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
H•• I••••••••• I••••••••• L••
Latest filing Sep 17, 2026
First filing on the tape Mar 19, 2018 · 28 filings
SEC status approved since Apr 18, 2018
RAUM
$25B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
53%
$14B individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$25B
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
28 filings and snapshots on the tape
RAUM$25B as of May 12, 2026
Mar 5, 2019$920M then
HNW client RAUM$14B as of May 12, 2026
Mar 5, 2019$920M then
State-registered IARs (5.B.3)1 as of May 12, 2026
Mar 5, 20191 then
Employees (5.A)2 as of May 12, 2026
Mar 5, 20192 then
Private funds: no history
RAUM +16% over the last fiscal year+33% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $25BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $2.1BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- 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$14B53%
- Corporations and businesses$8.2B32%
- Pooled investment vehicles$3.7B15%
- Individual clients
- 0reported
- HNW clients
- n/areported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 12reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.53 fund_share=0.15 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• H• | Palo Alto, Ca | Aug 11, 2025 | 12 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••• Y••• · Ownercontrolsince 02/2018 · owns 75% or more
- H•• E••• · Chief Compliance Officersince 02/2018 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetMay 12, 2026 to Sep 17, 2026
- Related adviser · false to unsetMay 12, 2026 to Sep 17, 2026
- Related bank · false to unsetMay 12, 2026 to Sep 17, 2026
- Related broker-dealer · false to unsetMay 12, 2026 to Sep 17, 2026
- Related insurance company · false to unsetMay 12, 2026 to Sep 17, 2026
- Succession · false to unsetMay 12, 2026 to Sep 17, 2026
- Accounts · 10 to 12Jan 29, 2025 to Jan 20, 2026
- Pooled vehicle clients · 3 to 2Jan 29, 2025 to Jan 20, 2026
- Discretionary RAUM · $22B to $25BJan 29, 2025 to Jan 20, 2026
- HNW RAUM · $12B to $14BJan 29, 2025 to Jan 20, 2026
- Pooled vehicle RAUM · $3.8B to $3.7BJan 29, 2025 to Jan 20, 2026
- RAUM · $22B to $25BJan 29, 2025 to Jan 20, 2026
- Accounts · 12 to 10May 8, 2024 to Jan 29, 2025
- Charity clients · unset to 0.0May 8, 2024 to Jan 29, 2025
- Financial planning clients · unset to May 8, 2024 to Jan 29, 2025
- Discretionary RAUM · $18B to $22BMay 8, 2024 to Jan 29, 2025
- HNW RAUM · $10B to $12BMay 8, 2024 to Jan 29, 2025
- Pooled vehicle RAUM · $3.0B to $3.8BMay 8, 2024 to Jan 29, 2025
- RAUM · $18B to $22BMay 8, 2024 to Jan 29, 2025
- Accounts · 7 to 12Feb 6, 2023 to Mar 25, 2024
- Charity clients · 0.0 to unsetFeb 6, 2023 to Mar 25, 2024
- Corporate clients · 0.0 to unsetFeb 6, 2023 to Mar 25, 2024
- Discretionary RAUM · $11B to $18BFeb 6, 2023 to Mar 25, 2024
- HNW RAUM · $8.9B to $10BFeb 6, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $2.0B to $3.0BFeb 6, 2023 to Mar 25, 2024
- RAUM · $11B to $18BFeb 6, 2023 to Mar 25, 2024
- Accounts · 8 to 7Mar 3, 2022 to Feb 6, 2023
- Pooled vehicle clients · 1 to 3Mar 3, 2022 to Feb 6, 2023
- Discretionary RAUM · $11B to $11BMar 3, 2022 to Feb 6, 2023
- HNW RAUM · $9.0B to $8.9BMar 3, 2022 to Feb 6, 2023
- Pooled vehicle RAUM · $1.9B to $2.0BMar 3, 2022 to Feb 6, 2023
- RAUM · $11B to $11BMar 3, 2022 to Feb 6, 2023
- Accounts · 5 to 8May 17, 2021 to Feb 21, 2022
- Advisory employees · 1 to 2May 17, 2021 to Feb 21, 2022
- HNW clients · 2.0 to unsetMay 17, 2021 to Feb 21, 2022
- Discretionary RAUM · $8.0B to $11BMay 17, 2021 to Feb 21, 2022
- HNW RAUM · $7.0B to $9.0BMay 17, 2021 to Feb 21, 2022
- Pooled vehicle RAUM · $983M to $1.9BMay 17, 2021 to Feb 21, 2022
- RAUM · $8.0B to $11BMay 17, 2021 to Feb 21, 2022
- Accounts · 3 to 5Aug 28, 2020 to Feb 19, 2021
Signals
6 dated events
- H•• I••••••••• I••••••••• L•• reported RAUM $18.0B, up 66% from $10.9B (2023-02-06 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- H•• I••••••••• I••••••••• L•• reported RAUM $11.0B, up 38% from $8.0B (2021-05-17 to 2022-02-21)Feb 21, 2022 · RAUM change · derived
- H•• I••••••••• I••••••••• L•• reported RAUM $8.0B, up 166% from $3.0B (2020-08-28 to 2021-02-19)Feb 19, 2021 · RAUM change · derived
- H•• I••••••••• I••••••••• L•• reported RAUM $3.0B, up 227% from $920.1M (2019-11-13 to 2020-02-07)Feb 7, 2020 · RAUM change · derived
- H•• I••••••••• I••••••••• L•• reported RAUM $920.1M, up 91% from $481.6M (2018-11-08 to 2019-03-05)Mar 5, 2019 · RAUM change · derived
- H•• I••••••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Mar 19, 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
- Principal office phone
- 650-319-6832reportedpublic record, Form ADV, 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
- $25Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026