9
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$318M as of Aug 5, 2026
Mar 30, 2021$222M then
HNW client RAUM$183M as of Aug 5, 2026
Mar 30, 2021$146M then
State-registered IARs (5.B.3)5 as of Aug 5, 2026
Mar 30, 20213 then
Employees (5.A)9 as of Aug 5, 2026
Mar 30, 20215 then
Private funds1 as of Aug 5, 2026
Mar 30, 20211 then
RAUM +12% over the last fiscal year+10.0% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Aug 5, 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $106MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $413,821derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $206M, 423 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
- is an insurance broker or agent (6.A.6)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$183M58%
- Individuals$97.3M31%
- Pension and profit-sharing plans$35.6M11%
- Charitable organizations$2.0M0.6%
- Individual clients
- 168reported
- HNW clients
- 52reported
- Pension plan clients
- 16reported
- Charitable clients
- 1reported
- Accounts
- 769reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $206M for 423 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• G••••• Y••••••Certified Financial Planner | Aptos, Ca | Jan 1, 2025 | 21 y | 8 |
| B•••• D••••• D•••••••Chartered Financial Analyst | Savoy, Il | Apr 15, 2025 | 19 y | 2 |
| J•••• I••••• | Aptos, Ca | Aug 19, 2026 | 11 y | 1 |
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months1 left in 90 days1 joined in 90 daysdeparture rate 67% of current headcount3 left over 36 months
Left, latest
- C•••••••• L••••••• W•••••• to H•••• W••••• M•••••••••Jul 27, 2026 · RIA to a newly registered adviser
- I•• B•••••• M••••• to S••••••••• A••••••• A••••••• L••Jun 17, 2026 · RIA to RIA
- C••••••••• S••••••• A•••••• to B••••••••• C•••••• M••••••••• L••Mar 11, 2025 · RIA to RIA
- B•••••• G•••••• to C••••• A•••••••Jan 6, 2021 · RIA to RIA
- R•••• D••••• M••••• to A•••••• S••••• C••••••Jan 13, 2020 · RIA to RIA
Joined, latest
- J•••• I••••• from H••••••• S••••••••• F•••••••• S•••••••• I•••Aug 19, 2026 · RIA to RIA
- B•••• D••••• D••••••• from W•••• F•••• A•••••••Apr 15, 2025 · Wirehouse to independent RIA
- S•••• G••••• Y•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- R•••• D••••• M••••• from F•••• A••••••••• F•••••••• N•••••• L••Jan 3, 2019 · RIA to RIA
- I•• B•••••• M••••• from C••••••••• F•••••••• P••••••• P••Jun 29, 2018 · Other
- C•••••••• L••••••• W•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Feb 15, 2018 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C•••••••• I••••••••• R••••••• A•••••••• I•••Jun 26, 2018 · San Diego, Ca
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••• I••••• F••• I• | Private Equity Fund | $3.4M | 4 | Nov 5, 2020 |
Owners and control persons
Schedule A and B, latest filing
- W••••••• C••••••••• L••••••• · Principal Advisor And Ccocontrolsince 01/2017 · owns 50% to 75%
- Y••••••• S••••• G••••• · Principal Advisorcontrolsince 07/2015 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Aptos, Ca | 3 | 1 | 0 | ||
| Eugene, Or | 0 | 0 | 1 | ||
| Palatine, Il | 0 | 0 | 0 | ||
| San Francisco, Ca | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Related adviser · true to falseMay 1, 2026 to Jul 23, 2026
- HQ city · SAN FRANCISCO to Mar 27, 2026 to May 1, 2026
- HQ state · CA to Mar 27, 2026 to May 1, 2026
- Accounts · 770 to 769Aug 26, 2025 to Mar 27, 2026
