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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Former SEC-registered adviser
T••••••• C••••••• P•••••• W••••• M••••••••• L••
Latest filing Jan 24, 2024
First filing on the tape Mar 9, 2018 · 28 filings
RAUM
$553M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$509M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 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$553M as of Jan 24, 2024
Feb 1, 2019$299M then
HNW client RAUM$466M as of Jan 24, 2024
Feb 1, 2019$217M then
State-registered IARs (5.B.3)4 as of Jan 24, 2024
Feb 1, 20194 then
Employees (5.A)6 as of Jan 24, 2024
Feb 1, 20195 then
Private funds: no history
RAUM +22% over the last fiscal year+12% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jan 24, 2024; every figure names its basis
- RAUM per advisor
- $138MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 95derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $524,271derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $303M, 244 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$466M84%
- Individuals$42.7M7.7%
- Corporations and businesses$32.8M5.9%
- Charitable organizations$7.3M1.3%
- Pension and profit-sharing plans$4.5M0.8%
- Individual clients
- 165reported
- HNW clients
- 214reported
- Pension plan clients
- 7reported
- Charitable clients
- 6reported
- Accounts
- 1,055reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $303M for 244 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- M•••••• L•• A•••• to M•• C•••••• M••••••••• L••Jan 30, 2024 · RIA to RIA
- M••• A•••••• T••••••• to M•• C•••••• M••••••••• L••Jan 30, 2024 · RIA to RIA
- T•••••• A•••• C••••••• to M•• C•••••• M••••••••• L••Jan 30, 2024 · RIA to RIA
- A•••• C•••••••• N•• to M•• C•••••• M••••••••• L••Jan 30, 2024 · RIA to RIA
Joined, latest
- M•••••• L•• A•••• from W•••• F•••• A•••••••Apr 9, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M••• A•••••• T••••••• from W•••• F•••• A•••••••Apr 9, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- T•••••• A•••• C••••••• from W•••• F•••• A•••••••Apr 9, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- A•••• C•••••••• N•• from W•••• F•••• A•••••••Apr 9, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for M•• C•••••• M••••••••• L••Jan 30, 2024 · Santa Rosa, Ca · Firm absorbed
- 4 joined from W•••• F•••• A•••••••May 21, 2018 · Santa Rosa, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• T••••••• A•••• · Managing Membercontrolsince 03/2018 · owns 50% to 75%
- N••• A••••• C•••••••• · Chief Compliance Officer & Chief Operating Officercontrolsince 03/2018 · owns less than 5%
- T•••••••• M•••• A•••••• · Managing Membercontrolsince 03/2018 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Santa Rosa, Ca · principal | 0 | 0 | 0 | ||
| White Pine, Tn | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 380 to 1,055Oct 12, 2023 to Jan 24, 2024
- Charity clients · unset to 6.0Oct 12, 2023 to Jan 24, 2024
- Corporate clients · 7 to 14Oct 12, 2023 to Jan 24, 2024
- HNW clients · 188 to 214Oct 12, 2023 to Jan 24, 2024
- Individual clients · 175 to 165Oct 12, 2023 to Jan 24, 2024
- Pension plan clients · 6 to 7Oct 12, 2023 to Jan 24, 2024
- Assets in custody · $272M to $303MOct 12, 2023 to Jan 24, 2024
- Financial planning clients · 1-10 to 0Oct 12, 2023 to Jan 24, 2024
- Discretionary RAUM · $447M to $552MOct 12, 2023 to Jan 24, 2024
- HNW RAUM · $374M to $466MOct 12, 2023 to Jan 24, 2024
- Individual RAUM · $40.2M to $42.7MOct 12, 2023 to Jan 24, 2024
- Non-discretionary RAUM · $5.0M to $1.0MOct 12, 2023 to Jan 24, 2024
- Pension RAUM · $2.6M to $4.5MOct 12, 2023 to Jan 24, 2024
- RAUM · $452M to $553MOct 12, 2023 to Jan 24, 2024
- Wrap assets (manager) · 0.0 to unsetOct 12, 2023 to Jan 24, 2024
- Wrap assets (sponsor) · 0.0 to unsetOct 12, 2023 to Jan 24, 2024
- Accounts · 1,034 to 380May 20, 2022 to Feb 15, 2023
- Corporate clients · 5 to 7May 20, 2022 to Feb 15, 2023
- HNW clients · 201 to 188May 20, 2022 to Feb 15, 2023
- Individual clients · 138 to 175May 20, 2022 to Feb 15, 2023
- Pension plan clients · 8 to 6May 20, 2022 to Feb 15, 2023
- Assets in custody · $249M to $272MMay 20, 2022 to Feb 15, 2023
- Discretionary RAUM · $465M to $447MMay 20, 2022 to Feb 15, 2023
- HNW RAUM · $397M to $374MMay 20, 2022 to Feb 15, 2023
- Individual RAUM · $30.1M to $40.2MMay 20, 2022 to Feb 15, 2023
- Non-discretionary RAUM · $3.7M to $5.0MMay 20, 2022 to Feb 15, 2023
- Pension RAUM · $9.5M to $2.6MMay 20, 2022 to Feb 15, 2023
- RAUM · $469M to $452MMay 20, 2022 to Feb 15, 2023
- Discretionary RAUM · $469M to $465MMar 3, 2022 to Apr 26, 2022
- Non-discretionary RAUM · $0 to $3.7MMar 3, 2022 to Apr 26, 2022
- Accounts · 993 to 1,034Sep 24, 2021 to Mar 2, 2022
- Corporate clients · unset to 5.0Sep 24, 2021 to Mar 2, 2022
- HNW clients · 154 to 201Sep 24, 2021 to Mar 2, 2022
- Individual clients · 172 to 138Sep 24, 2021 to Mar 2, 2022
- Pension plan clients · 7 to 8Sep 24, 2021 to Mar 2, 2022
- Assets in custody · $195M to $249MSep 24, 2021 to Mar 2, 2022
- Employees · 5 to 6Sep 24, 2021 to Mar 2, 2022
- Discretionary RAUM · $392M to $469MSep 24, 2021 to Mar 2, 2022
- HNW RAUM · $311M to $397MSep 24, 2021 to Mar 2, 2022
- Individual RAUM · $45.2M to $30.1MSep 24, 2021 to Mar 2, 2022
Signals
6 dated events
- T•••••• A•••• C••••••• left T••••••• C••••••• P•••••• W••••• M••••••••• L•• for M•• C•••••• M••••••••• L•• (registered 2024-01-30)Jan 30, 2024 · Advisor changed firm · fact
- A•••• C•••••••• N•• left T••••••• C••••••• P•••••• W••••• M••••••••• L•• for M•• C•••••• M••••••••• L•• (registered 2024-02-23)Jan 30, 2024 · Advisor changed firm · fact
- M••• A•••••• T••••••• left T••••••• C••••••• P•••••• W••••• M••••••••• L•• for M•• C•••••• M••••••••• L•• (registered 2024-01-29)Jan 30, 2024 · Advisor changed firm · fact
- M•••••• L•• A•••• left T••••••• C••••••• P•••••• W••••• M••••••••• L•• for M•• C•••••• M••••••••• L•• (registered 2024-01-30)Jan 30, 2024 · Advisor changed firm · fact
- T••••••• C••••••• P•••••• W••••• M••••••••• L••'s advisors moved to M•• C•••••• M••••••••• L•• (Santa Rosa, CA): 3 of 4 registered, on the same dayJan 30, 2024 · Firm absorbed (people side) · derived
- T••••••• C••••••• P•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 9, 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026