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
L••••••• F•••••••• A•••••••• L••
Latest filing May 6, 2026
First filing on the tape Dec 1, 2017 · 21 filings
SEC status approved since Jan 5, 2018
RAUM
$384M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
83%
$319M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$192M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$384M as of May 6, 2026
Mar 30, 2019$191M then
HNW client RAUM$303M as of May 6, 2026
Mar 30, 2019$175M then
State-registered IARs (5.B.3)2 as of May 6, 2026
Mar 30, 20191 then
Employees (5.A)2 as of May 6, 2026
Mar 30, 20192 then
Private funds: no history
RAUM +9.3% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of May 6, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $192MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $909,656derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 83%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $79.1M, 51 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$303M79%
- Pension and profit-sharing plans$57.6M15%
- Individuals$16.0M4.2%
- Charitable organizations$6.5M1.7%
- Corporations and businesses$697,2970.2%
- Individual clients
- 46reported
- HNW clients
- 72reported
- Pension plan clients
- 2reported
- Charitable clients
- 3reported
- Accounts
- 422reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $79.1M for 51 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.83 fund_share=0.0 institutional_share=0.17 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• C•••••• H•••••••••Certified Financial Planner | San Rafael, Ca | May 18, 2018 | 31 y | 1 |
| C•••••• L•• H•••••••••Certified Financial Planner | San Rafael, Ca | Apr 22, 2026 | 10 y | 0 |
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 headcount1 left over 36 months
Left, latest
- D•••• A••••• N••• to T••• W•••••Jan 10, 2024 · Other
Joined, latest
- D•••• A••••• N••• from H•••••• S••••••••• I•••Apr 19, 2023 · Other
- T•••••• C•••••• H••••••••• from M•••• F•••••••• A••••••• L••May 18, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• C•••••• · Chief Compliance Officercontrolsince 10/2024 · owns less than 5%
- H••••••••• T••••••• C•••••• · Managing Membercontrolsince 11/2017 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Bernardsville, Nj | 2 | 1 | 0 | ||
| San Rafael, Ca | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 2 employees
What changed
consecutive filings, newest first
- Accounts · 429 to 422Apr 3, 2025 to Feb 19, 2026
- Pension plan clients · 3 to 2Apr 3, 2025 to Feb 19, 2026
- Assets in custody · $76.3M to $79.1MApr 3, 2025 to Feb 19, 2026
- Discretionary RAUM · $294M to $318MApr 3, 2025 to Feb 19, 2026
- HNW RAUM · $276M to $303MApr 3, 2025 to Feb 19, 2026
- Individual RAUM · $19.7M to $16.0MApr 3, 2025 to Feb 19, 2026
- Non-discretionary RAUM · $57.7M to $65.5MApr 3, 2025 to Feb 19, 2026
- Pension RAUM · $49.6M to $57.6MApr 3, 2025 to Feb 19, 2026
- RAUM · $351M to $384MApr 3, 2025 to Feb 19, 2026
- Accounts · 438 to 429Oct 23, 2024 to Apr 3, 2025
- Corporate clients · 1 to 2Oct 23, 2024 to Apr 3, 2025
- HNW clients · 43 to 72Oct 23, 2024 to Apr 3, 2025
- Individual clients · 12 to 46Oct 23, 2024 to Apr 3, 2025
- Assets in custody · $66.9M to $76.3MOct 23, 2024 to Apr 3, 2025
- Financial planning clients · 51-100 to 51-100Oct 23, 2024 to Apr 3, 2025
- HQ city · unset to Oct 23, 2024 to Apr 3, 2025
- HQ state · unset to Oct 23, 2024 to Apr 3, 2025
- Discretionary RAUM · $259M to $294MOct 23, 2024 to Apr 3, 2025
- HNW RAUM · $252M to $276MOct 23, 2024 to Apr 3, 2025
- Individual RAUM · $12.4M to $19.7MOct 23, 2024 to Apr 3, 2025
- Non-discretionary RAUM · $59.8M to $57.7MOct 23, 2024 to Apr 3, 2025
- Pension RAUM · $49.4M to $49.6MOct 23, 2024 to Apr 3, 2025
- RAUM · $319M to $351MOct 23, 2024 to Apr 3, 2025
- HQ city · SAN RAFAEL to unsetMar 27, 2024 to Oct 18, 2024
- HQ state · CA to unsetMar 27, 2024 to Oct 18, 2024
- Other offices · 1 to 2Mar 27, 2024 to Oct 18, 2024
- Accounts · 422 to 438Nov 10, 2023 to Mar 27, 2024
- Charity clients · unset to 3.0Nov 10, 2023 to Mar 27, 2024
- Corporate clients · unset to 1.0Nov 10, 2023 to Mar 27, 2024
- HNW clients · 74 to 43Nov 10, 2023 to Mar 27, 2024
- Individual clients · 46 to 12Nov 10, 2023 to Mar 27, 2024
- Pension plan clients · 5 to 3Nov 10, 2023 to Mar 27, 2024
- Assets in custody · $3.0M to $66.9MNov 10, 2023 to Mar 27, 2024
- Discretionary RAUM · $220M to $259MNov 10, 2023 to Mar 27, 2024
- HNW RAUM · $202M to $252MNov 10, 2023 to Mar 27, 2024
- Individual RAUM · $13.4M to $12.4MNov 10, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $43.0M to $59.8MNov 10, 2023 to Mar 27, 2024
- Pension RAUM · $43.9M to $49.4MNov 10, 2023 to Mar 27, 2024
- RAUM · $263M to $319MNov 10, 2023 to Mar 27, 2024
- Accounts · 423 to 422Jun 22, 2022 to Mar 3, 2023
Signals
3 dated events
- C•••••• H••••••••• (Chief Compliance Officer) appeared on Schedule A of L••••••• F•••••••• A•••••••• L••Oct 23, 2024 · Control person joined · fact
- D•••• A••••• N••• left L••••••• F•••••••• A•••••••• L•• for T••• W••••• (registered 2024-01-11)Jan 10, 2024 · Advisor changed firm · fact
- L••••••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Dec 1, 2017 · 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
- Firm profile
- linkedin.com/company/longview-financial-advisorreportedpublic record, Form ADV, Sep 18, 2026
- Website
- L•••••••FIN.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-256-7700reportedpublic record, Form ADV, May 6, 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
- $192Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026