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
A••• V•• C••••••
Latest filing Mar 13, 2026
First filing on the tape Mar 13, 2026 · 1 filings
RAUM
$105M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
41%
$43.1M individuals and HNW
Advisors
n/a
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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
- RAUM per advisor
- $35.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $455,498derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- Other investment advisers$55.7M53%
- High-net-worth individuals$33.5M32%
- Individuals$9.6M9.2%
- Pension and profit-sharing plans$6.4M6.1%
- Corporations and businesses$15,9670.0%
- Individual clients
- 45reported
- HNW clients
- 15reported
- Pension plan clients
- 7reported
- Charitable clients
- n/areported
- Accounts
- 231reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $1.6M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- C••• M•••••• G••••• to A•••• G•••• C•••••• L••Apr 16, 2026 · Other
- D••••• G•••••••• to A•••• G•••• C•••••• L••Apr 16, 2026 · Other
Joined, latest
- C••• M•••••• G••••• from I•••••• W••••• S••••••••• L••Feb 26, 2020 · RIA to a state-registered adviser
- D••••• G•••••••• from I•••••• W••••• S••••••••• L••Oct 28, 2019 · RIA to a state-registered adviser
- P•••••• G••••• from P•• P•••••••• L••Feb 15, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for A•••• G•••• C•••••• L••Apr 16, 2026 · Pleasanton, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Pleasanton, Ca · principal | 1 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
3 dated events
- C••• M•••••• G••••• left A••• V•• C•••••• for A•••• G•••• C•••••• L•• (registered 2026-04-10)Apr 16, 2026 · Advisor changed firm · fact
- D••••• G•••••••• left A••• V•• C•••••• for A•••• G•••• C•••••• L•• (registered 2026-04-10)Apr 16, 2026 · Advisor changed firm · fact
- 2 advisors left A••• V•• C•••••• (Pleasanton, CA) for A•••• G•••• C•••••• L•• on the same dayApr 16, 2026 · Team lift-out · derived
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
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 925-694-0090reportedpublic record, Form ADV, Mar 13, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026