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
V••••• W••••• S••••••••• L••
Latest filing Jun 1, 2026
First filing on the tape Mar 30, 2018 · 27 filings
SEC status approved since Apr 27, 2018
RAUM
$1.4B
reported, Item 5.F
Discretionary
31%
of RAUM
Private clients
94%
$1.4B individuals and HNW
Advisors
23
registered through the firm on IAPD
RAUM per advisor
$62.9M
derived; firm RAUM over IAPD count
Employees
59
26 advisory (5.B.1)
Offices
21
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$1.4B as of Jun 1, 2026
Mar 25, 2019$560M then
HNW client RAUM$495M as of Jun 1, 2026
Mar 25, 2019$30.0M then
State-registered IARs (5.B.3)26 as of Jun 1, 2026
Mar 25, 201930 then
Employees (5.A)59 as of Jun 1, 2026
Mar 25, 201935 then
Private funds: no history
RAUM +20% over the last fiscal year+12% a year over threeIARs 26 to 26offices 20 to 21
Practice profile
derived from the filing of Jun 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $62.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 172derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $213,722derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 31%derivedof RAUM
- Institutional
- 5.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.6derivedItem 5.A over advisors
- Advisors per office
- 1.0derived22 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
- -19%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $98.2M, 206 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$871M60%
- High-net-worth individuals$495M34%
- Charitable organizations$41.7M2.9%
- Pension and profit-sharing plans$38.0M2.6%
- Corporations and businesses$2.5M0.2%
- Individual clients
- 3,689reported
- HNW clients
- 277reported
- Pension plan clients
- 68reported
- Charitable clients
- 16reported
- Accounts
- 6,774reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $98.2M for 206 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=26.0derived
Advisors registered through the firm
23 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• A•• K•••••• | Santa Monica, Ca | Oct 20, 2017 | 39 y | 2 |
| C••••• C••• C••• W•••Certified Financial Planner | Placentia, Ca | Oct 20, 2017 | 11 y | 2 |
| D••••• J•••• B••••• | Newport Beach, Ca | Oct 20, 2017 | 26 y | 2 |
| J•••• M•••• P• S••••••• | Lake Forest, Ca | Oct 20, 2017 | 32 y | 2 |
| P••••• J••••• Z•••••Certified Financial Planner | Lodi, Ca | Oct 20, 2017 | 24 y | 3 |
| D•••• A••• S•••••Certified Financial Planner | Redwood City, Ca | Oct 20, 2017 | 19 y | 2 |
| E••••• G••••• B•••• | Lake Forest, Ca | Oct 20, 2017 | 32 y | 2 |
| N••••• K•••• K••••••• | Sonora, Ca | Oct 20, 2017 | 22 y | 4 |
| J••••• C•••••••• S•••••••Certified Financial Planner | Walnut Creek, Ca | Oct 20, 2017 | 18 y | 5 |
| D••••• A••• R••••••Certified Financial Planner | Lodi, Ca | Oct 20, 2017 | 22 y | 3 |
| E••• E•••• H••••• | Sunnyvale, Ca | Dec 12, 2017 | 24 y | 6 |
| B••• W•••• | Brawley, Ca | Dec 12, 2017 | 21 y | 4 |
| D•••• J• P••••••• | Walnut Creek, Ca | Dec 12, 2017 | 34 y | 2 |
| O•••• S••••• | Lodi, Ca | Jan 4, 2018 | 38 y | 2 |
| E•••••• R••• M•••• | Santa Ana, Ca | Jan 18, 2018 | 26 y | 0 |
| P••••• B•••• B•••••• | Ventura, Ca | Jan 18, 2018 | 20 y | 2 |
| O•••• M••••••• | Lodi, Ca | Dec 20, 2018 | 17 y | 0 |
| M•••••• J••• M•••••• | Lodi, Ca | Jul 7, 2020 | 27 y | 0 |
| C•••• S••••• | Redwood City, Ca | Jul 7, 2022 | 15 y | 0 |
| A••••• M••••••••• | Santa Monica, Ca | Jul 25, 2022 | 21 y | 0 |
| D•••• A•••• B•••••••Certified Financial Planner, Chartered Financial Consultant | Lodi, Ca | Jul 29, 2024 | 31 y | 4 |
| K•••• P••••• R••• | Golden V•••••, Mn | Apr 11, 2025 | 15 y | 0 |
| G•••• D•••••••• | Lodi, Ca | Oct 13, 2025 | 11 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- N••••• K• M•••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Sep 3, 2025 · RIA to affiliated broker-dealer or bank
