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.
SEC-registered adviser
Ma Private Wealth, LLC
Latest filing Apr 15, 2026
First filing on the tape Dec 21, 2017 · 22 filings
SEC status approved since Jan 19, 2018
RAUM
$686M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$686M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$137M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$686M as of Apr 15, 2026
Mar 27, 2019$413M then
HNW client RAUM$507M as of Apr 15, 2026
Mar 27, 2019$314M then
State-registered IARs (5.B.3)5 as of Apr 15, 2026
Mar 27, 20194 then
Employees (5.A)7 as of Apr 15, 2026
Mar 27, 20197 then
Private funds: no history
RAUM +17% over the last fiscal year+16% a year over threeIARs 5 to 5offices 2 to 1
Practice profile
derived from the filing of Apr 15, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $137MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 73derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $673,221derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.0%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
- Wrap fee program
- $686MreportedItem 5.I
- Custody
- $196M, 148 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)
- 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$507M74%
- Individuals$179M26%
- Individual clients
- 218reported
- HNW clients
- 148reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,019reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $196M for 148 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Erica Lynn Arroyo | San Carlos, Ca | Jan 26, 2018 | 17 y | 2 |
| Martin Scott Miller | San Carlos, Ca | Jan 26, 2018 | 34 y | 1 |
| Brian Curtis Ferrin | San Carlos, Ca | Jun 20, 2018 | 34 y | 0 |
| Vijay C Patel | San Carlos, Ca | Jul 7, 2021 | 23 y | 3 |
| Mallory Nichole DavisCertified Financial Planner | San Carlos, Ca | May 8, 2023 | 11 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 headcount0 left over 36 months
Left, latest
- Joel Robert Van Hofwegen to Certus Wealth Management LLCAug 2, 2022 · RIA to RIA
- Nicholas T Scott to Morgan StanleyMar 4, 2021 · RIA to wirehouse
Joined, latest
- Vijay C Patel from Mercer Global Advisors Inc.Jul 7, 2021 · RIA to RIA
- Nicholas T Scott from Alamo CapitalJun 12, 2019 · RIA to RIA
- Martin Scott Miller from Ameriprise Financial Services, LLCJan 26, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
- Joel Robert Van Hofwegen from Ameriprise Financial Services, LLCJan 26, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
- Erica Lynn Arroyo from Ameriprise Financial Services, LLCJan 26, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Ameriprise Financial Services, LLCJan 30, 2018 · San Carlos, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lynn Erica Arroyo · Chief Operating Officercontrolsince 01/2022 · owns less than 5%
- Scott Martin Miller · Chief Compliance Officer And Managing Membercontrolsince 01/2018 · 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 |
|---|---|---|---|---|---|
| San Carlos, Ca · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Campbell, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Apr 15, 2026accounts (Item 5.F.2.f) moved from 352.0 to 1,019.0 (+189.0%) between the annual amendments of 2025-04-11 and 2026-04-15; the peer median change was +6.0% (1256 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 352 to 1,019Sep 4, 2025 to Mar 25, 2026
- HNW clients · 150 to 148Sep 4, 2025 to Mar 25, 2026
- Individual clients · 202 to 218Sep 4, 2025 to Mar 25, 2026
- Assets in custody · $177M to $196MSep 4, 2025 to Mar 25, 2026
- Other offices · 2 to 1Sep 4, 2025 to Mar 25, 2026
- Discretionary RAUM · $582M to $681MSep 4, 2025 to Mar 25, 2026
- HNW RAUM · $439M to $507MSep 4, 2025 to Mar 25, 2026
- Individual RAUM · $145M to $179MSep 4, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $2.2M to $4.7MSep 4, 2025 to Mar 25, 2026
- Pension RAUM · unset to 0.0Sep 4, 2025 to Mar 25, 2026
- RAUM · $584M to $686MSep 4, 2025 to Mar 25, 2026
- Financial planning clients · 51-100 to 51-100May 23, 2025 to Jun 27, 2025
- Accounts · 345 to 352Apr 11, 2024 to Feb 27, 2025
- HNW clients · 148 to 150Apr 11, 2024 to Feb 27, 2025
- Individual clients · 197 to 202Apr 11, 2024 to Feb 27, 2025
- Assets in custody · $157M to $177MApr 11, 2024 to Feb 27, 2025
- Employees · 8 to 7Apr 11, 2024 to Feb 27, 2025
- Other offices · 1 to 2Apr 11, 2024 to Feb 27, 2025
- Discretionary RAUM · $513M to $582MApr 11, 2024 to Feb 27, 2025
- HNW RAUM · $386M to $439MApr 11, 2024 to Feb 27, 2025
- Individual RAUM · $127M to $145MApr 11, 2024 to Feb 27, 2025
- Non-discretionary RAUM · $0 to $2.2MApr 11, 2024 to Feb 27, 2025
- RAUM · $513M to $584MApr 11, 2024 to Feb 27, 2025
- Accounts · 892 to 345Oct 16, 2023 to Mar 28, 2024
- Advisory employees · 4 to 5Oct 16, 2023 to Mar 28, 2024
- Advisory activities · 5 to 4Oct 16, 2023 to Mar 28, 2024
- HNW clients · 142 to 148Oct 16, 2023 to Mar 28, 2024
- Individual clients · 201 to 197Oct 16, 2023 to Mar 28, 2024
- Assets in custody · $16.5M to $157MOct 16, 2023 to Mar 28, 2024
- State-registered IARs · 4 to 5Oct 16, 2023 to Mar 28, 2024
- Discretionary RAUM · $442M to $513MOct 16, 2023 to Mar 28, 2024
- HNW RAUM · $339M to $386MOct 16, 2023 to Mar 28, 2024
- Individual RAUM · $106M to $127MOct 16, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $2.7M to $0Oct 16, 2023 to Mar 28, 2024
- RAUM · $445M to $513MOct 16, 2023 to Mar 28, 2024
- Advisory activities · 4 to 5Mar 29, 2023 to Oct 16, 2023
- Accounts · 1,282 to 892Apr 28, 2022 to Mar 29, 2023
- HNW clients · 162 to 142Apr 28, 2022 to Mar 29, 2023
- Individual clients · 301 to 201Apr 28, 2022 to Mar 29, 2023
- Assets in custody · $90.9M to $16.5MApr 28, 2022 to Mar 29, 2023
Signals
4 dated events
- Ma Private Wealth, Llc reported RAUM $445.0M, down 30% from $639.7M (2022-04-28 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- Joel Robert Van Hofwegen left Ma Private Wealth, Llc for Certus Wealth Management Llc (registered 2022-09-19)Aug 2, 2022 · Advisor changed firm · fact
- Lynn Erica Arroyo (Chief Operating Officer) appeared on Schedule A of Ma Private Wealth, LlcMar 17, 2022 · Control person joined · fact
- Emerson Advisors, Llc filed its initial SEC registration (Form ADV)Dec 21, 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
- Business email
- becka@maprivatewealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- jennifer@maprivatewealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- marty@maprivatewealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- riley@maprivatewealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 650-232-2021reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/ma-private-wealthreportedpublic record, Form ADV, Sep 17, 2026
- Website
- MAPRIVATEWEALTH.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (650) 232-2021reportedpublic record, Form ADV, Apr 15, 2026
- Team page
- MAPRIVATEWEALTH.COM/teamreportedpublished 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
- $137Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026