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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
Y•••• W••••• M•••••••••
Legal name Y•••• W••••• M••••••••• I•••
Latest filing Jan 7, 2026
First filing on the tape Apr 3, 2019 · 13 filings
SEC status approved since May 3, 2019
RAUM
$331M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$331M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$166M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$331M as of Jan 7, 2026
Feb 5, 2020$116M then
HNW client RAUM$327M as of Jan 7, 2026
Feb 5, 2020$103M then
State-registered IARs (5.B.3)2 as of Jan 7, 2026
Feb 5, 20202 then
Employees (5.A)2 as of Jan 7, 2026
Feb 5, 20203 then
Private funds: no history
RAUM +11% over the last fiscal year+20% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 7, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $166MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.9MderivedHNW RAUM over HNW clients
- Average account
- $971,275derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Wrap fee program
- $331MreportedItem 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
- High-net-worth individuals$327M99%
- Individuals$3.7M1.1%
- Individual clients
- 7reported
- HNW clients
- 67reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 341reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• D•••• Y••••Certified Financial Planner | Walnut Creek, Ca | Jan 29, 2018 | 20 y | 2 |
| A••• N•••• L••• Y••••Certified Financial Planner | Walnut Creek, Ca | Jan 29, 2018 | 22 y | 2 |
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
none on the tape
Joined, latest
- M•••••• D•••• Y•••• from C••••••••• F•••••••• N••••••Jan 29, 2018 · Affiliated broker-dealer or bank to independent RIA
- A••• N•••• L••• Y•••• from C••••••••• F•••••••• N••••••Jan 29, 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••••••••• F•••••••• N••••••Apr 24, 2018 · Walnut Creek, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Y••••• A•••• N•••• L••• · Ceocontrolsince 12/2017 · owns 75% or more
- Y••••• M••••••• D•••• · Chief Compliance Officer And Chief Financial Officercontrolsince 12/2017 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Walnut Creek, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 369 to 341Jan 23, 2025 to Jan 7, 2026
- HNW clients · 68 to 67Jan 23, 2025 to Jan 7, 2026
- Individual clients · 8 to 7Jan 23, 2025 to Jan 7, 2026
- Discretionary RAUM · $300M to $331MJan 23, 2025 to Jan 7, 2026
- HNW RAUM · $295M to $327MJan 23, 2025 to Jan 7, 2026
- Individual RAUM · $4.3M to $3.7MJan 23, 2025 to Jan 7, 2026
- RAUM · $300M to $331MJan 23, 2025 to Jan 7, 2026
- Accounts · 330 to 369Jan 30, 2024 to Jan 23, 2025
- HNW clients · 65 to 68Jan 30, 2024 to Jan 23, 2025
- Individual clients · 15 to 8Jan 30, 2024 to Jan 23, 2025
- Financial planning clients · 51-100 to 51-100Jan 30, 2024 to Jan 23, 2025
- Discretionary RAUM · $247M to $300MJan 30, 2024 to Jan 23, 2025
- HNW RAUM · $238M to $295MJan 30, 2024 to Jan 23, 2025
- Individual RAUM · $9.4M to $4.3MJan 30, 2024 to Jan 23, 2025
- RAUM · $247M to $300MJan 30, 2024 to Jan 23, 2025
- Accounts · 332 to 330Jan 12, 2023 to Jan 30, 2024
- HNW clients · 68 to 65Jan 12, 2023 to Jan 30, 2024
- Discretionary RAUM · $194M to $247MJan 12, 2023 to Jan 30, 2024
- HNW RAUM · $186M to $238MJan 12, 2023 to Jan 30, 2024
- Individual RAUM · $7.6M to $9.4MJan 12, 2023 to Jan 30, 2024
- RAUM · $194M to $247MJan 12, 2023 to Jan 30, 2024
- Accounts · 324 to 332Jan 31, 2022 to Jan 12, 2023
- HNW clients · 59 to 68Jan 31, 2022 to Jan 12, 2023
- Individual clients · 26 to 15Jan 31, 2022 to Jan 12, 2023
- Discretionary RAUM · $207M to $194MJan 31, 2022 to Jan 12, 2023
- HNW RAUM · $191M to $186MJan 31, 2022 to Jan 12, 2023
- Individual RAUM · $16.3M to $7.6MJan 31, 2022 to Jan 12, 2023
- RAUM · $207M to $194MJan 31, 2022 to Jan 12, 2023
- Accounts · 289 to 324Jan 7, 2021 to Jan 31, 2022
- HNW clients · 64 to 59Jan 7, 2021 to Jan 31, 2022
- Individual clients · 18 to 26Jan 7, 2021 to Jan 31, 2022
- Employees · 3 to 2Jan 7, 2021 to Jan 31, 2022
- Discretionary RAUM · $147M to $207MJan 7, 2021 to Jan 31, 2022
- HNW RAUM · $139M to $191MJan 7, 2021 to Jan 31, 2022
- Individual RAUM · $7.5M to $16.3MJan 7, 2021 to Jan 31, 2022
- RAUM · $147M to $207MJan 7, 2021 to Jan 31, 2022
- Succession · true to falseJan 7, 2021 to Jan 31, 2022
- Succession · false to trueJan 6, 2021 to Jan 7, 2021
- Accounts · 285 to 289Jul 27, 2020 to Jan 6, 2021
- HNW clients · 51 to 64Jul 27, 2020 to Jan 6, 2021
Signals
2 dated events
- Y•••• W••••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 7, 2021 · Succession (Item 4) · fact
- Y•••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Apr 3, 2019 · 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
- Website
- qsbsinfo.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 925-691-5600reportedpublic record, Form ADV, Jan 7, 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
- $166Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026