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
A•• T•• I•••••••• L••
Latest filing Apr 2, 2026
First filing on the tape Mar 23, 2018 · 24 filings
SEC status approved since Apr 25, 2018
RAUM
$647M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$637M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$647M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$647M as of Apr 2, 2026
Mar 25, 2019$184M then
HNW client RAUM$627M as of Apr 2, 2026
Mar 25, 2019$179M then
State-registered IARs (5.B.3)1 as of Apr 2, 2026
Mar 25, 20190 then
Employees (5.A)1 as of Apr 2, 2026
Mar 25, 20190 then
Private funds: no history
RAUM +11% over the last fiscal year+74% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 2, 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
- $647MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 306derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 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
- +2.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$627M97%
- Individuals$10.5M1.6%
- Pension and profit-sharing plans$9.6M1.5%
- Individual clients
- 46reported
- HNW clients
- 260reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 311reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••••• M•••••• P•••••• | Santa Cruz, Ca | Nov 8, 2022 | 25 y | 3 |
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••••• M•••••• P•••••• from M••••••• T••••Nov 8, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• J••••••• R••••• · Manager, Ccocontrolsince 03/2018 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 304 to 311Mar 27, 2025 to Mar 31, 2026
- Individual clients · 40 to 46Mar 27, 2025 to Mar 31, 2026
- Pension plan clients · 4 to 5Mar 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $581M to $647MMar 27, 2025 to Mar 31, 2026
- HNW RAUM · $566M to $627MMar 27, 2025 to Mar 31, 2026
- Individual RAUM · $7.9M to $10.5MMar 27, 2025 to Mar 31, 2026
- Pension RAUM · $7.4M to $9.6MMar 27, 2025 to Mar 31, 2026
- RAUM · $581M to $647MMar 27, 2025 to Mar 31, 2026
- Accounts · 286 to 304Jan 16, 2025 to Mar 27, 2025
- HNW clients · 245 to 260Jan 16, 2025 to Mar 27, 2025
- Individual clients · 35 to 40Jan 16, 2025 to Mar 27, 2025
- Pension plan clients · 6 to 4Jan 16, 2025 to Mar 27, 2025
- Financial planning clients · 0 to 0Jan 16, 2025 to Mar 27, 2025
- Discretionary RAUM · $505M to $581MJan 16, 2025 to Mar 27, 2025
- HNW RAUM · $484M to $566MJan 16, 2025 to Mar 27, 2025
- Individual RAUM · $7.0M to $7.9MJan 16, 2025 to Mar 27, 2025
- Pension RAUM · $14.4M to $7.4MJan 16, 2025 to Mar 27, 2025
- RAUM · $505M to $581MJan 16, 2025 to Mar 27, 2025
- HQ city · unset to Sep 7, 2024 to Jan 16, 2025
- HQ state · unset to Sep 7, 2024 to Jan 16, 2025
- Accounts · 76 to 286Mar 30, 2023 to Mar 27, 2024
- HNW clients · 56 to 245Mar 30, 2023 to Mar 27, 2024
- Individual clients · 19 to 35Mar 30, 2023 to Mar 27, 2024
- Pension plan clients · 1 to 6Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $123M to $505MMar 30, 2023 to Mar 27, 2024
- HNW RAUM · $119M to $484MMar 30, 2023 to Mar 27, 2024
- Individual RAUM · $2.0M to $7.0MMar 30, 2023 to Mar 27, 2024
- Pension RAUM · $2.0M to $14.4MMar 30, 2023 to Mar 27, 2024
- RAUM · $123M to $505MMar 30, 2023 to Mar 27, 2024
- Accounts · 68 to 76Mar 30, 2022 to Mar 30, 2023
- HNW clients · 53 to 56Mar 30, 2022 to Mar 30, 2023
- Individual clients · 14 to 19Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $144M to $123MMar 30, 2022 to Mar 30, 2023
- HNW RAUM · $140M to $119MMar 30, 2022 to Mar 30, 2023
- Individual RAUM · $1.6M to $2.0MMar 30, 2022 to Mar 30, 2023
- Pension RAUM · $2.2M to $2.0MMar 30, 2022 to Mar 30, 2023
- RAUM · $144M to $123MMar 30, 2022 to Mar 30, 2023
- Accounts · 248 to 68Oct 12, 2021 to Mar 29, 2022
- HNW clients · 226 to 53Oct 12, 2021 to Mar 29, 2022
- Individual clients · 15 to 14Oct 12, 2021 to Mar 29, 2022
Signals
5 dated events
- A•• T•• I•••••••• L•• reported RAUM $505.0M, up 310% from $123.3M (2023-03-30 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- A•• T•• I•••••••• L•• reported RAUM $143.9M, down 71% from $489.5M (2021-10-12 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- A•• T•• I•••••••• L•• reported RAUM $489.5M, up 31% from $374.2M (2020-07-10 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- A•• T•• I•••••••• L•• reported RAUM $348.1M, up 89% from $183.7M (2019-03-25 to 2019-10-28)Oct 28, 2019 · RAUM change · derived
- A•• T•• I•••••••• L•• filed its initial SEC registration (Form ADV)Mar 23, 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
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 831-226-2915reportedpublic record, Form ADV, Apr 2, 2026
- Contact form
- a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $647Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026