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
T•••••••• W••••• A•••••••
Legal name G••••••• P•••• A•••••••• L••
Latest filing Apr 27, 2026
First filing on the tape Feb 13, 2018 · 36 filings
SEC status approved since Mar 16, 2018
RAUM
$597M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
96%
$572M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$119M
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$597M as of Apr 27, 2026
Feb 2, 2019$120M then
HNW client RAUM$524M as of Apr 27, 2026
Feb 2, 2019$89.9M then
State-registered IARs (5.B.3)5 as of Apr 27, 2026
Feb 2, 20192 then
Employees (5.A)10 as of Apr 27, 2026
Feb 2, 20195 then
Private funds: no history
RAUM +11% over the last fiscal year+55% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Apr 27, 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
- $119MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $784,570derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 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
- +6.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $1.6M, 45 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Firms absorbed, 24 months
- 1derivedhalf or more of a firm's advisors moved here within 14 days
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$524M88%
- Individuals$48.0M8.0%
- Pension and profit-sharing plans$10.1M1.7%
- Charitable organizations$7.6M1.3%
- Corporations and businesses$7.4M1.2%
- Individual clients
- 134reported
- HNW clients
- 133reported
- Pension plan clients
- 1reported
- Charitable clients
- 19reported
- Accounts
- 761reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.6M for 45 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| A••••• G••••• S•••••• | Walnut Creek, Ca | Apr 11, 2018 | 25 y | 2 |
| S••••• C••• L••Certified Financial Planner, Chartered Financial Consultant | Walnut Creek, Ca | Apr 11, 2018 | 12 y | 1 |
| A••••• W•••••• O••••Certified Financial Planner | Walnut Creek, Ca | Feb 5, 2025 | 13 y | 1 |
| D•••• S•••• B•••••Certified Financial Planner | San Francisco, Ca | Feb 5, 2025 | 37 y | 2 |
| C••••••••• J•••• X••• J•• R•••• | Walnut Creek, Ca | Sep 26, 2025 | 18 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months
Left, latest
- H••••• E•••••••• K•••• to A••••• W••••• P•••••••Sep 8, 2026 · RIA to RIA
Joined, latest
- D•••• S•••• B••••• from T•• H•••••••• G••••Feb 5, 2025 · RIA to RIA
- A••••• W•••••• O•••• from T•• H•••••••• G••••Feb 5, 2025 · RIA to RIA
- H••••• E•••••••• K•••• from T•• H•••••••• G••••Feb 5, 2025 · RIA to RIA
- A••••• G••••• S•••••• from S•• F•••••••• S••••• I••••••••• G••••Apr 11, 2018 · RIA to a newly registered adviser
- S••••• C••• L•• from S•• F•••••••• S••••• I••••••••• G••••Apr 11, 2018 · RIA to a newly registered adviser
- G•••••• J•••• S•••• from G••••••• P•••• F••••• L••Mar 24, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from T•• H•••••••• G••••Jan 16, 2025 · San F••••••••, Ca · Firm absorbed
- 2 joined from S•• F•••••••• S••••• I••••••••• G••••Apr 10, 2018 · San F••••••••, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• J••••• T•••••• · Managing Member, Chief Compliance Officer & Chief Executive Officercontrolsince 12/2017 · owns less than 5%
- M•••••••• J••••• R••••• · Co-Trusteecontrolsince 09/2020 · owns 50% to 75% of T•• J•••• A•• J•••• M••••••• L••••• T••••
- M•••••••• J••••• T•••••• · Co-Trusteecontrolsince 09/2020 · owns 50% to 75% of T•• J•••• A•• J•••• M••••••• L••••• T••••
- L••• S•••••• C••• · Chief Investment Officersince 05/2023 · owns less than 5%
Entity owners
- T•• J•••• A•• J•••• M••••••• L••••• T•••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Walnut Creek, Ca · principal | 5 | 1 | 0 | ||
| San F••••••••, Ca | 2 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 739 to 761Apr 4, 2025 to Mar 30, 2026
- Charity clients · 18 to 19Apr 4, 2025 to Mar 30, 2026
- Corporate clients · 2 to 3Apr 4, 2025 to Mar 30, 2026
- HNW clients · 124 to 133Apr 4, 2025 to Mar 30, 2026
- Individual clients · 126 to 134Apr 4, 2025 to Mar 30, 2026
- Pension plan clients · 3 to 1Apr 4, 2025 to Mar 30, 2026
- Assets in custody · $1.5M to $1.6MApr 4, 2025 to Mar 30, 2026