- C•••••• S• V•••• to L•• F•••••••• L••Sep 12, 2023 · RIA to RIA
- E•••••• Z••••• D••••••• to S••••••••• A•••••• A•••••••• I•••Sep 12, 2023 · RIA to affiliated broker-dealer or bank
- J•••• M•••••• A•••• to P••••••••• S••••••••• C•••••••••Sep 27, 2019 · RIA to RIA
Joined, latest
- G•••• D•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 13, 2025 · Wirehouse to independent RIA
- D•••• A•••• B••••••• from M•••• F•••••••• A•••••••Jul 29, 2024 · RIA to RIA
- P••••• B•••• B•••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Jan 18, 2018 · Other
- N••••• K• M•••••••• from L•• F•••••••• L••Jan 12, 2018 · RIA to RIA
- O•••• S••••• from V••••• W••••• S•••••••••Jan 4, 2018 · Other
- J•••• M•••••• A•••• from L•• F•••••••• L••Dec 13, 2017 · RIA to RIA
- D•••• J• P••••••• from V••••• W••••• S•••••••••Dec 12, 2017 · Other
- E••• E•••• H••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Dec 12, 2017 · Other
- B••• W•••• from V••••• W••••• S•••••••••Dec 12, 2017 · Other
- K•••• A•• K•••••• from V••••• W••••• S•••••••••Oct 20, 2017 · Other
- D••••• A••• R•••••• from V••••• W••••• S•••••••••Oct 20, 2017 · Other
- N••••• K•••• K••••••• from V••••• W••••• S•••••••••Oct 20, 2017 · Other
- J•••• M•••• P• S••••••• from V••••• W••••• S•••••••••Oct 20, 2017 · Other
- C•••••• S• V•••• from V••••• W••••• S•••••••••Oct 20, 2017 · Other
- C••••• C••• C••• W••• from V••••• W••••• S•••••••••Oct 20, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from L•• F•••••••• L••Apr 4, 2018 · Alameda, Ca
- 14 joined from V••••• W••••• S•••••••••Dec 31, 2017 · Lake Forest, Ca · Firm absorbed
- 2 joined from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Nov 29, 2017 · Santa Cruz, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••• P••••• L•••• · Managing Membercontrolsince 01/2017 · owns 50% to 75%
- M•••••••• O•••• · Chief Compliance Officercontrolsince 03/2020 · owns less than 5%
- R••••••• D•••••• A••• · Managing Member & Presidentcontrolsince 01/2017 · owns 75% or more
Related persons
Schedule D 7.A
- C••• Z•• • A••••••••• I•••••••• S••••••• I•••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lodi, Ca · principal | 11 | 1 | 0 | ||
| Redwood City, Ca | 3 | 0 | 0 | ||
| Santa Monica, Ca | 2 | 0 | 0 | ||
| Walnut Creek, Ca | 2 | 0 | 0 | ||
| Lake Forest, Ca | 2 | 0 | 0 | ||
| Laguna Hills, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Menlo Park, CA3 employees
- Lake Forest, CA3 employees
- Walnut Creek, CA2 employees
- Napa, CA2 employees
- Placentia, CA2 employees
- San Dimas, CA1 employees
- Santa Ana, CA1 employees
- Santa Monica, CA1 employees
- Sonora, CA1 employees
- Sunnyvale, CA1 employees
- Ventura, CA1 employees
- Walnut Creek, CA1 employees
- Yuba City, CA1 employees
- Bakersfield, CA1 employees
- , 1 employees
- Brawley, CA1 employees
- Dana Point, CA1 employees
- Elma, WA1 employees
- Lake Forest, CA1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jun 1, 2026K••• P••••• L•••• (MANAGING MEMBER) left Schedule A between the filings of 2020-03-20 and 2026-06-01peers: independent wealth managers, $1B to $5B (1,362)
- employee count surgeChange between filings · filing Feb 27, 2026employees (Item 5.A) moved from 30.0 to 59.0 (+97.0%) between the annual amendments of 2025-04-07 and 2026-02-27; the peer median change was +4.0% (1050 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,050) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 8,131 to 6,774Nov 5, 2025 to Feb 27, 2026
- BD registered reps · 25 to 26Nov 5, 2025 to Feb 27, 2026
- Charity clients · 8 to 16Nov 5, 2025 to Feb 27, 2026
- Corporate clients · 9 to 5Nov 5, 2025 to Feb 27, 2026
- HNW clients · 351 to 277Nov 5, 2025 to Feb 27, 2026