- HNW clients · 54 to 52Aug 26, 2025 to Mar 27, 2026
- Individual clients · 170 to 168Aug 26, 2025 to Mar 27, 2026
- Assets in custody · $113M to $206MAug 26, 2025 to Mar 27, 2026
- Employees · 8 to 9Aug 26, 2025 to Mar 27, 2026
- Insurance-licensed employees · 0 to 1Aug 26, 2025 to Mar 27, 2026
- State-registered IARs · 4 to 5Aug 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $249M to $280MAug 26, 2025 to Mar 27, 2026
- HNW RAUM · $166M to $183MAug 26, 2025 to Mar 27, 2026
- Individual RAUM · $85.2M to $97.3MAug 26, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $33.7M to $38.4MAug 26, 2025 to Mar 27, 2026
- Pension RAUM · $28.8M to $35.6MAug 26, 2025 to Mar 27, 2026
- RAUM · $283M to $318MAug 26, 2025 to Mar 27, 2026
- Related adviser · false to trueAug 26, 2025 to Mar 27, 2026
- Accounts · 758 to 770Feb 21, 2024 to Apr 29, 2025
- Advisory employees · 5 to 8Feb 21, 2024 to Apr 29, 2025
- HNW clients · 56 to 54Feb 21, 2024 to Apr 29, 2025
- Individual clients · 161 to 170Feb 21, 2024 to Apr 29, 2025
- Pension plan clients · 18 to 16Feb 21, 2024 to Apr 29, 2025
- Assets in custody · unset to 113187652.0Feb 21, 2024 to Apr 29, 2025
- Custody of client assets · false to trueFeb 21, 2024 to Apr 29, 2025
- Employees · 5 to 8Feb 21, 2024 to Apr 29, 2025
- Financial planning clients · 101-250 to 101-250Feb 21, 2024 to Apr 29, 2025
- Other offices · 4 to 1Feb 21, 2024 to Apr 29, 2025
- Discretionary RAUM · $233M to $249MFeb 21, 2024 to Apr 29, 2025
- HNW RAUM · $162M to $166MFeb 21, 2024 to Apr 29, 2025
- Individual RAUM · $74.1M to $85.2MFeb 21, 2024 to Apr 29, 2025
- Non-discretionary RAUM · $35.1M to $33.7MFeb 21, 2024 to Apr 29, 2025
- Pension RAUM · $29.5M to $28.8MFeb 21, 2024 to Apr 29, 2025
- RAUM · $268M to $283MFeb 21, 2024 to Apr 29, 2025
- Accounts · 740 to 758Sep 28, 2023 to Feb 21, 2024
- Advisory employees · 4 to 5Sep 28, 2023 to Feb 21, 2024
- Individual clients · 171 to 161Sep 28, 2023 to Feb 21, 2024
- Pension plan clients · 16 to 18Sep 28, 2023 to Feb 21, 2024
- Employees · 4 to 5Sep 28, 2023 to Feb 21, 2024
- Insurance-licensed employees · 4 to 0Sep 28, 2023 to Feb 21, 2024
- Financial planning clients · 1-10 to 101-250Sep 28, 2023 to Feb 21, 2024
Signals
4 dated events
- C•••••••• L••••••• W•••••• left I••••• I•••••••• for H•••• W••••• M••••••••• (registered 2025-08-22)Jul 27, 2026 · Advisor changed firm · fact
- I•• B•••••• M••••• left I••••• I•••••••• for S••••••••• A••••••• A••••••• L•• (registered 2026-06-07)Jun 17, 2026 · Advisor changed firm · fact
- C••••••••• S••••••• A•••••• left I••••• I•••••••• for B••••••••• C•••••• M••••••••• L•• (registered 2025-03-14)Mar 11, 2025 · Advisor changed firm · fact
- I••••• I•••••••• filed its initial SEC registration (Form ADV)Feb 19, 2020 · ria f•••• adv filing · fact
Across DFX
shared identifiers only, never a name match
- I••••• I•••••••• · Independent Sponsorsshared crd · capital_provider
- I••••• I•••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 888-463-6861reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/the-impact-investorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- THEI•••••INVESTORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 888-463-6861reportedpublic record, Form ADV, Aug 5, 2026
- Contact form
- t•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $106Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026