- Discretionary RAUM · $524M to $581MApr 4, 2025 to Mar 30, 2026
- HNW RAUM · $460M to $524MApr 4, 2025 to Mar 30, 2026
- Individual RAUM · $50.4M to $48.0MApr 4, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $13.0M to $16.0MApr 4, 2025 to Mar 30, 2026
- Pension RAUM · $13.9M to $10.1MApr 4, 2025 to Mar 30, 2026
- RAUM · $537M to $597MApr 4, 2025 to Mar 30, 2026
- Accounts · 339 to 739Feb 27, 2025 to Apr 4, 2025
- Advisory employees · 3 to 5Feb 27, 2025 to Apr 4, 2025
- Advisory activities · 5 to 6Feb 27, 2025 to Apr 4, 2025
- Charity clients · unset to 18.0Feb 27, 2025 to Apr 4, 2025
- Corporate clients · 1 to 2Feb 27, 2025 to Apr 4, 2025
- HNW clients · 43 to 124Feb 27, 2025 to Apr 4, 2025
- Individual clients · 96 to 126Feb 27, 2025 to Apr 4, 2025
- Pension plan clients · unset to 3.0Feb 27, 2025 to Apr 4, 2025
- Assets in custody · unset to 1464824.0Feb 27, 2025 to Apr 4, 2025
- Custody of client assets · false to trueFeb 27, 2025 to Apr 4, 2025
- Employees · 5 to 10Feb 27, 2025 to Apr 4, 2025
- Financial planning clients · 1-10 to 51-100Feb 27, 2025 to Apr 4, 2025
- State-registered IARs · 3 to 5Feb 27, 2025 to Apr 4, 2025
- Discretionary RAUM · $173M to $524MFeb 27, 2025 to Apr 4, 2025
- HNW RAUM · $142M to $460MFeb 27, 2025 to Apr 4, 2025
- Individual RAUM · $38.0M to $50.4MFeb 27, 2025 to Apr 4, 2025
- Non-discretionary RAUM · $11.6M to $13.0MFeb 27, 2025 to Apr 4, 2025
- Pension RAUM · unset to 13862780.0Feb 27, 2025 to Apr 4, 2025
- RAUM · $185M to $537MFeb 27, 2025 to Apr 4, 2025
- Other offices · 0 to 1Jan 2, 2025 to Feb 27, 2025
- Other offices · 2 to 0Apr 26, 2024 to Aug 13, 2024
- Accounts · 346 to 339Dec 12, 2023 to Mar 15, 2024
- HNW clients · 40 to 43Dec 12, 2023 to Mar 15, 2024
- Individual clients · 97 to 96Dec 12, 2023 to Mar 15, 2024
- Discretionary RAUM · $154M to $173MDec 12, 2023 to Mar 15, 2024
- HNW RAUM · $124M to $142MDec 12, 2023 to Mar 15, 2024
- Individual RAUM · $33.2M to $38.0MDec 12, 2023 to Mar 15, 2024
Signals
10 dated events
- H••••• E•••••••• K•••• left T•••••••• W••••• A••••••• for A••••• W••••• P••••••• (registered 2026-09-03)Sep 8, 2026 · Advisor changed firm · fact
- T•••••••• W••••• A••••••• reported RAUM $537.0M, up 191% from $184.8M (2025-02-27 to 2025-04-04)Apr 4, 2025 · RAUM change · derived
- T•• H•••••••• G••••'s advisors moved to T•••••••• W••••• A••••••• (San Francisco, CA): 3 of 3 registered, on the same dayJan 16, 2025 · Firm absorbed (people side) · derived
- Spencer Thomas Miner (Co Trustee) no longer on Schedule A of T•••••••• W••••• A••••••• (listed 2022-04-06, absent 2022-05-12)May 12, 2022 · Control person left · inference
- Andy Li (Chief Financial Officer) no longer on Schedule A of T•••••••• W••••• A••••••• (listed 2022-04-06, absent 2022-05-12)May 12, 2022 · Control person left · inference
- Sandquist Julia Miner (Co Trustee) no longer on Schedule A of T•••••••• W••••• A••••••• (listed 2022-04-06, absent 2022-05-12)May 12, 2022 · Control person left · inference
- J•••• G•••••• S•••• (Owner) no longer on Schedule A of T•••••••• W••••• A••••••• (listed 2022-04-06, absent 2022-05-12)May 12, 2022 · Control person left · inference
- Robert J•••• Meissner (Co-Trustee) appeared on Schedule A of T•••••••• W••••• A•••••••Mar 29, 2021 · Control person joined · fact
- Sandquist Julia Miner (Co Trustee) appeared on Schedule A of T•••••••• W••••• A•••••••Aug 7, 2019 · Control person joined · fact
- G••••••• P•••• A•••••••• L•• filed its initial SEC registration (Form ADV)Feb 13, 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 email
- hello@treehousewealth.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 415-887-1416reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 415-928-0401reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/treehousewealthreportedpublic record, Form ADV, Sep 19, 2026
- Website
- treehousewealth.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 415-887-1416reportedpublic record, Form ADV, Apr 27, 2026
- Contact form
- treehousewealth.com/get-started-process/contact-financial-adreportedpublished by the firm, firm site, Sep 17, 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
- $119Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026