- Individual clients · 4,527 to 3,689Nov 5, 2025 to Feb 27, 2026
- Pension plan clients · 10 to 68Nov 5, 2025 to Feb 27, 2026
- Assets in custody · $97.8M to $98.2MNov 5, 2025 to Feb 27, 2026
- Employees · 30 to 59Nov 5, 2025 to Feb 27, 2026
- Insurance-licensed employees · 1 to 16Nov 5, 2025 to Feb 27, 2026
- Financial planning clients · 101-250 to 251-500Nov 5, 2025 to Feb 27, 2026
- Other offices · 19 to 21Nov 5, 2025 to Feb 27, 2026
- Discretionary RAUM · $274M to $448MNov 5, 2025 to Feb 27, 2026
- HNW RAUM · $388M to $495MNov 5, 2025 to Feb 27, 2026
- Individual RAUM · $803M to $871MNov 5, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $931M to $999MNov 5, 2025 to Feb 27, 2026
- Pension RAUM · $3.3M to $38.0MNov 5, 2025 to Feb 27, 2026
- RAUM · $1.2B to $1.4BNov 5, 2025 to Feb 27, 2026
- Other offices · 20 to 19May 20, 2025 to Nov 5, 2025
- Financial planning clients · 101-250 to 101-250Apr 7, 2025 to May 20, 2025
- Other offices · 19 to 20Feb 20, 2025 to Apr 7, 2025
- Accounts · 4,110 to 8,131Jul 29, 2024 to Feb 20, 2025
- Advisory employees · 25 to 26Jul 29, 2024 to Feb 20, 2025
- BD registered reps · 26 to 25Jul 29, 2024 to Feb 20, 2025
- Charity clients · unset to 8.0Jul 29, 2024 to Feb 20, 2025
- Corporate clients · unset to 9.0Jul 29, 2024 to Feb 20, 2025
- HNW clients · 225 to 351Jul 29, 2024 to Feb 20, 2025
- Individual clients · 2,600 to 4,527Jul 29, 2024 to Feb 20, 2025
- Assets in custody · $73.0M to $97.8MJul 29, 2024 to Feb 20, 2025
- Insurance-licensed employees · 15 to 1Jul 29, 2024 to Feb 20, 2025
- State-registered IARs · 25 to 26Jul 29, 2024 to Feb 20, 2025
- Other offices · 22 to 19Jul 29, 2024 to Feb 20, 2025
- Discretionary RAUM · $175M to $274MJul 29, 2024 to Feb 20, 2025
- HNW RAUM · $247M to $388MJul 29, 2024 to Feb 20, 2025
- Individual RAUM · $766M to $803MJul 29, 2024 to Feb 20, 2025
- Non-discretionary RAUM · $846M to $931MJul 29, 2024 to Feb 20, 2025
- Pension RAUM · $7.8M to $3.3MJul 29, 2024 to Feb 20, 2025
- RAUM · $1.0B to $1.2BJul 29, 2024 to Feb 20, 2025
- Other offices · 21 to 22May 1, 2024 to Jul 29, 2024
- Accounts · 3,600 to 4,110Oct 13, 2023 to Mar 19, 2024
Signals
8 dated events
- N••••• K• M•••••••• left V••••• W••••• S••••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-09-02)Sep 3, 2025 · Advisor changed firm · fact
- E•••••• Z••••• D••••••• left V••••• W••••• S••••••••• L•• for S••••••••• A•••••• A•••••••• I••• (registered 2023-03-02)Sep 12, 2023 · Advisor changed firm · fact
- C•••••• S• V•••• left V••••• W••••• S••••••••• L•• for L•• F•••••••• L•• (registered 2017-11-29)Sep 12, 2023 · Advisor changed firm · fact
- V••••• W••••• S••••••••• L•• reported RAUM $718.0M, up 28% from $560.0M (2019-07-01 to 2020-03-20)Mar 20, 2020 · RAUM change · derived
- O•••• M••••••• (Chief Compliance Officer) appeared on Schedule A of V••••• W••••• S••••••••• L••Mar 20, 2020 · Control person joined · fact
- V••••• W••••• S••••••••• L•• reported 22 offices beyond its principal office, up from 12 (2018-05-07 to 2019-03-25)Mar 25, 2019 · Office count change · derived
- V••••• W••••• S••••••••• L•• reported RAUM $560.0M, up 192% from $191.7M (2018-05-07 to 2019-03-25)Mar 25, 2019 · RAUM change · derived
- V••••• W••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Mar 30, 2018 · 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
- 360-482-1110reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 360-482-8484reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- muelleriandfs.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (209) 366-1264reportedpublic record, Form ADV, Jun 1, 2026
- Contact form
- muelleriandfs.com/contactreportedpublished by the firm, firm site, Sep 15, 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
- $62.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026